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 |
|---|---|---|---|---|---|---|
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 8,743 | $103,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 20,252 | $103,000 | thousands by filing date | |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 415,000 | $103,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 1,200 | $102,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,982 | $102,000 | thousands by filing date | call |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 8,754 | $102,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 64,985 | $102,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 59,830 | $102,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 6,610 | $101,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 200,000 | $100,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 8,344 | $100,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 13,074 | $100,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 100,000 | $100,000 | thousands by filing date | principal |
| AMBER ROAD INC | 02318Y108 | COM | 18,688 | $100,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 6,642 | $99,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 7,500 | $99,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 1,719 | $99,000 | thousands by filing date | call |
| TIME WARNER INC | 887317303 | COM NEW | 1,375 | $99,000 | thousands by filing date | call |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 12,093 | $99,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 19,600 | $99,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 625 | $98,000 | thousands by filing date | put |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 1,566 | $98,000 | thousands by filing date | put |
| FRANCO NEV CORP COM | 351858105 | Stock | 1,600 | $98,000 | thousands by filing date | put |
| SIMULATIONS PLUS INC | 829214105 | COM | 11,212 | $98,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 5,474 | $98,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 21,379 | $98,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 6,030 | $98,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 217,230 | $98,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,000 | $97,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 1,800 | $97,000 | thousands by filing date | put |
| CONAGRA FOODS INC | 205887102 | COM | 2,184 | $97,000 | thousands by filing date | call |
| RITEAID CORP | 767754104 | COM | 12,000 | $97,000 | thousands by filing date | put |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 15,630 | $97,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 5,424 | $97,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 2,560 | $97,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 9,654 | $97,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 5,108 | $97,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 87,811 | $97,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 22,176 | $97,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,051 | $96,000 | thousands by filing date | call |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 6,805 | $96,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 2,648 | $96,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 34,067 | $96,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 7,870 | $96,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 161,000 | $96,000 | thousands by filing date | principal |
| Applied Materials,Inc. | 038222105 | COM | 4,530 | $95,000 | thousands by filing date | call |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 5,400 | $95,000 | thousands by filing date | call |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 8,254 | $95,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 45,075 | $95,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 5,418 | $95,000 | thousands by filing date | put |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 3,834 | $94,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 35,815 | $94,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 72,012 | $94,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 24,219 | $94,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 9,010 | $94,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 14,055 | $92,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 11,569 | $92,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 5,865 | $91,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 4,000 | $91,000 | thousands by filing date | put |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 4,000 | $91,000 | thousands by filing date | call |
| MEETME INC | 585141104 | COM | 32,282 | $91,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 36,624 | $91,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 11,852 | $90,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 4,000 | $90,000 | thousands by filing date | put |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 4,012 | $90,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 11,336 | $90,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 7,398 | $89,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 3,800 | $89,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 6,000 | $89,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 5,796 | $89,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 1,861 | $89,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 3,108 | $88,000 | thousands by filing date | put |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 2,146 | $88,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 5,475 | $88,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 7,091 | $88,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 6,248 | $88,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 40,000 | $88,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 5,112 | $88,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,435 | $87,000 | thousands by filing date | put |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,030 | $87,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 807 | $87,000 | thousands by filing date | call |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 5,543 | $87,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 11,420 | $87,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 44,600 | $87,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 3,475 | $87,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 2,578 | $87,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 1,300 | $86,000 | thousands by filing date | put |
| SYNERGY PHARMACEUTICALS DEL | 871639118 | *W EXP 12/06/201 | 143,949 | $86,000 | thousands by filing date | call |
| GLOBALSCAPE INC | 37940G109 | COM | 22,882 | $86,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 762 | $85,000 | thousands by filing date | call |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 7,868 | $85,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W506 | PWRSHR DB GERM | 270,155 | $85,000 | thousands by filing date | principal |
| SURGERY PARTNERS INC | 86881A100 | COM | 6,388 | $84,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 7,241 | $84,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 9,036 | $84,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 16,379 | $84,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 484 | $84,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 6,032 | $84,000 | thousands by filing date | |
| Global Partner Acquisition Corp | 37954X113 | *W EXP 07/01/202 | 565,000 | $84,000 | thousands by filing date | call |
| Accenture Plc Class A | G1151C101 | COM | 727 | $83,000 | thousands by filing date | call |
| ACTIVE POWER INC | 00504W308 | COM NEW | 86,875 | $83,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 8,500 | $83,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 4,236 | $82,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 3,600 | $82,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 21,713 | $82,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,000 | $81,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,500 | $81,000 | thousands by filing date | put |
| ADVANTEST CORP. | 00762U200 | Common stock | 8,800 | $81,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 5,727 | