13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-16, with 5,260 holding rows worth $132,721,585,000.
- Accession
- 0000948046-16-000165
- Filer
- CIK 948046
- Filed
- 2016-05-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 18,671 entries on the cover page, a total value of $132,721,585,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $132,721,585,000 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 |
|---|---|---|---|---|---|---|
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 31,000 | $31,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,381 | $31,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 2,949 | $30,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 153,216 | $30,000 | thousands by filing date | principal |
| GRAHAM CORP | 384556106 | COM | 1,542 | $30,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 695 | $30,000 | thousands by filing date | call |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 438 | $30,000 | thousands by filing date | put |
| DESTINATION XL GROUP INC | 25065K104 | COM | 5,961 | $30,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 3,378 | $30,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,993 | $30,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 1,517 | $30,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,256 | $30,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $30,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 3,082 | $30,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 45,000 | $30,000 | thousands by filing date | principal |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 3,846 | $30,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 2,000 | $29,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 1,717 | $29,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 2,751 | $29,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 2,700 | $29,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 11,060 | $29,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,119 | $29,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,750 | $29,000 | thousands by filing date | call |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 1,414 | $29,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 79,307 | $29,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 8,098 | $29,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 4,183 | $29,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 3,022 | $29,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 1,761 | $29,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 700 | $28,000 | thousands by filing date | call |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 60 | $28,000 | thousands by filing date | put |
| LENNAR CORP CL A | 526057104 | Stock | 581 | $28,000 | thousands by filing date | call |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 450 | $28,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,730 | $28,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $28,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,659 | $28,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,794 | $28,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,600 | $28,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 4,078 | $28,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 3,892 | $28,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 3,300 | $28,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 4,796 | $28,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 600 | $27,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 325 | $27,000 | thousands by filing date | put |
| INTREXON CORP | 46122T102 | COM | 800 | $27,000 | thousands by filing date | call |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 3,949 | $27,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 3,764 | $27,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,801 | $27,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 4,065 | $27,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 3,458 | $27,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 235 | $26,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 672 | $26,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 48,000 | $26,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 3,008 | $26,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,885 | $26,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 1,821 | $26,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,783 | $26,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,667 | $26,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 7,098 | $26,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 13,291 | $26,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,457 | $26,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 7,112 | $26,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 631 | $25,000 | thousands by filing date | call |
| NEWMONT CORP | 651639106 | COM | 970 | $25,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 409 | $25,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 4,553 | $25,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 2,250 | $25,000 | thousands by filing date | call |
| CADIZ INC | 127537207 | COM NEW | 4,955 | $25,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 300 | $25,000 | thousands by filing date | call |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,726 | $25,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 5,000 | $25,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 927 | $25,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 9,323 | $25,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 9,717 | $25,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 3,500 | $25,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 917 | $25,000 | thousands by filing date | call |
| A123 SYS INC | 037ESCAA8 | NOTE 3.750% 4/1 | 1,250,000 | $25,000 | thousands by filing date | principal |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 667 | $24,000 | thousands by filing date | call |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 3,117 | $24,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 150 | $24,000 | thousands by filing date | call |
| TRUPANION INC | 898202106 | COM | 2,531 | $24,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1,019 | $24,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 2,400 | $24,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 13,878 | $24,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 29,739 | $24,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 2,248 | $24,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 23,533 | $24,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,174 | $24,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 104,420 | $24,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,000 | $24,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 1,873 | $24,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 1,400 | $24,000 | thousands by filing date | call |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 45,500 | $24,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 3,176 | $24,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,104 | $24,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,403 | $24,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 250 | $23,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 5,900 | $23,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 1,400 | $23,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 1,604 | $23,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,646 | $23,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 20,000 | $23,000 | thousands by filing date | principal |
| OI SA-ADR | 670851500 | ADR | 16,408 | $23,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 8,768 | $23,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 2,576 | $22,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 192 | $22,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,000 | $22,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 9,788 | $22,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,438 | $22,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 2,764 | $22,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,083 | $22,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 3,010,000 | $22,000 | thousands by filing date | principal |
| JOY GLOBAL INC | 481165108 | COM | 1,382 | $22,000 | thousands by filing date | call |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 30,702 | $22,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 25,257 | $22,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 19,488 | $22,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 16,045 | $22,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,243 | $22,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,726 | $22,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 14,037 | $22,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 6,872 | $22,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 2,000 | $22,000 | thousands by filing date | call |
| C1 FINL INC | 12591N109 | COM | 915 | $22,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,177 | $21,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 4,454 | $21,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 34,980 | $21,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 10,095 | $21,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 41,244 | $21,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 20,712 | $21,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 18,600 | $21,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 799 | $21,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 2,613 | $21,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 750 | $20,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 244 | $20,000 | thousands by filing date | call |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,960 | $20,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 5,000 | $20,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,375 | $20,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 9,168 | $20,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 15 | $20,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 8,283 | $20,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 18,837 | $20,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 34,263 | $20,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,836 | $20,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 2,000 | $20,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 7,900 | $20,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 27,000 | $20,000 | thousands by filing date | principal |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,100 | $20,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 876 | $20,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 35,410 | $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 |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 394 | $19,000 | thousands by filing date | call |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 2,000 | $19,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 3,159 | $19,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 4,210 | $19,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 36,000 | $19,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 2,872 | $19,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,953 | $19,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,500 | $19,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 3,147 | $19,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 24,301 | $19,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 1,901 | $18,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 1,130 | $18,000 | thousands by filing date | call |
| NICOLET BANKSHARES INC | 65406E102 | COM | 469 | $18,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 3,849 | $18,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,630 | $18,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 1,885 | $18,000 | thousands by filing date | put |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 500 | $18,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 4,971 | $18,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 3,325 | $18,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 7,421 | $18,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,166 | $18,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 8,735 | $18,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 7,624 | $18,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,000 | $18,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 2,970 | $18,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 4,704 | $18,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 75,000 | $18,000 | thousands by filing date | call |
| Progressive Corporation | 743315103 | COM | 500 | $17,000 | thousands by filing date | call |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 225 | $17,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 17,200 | $17,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 500 | $17,000 | thousands by filing date | call |
| AMERESCO INC | 02361E108 | CL A | 3,617 | $17,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 1,730 | $17,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,502 | $17,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,089 | $17,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,693 | $17,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 31,617 | $17,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 9,405 | $17,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 2,340 | $17,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 5,230 | $17,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 1,820 | $17,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 1,956 | $17,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 225 | $16,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 225 | $16,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 864 | $16,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,409 | $16,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 1,612 | $16,000 | thousands by filing date | |
| 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 | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,080 | $16,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 1,022 | $16,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 4,000 | $16,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 701 | $16,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,890 | $16,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 11,365 | $16,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,858 | $16,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 2,880 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 98,794 | $16,000 | thousands by filing date | principal |
| KONA GRILL INC | 50047H201 | COM | 1,258 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 98,947 | $16,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP | 674599105 | COM | 225 | $15,000 | thousands by filing date | put |
| NEWELL BRANDS INC COM | 651229106 | Stock | 354 | $15,000 | thousands by filing date | call |
| RAPID7 INC COM | 753422104 | Stock | 1,187 | $15,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 800 | $15,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 500 | $15,000 | thousands by filing date | call |
| CHAMPION HOMES INC | 830830105 | COM | 1,626 | $15,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 1,000 | $15,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 150 | $15,000 | thousands by filing date | call |
| PREFORMED LINE PRODS CO | 740444104 | COM | 421 | $15,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 14,164 | $15,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,172 | $15,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 3,400 | $15,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,880 | $15,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 3,139 | $15,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,073 | $15,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 1,000 | $15,000 | thousands by filing date | call |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 20,041 | $15,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 25,405 | $15,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 15,961 | $15,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 1,969 | $14,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 200 | $14,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 20,842 | $14,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 240 | $14,000 | thousands by filing date | put |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,068 | $14,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,100 | $14,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 31,203 | $14,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,604 | $14,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,884 | $14,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,352 | $14,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 21,367 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 12,610 | $14,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 3,341 | $14,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 35,501 | $14,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,742 | $14,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,485 | $14,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $14,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 254,867 | $14,000 | thousands by filing date | principal |
| MCBC HLDGS INC | 55276F107 | COM | 1,035 | $14,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 1,945 | $14,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,595 | $14,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 3,170 | $14,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 2,000 | $14,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 650 | $13,000 | thousands by filing date | put |
| NATERA INC COM | 632307104 | Stock | 1,473 | $13,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 1,182 | $13,000 | thousands by filing date | call |
| POST HLDGS INC | 737446104 | COM | 200 | $13,000 | thousands by filing date | call |
| DAUCH CORP | 024061103 | COM | 909 | $13,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,000 | $13,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,354 | $13,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,935 | $13,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,000 | $13,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 4,500 | $13,000 | thousands by filing date | call |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 1,000 | $13,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,500 | $13,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $13,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,673 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,104 | $13,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 769 | $13,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 337 | $13,000 | thousands by filing date | put |
| Morgan Stanley | 617446448 | COM | 500 | $12,000 | thousands by filing date | put |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 197 | $12,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 288 | $12,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 310 | $12,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 1,000 | $12,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 1,000 | $12,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $12,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 547 | $12,000 | thousands by filing date | call |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 800 | $12,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,101 | $12,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 979 | $12,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $12,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 322 | $12,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 782 | $12,000 | thousands by filing date | put |
| Pimco Income Oppty Fund | 72202B100 | COM | 579 | $12,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 154 | $12,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,636 | $12,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 246 | $12,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 279 | $12,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 2,062 | $12,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 4,500 | $12,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 2,737 | $12,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 2,166 | $12,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 217 | $11,000 | thousands by filing date | call |
| DOLLAR TREE INC COM | 256746108 | Stock | 140 | $11,000 | thousands by filing date | call |
| NASDAQ INC COM | 631103108 | Stock | 180 | $11,000 | thousands by filing date | call |
| NORDSTROM INC | 655664100 | COM | 200 | $11,000 | thousands by filing date | call |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 1,700 | $11,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 457 | $11,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 573 | $11,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,008 | $11,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 1,000 | $11,000 | thousands by filing date | call |
| ENOVIS CORP | 194014106 | COMMON STOCK | 400 | $11,000 | thousands by filing date | call |
| TEARLAB CORP | 878193101 | COM | 17,583 | $11,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 20,189 | $11,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,000 | $11,000 | thousands by filing date | call |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 3,880 | $11,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 5,389 | $11,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,639 | $11,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 2,794 | $11,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 7,308 | $11,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 1,384 | $11,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 3,306 | $11,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 2,263 | $11,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 1,287 | $11,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 1,597 | $11,000 | thousands by filing date | |
| TARGACEPT INC | 87611RAA6 | NOTE 2/1 | 11,665 | $11,000 | thousands by filing date | principal |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 4,787 | $11,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 28,500 | $11,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 1,000 | $11,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 824 | $10,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 500 | $10,000 | thousands by filing date | call |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 796 | $10,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 4,657 | $10,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 270 | $10,000 | thousands by filing date | call |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 1,000 | $10,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 8,756 | $10,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 800 | $10,000 | thousands by filing date | put |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 577 | $10,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,572 | $10,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 443 | $10,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,700 | $10,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,021 | $10,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $10,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 815 | $10,000 | thousands by filing date | put |
| MYOKARDIA INC | 62857M105 | COM | 961 | $10,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 828 | $10,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 13,409 | $10,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 18,137 | $10,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,452 | $10,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,546 | $10,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 2,628 | $10,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 29,000 | $9,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 695 | $9,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 600 | $9,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 375 | $9,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 2,185 | $9,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 762 | $9,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 445 | $9,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,500 | $9,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,000 | $9,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,200 | $9,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 721 | $9,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 246 | $9,000 | thousands by filing date | put |
| CUMULUS MEDIA INC | 231082108 | CL A | 20,974 | $9,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 10,048 | $9,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 5,542 | $9,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 5,210 | $9,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 45,268 | $9,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,998 | $9,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $9,000 | thousands by filing date | call |
| AEROCENTURY CORP | 007737109 | COM | 900 | $9,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 4,545 | $9,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 1,279 | $9,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 2,027 | $9,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 85 | $8,000 | thousands by filing date | put |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 545 | $8,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 1,000 | $8,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 1,285 | $8,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 166 | $8,000 | thousands by filing date | call |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 1,702 | $8,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 372 | $8,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,000 | $8,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 275 | $8,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,595 | $8,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 290 | $8,000 | thousands by filing date | call |
| STARTEK INC | 85569C107 | COM | 2,095 | $8,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 24,224 | $8,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 768 | $8,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 1,096 | $8,000 | thousands by filing date | call |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 670 | $8,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 774 | $8,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 15,548 | $8,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,032 | $8,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,691 | $8,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P188 | 3X INV JAP GOV | 64,393 | $8,000 | thousands by filing date | principal |
| Allegiance Bancshares | 01748H107 | COM | 464 | $8,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,208 | $8,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,734 | $8,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,881 | $8,000 | thousands by filing date | call |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 3,824 | $8,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 1,250 | $8,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,345 | $8,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 10,100 | $8,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 50 | $7,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 338 | $7,000 | thousands by filing date | call |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 386 | $7,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 380 | $7,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 1,000 | $7,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 500 | $7,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 300 | $7,000 | thousands by filing date | call |
| WHOLE FOODS MKT INC | 966837106 | COM | 250 | $7,000 | thousands by filing date | put |
| WHOLE FOODS MKT INC | 966837106 | COM | 250 | $7,000 | thousands by filing date | call |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,100 | $7,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 871 | $7,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 1,085 | $7,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 887 | $7,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 700 | $7,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 39,565 | $7,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 150,250 | $7,000 | thousands by filing date | principal |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 400 | $7,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 424 | $7,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,100 | $7,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 876 | $7,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 1,235 | $7,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 556 | $7,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 3,499 | $7,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 5,200 | $7,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 4,407 | $7,000 | thousands by filing date | |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 360 | $7,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 5,298 | $7,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 3,046 | $7,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,500 | $7,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 500 | $6,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 2,000 | $6,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 298 | $6,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 387 | $6,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 308 | $6,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,275 | $6,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $6,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 1,700 | $6,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 904 | $6,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 500 | $6,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 5,329 | $6,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 159 | $6,000 | thousands by filing date | call |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 400 | $6,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 387 | $6,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 996 | $6,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 47 | $6,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 29,800 | $6,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $6,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 801 | $6,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,768 | $6,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 421 | $6,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,584 | $6,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 13,365 | $6,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 170 | $6,000 | thousands by filing date | call |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 845 | $6,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 500 | $5,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 391 | $5,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 598 | $5,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 307 | $5,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 238 | $5,000 | thousands by filing date | call |
| EGAIN CORP | 28225C806 | COM NEW | 1,478 | $5,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 500 | $5,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 646 | $5,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 866 | $5,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,066 | $5,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 200 | $5,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 250 | $5,000 | thousands by filing date | call |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 3,204 | $5,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 820 | $5,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 341 | $5,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 500 | $5,000 | thousands by filing date | put |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 6,053 | $5,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 925 | $5,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,106 | $5,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 2,000 | $5,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 312 | $5,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 494 | $5,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 4,604 | $5,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 966 | $5,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 40 | $4,000 | thousands by filing date | call |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 123 | $4,000 | thousands by filing date | call |
| LANTHEUS HLDGS INC | 516544103 | COM | 2,365 | $4,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 830 | $4,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 2,103 | $4,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 5,572 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 40 | $4,000 | thousands by filing date | call |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,693 | $4,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 160 | $4,000 | thousands by filing date | call |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 959 | $4,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 285 | $4,000 | thousands by filing date | call |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 4,800 | $4,000 | thousands by filing date | put |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 4,800 | $4,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 2,049 | $4,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 300 | $4,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 502 | $4,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 19,935 | $4,000 | thousands by filing date | principal |
| MEI PHARMA INC | 55279B202 | COM NEW | 3,686 | $4,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 2,934 | $4,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 1,000 | $4,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 500 | $4,000 | thousands by filing date | call |
| CIFC CORP | 12547R105 | COM | 643 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,150 | $4,000 | thousands by filing date | call |
| ASB BANCORP INC N C | 00213T109 | COM | 215 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 125,732 | $4,000 | thousands by filing date | principal |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 3,300 | $4,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 633 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-16-000165 | this filing | 2016-05-16 | acceptance time not in the bulk data set |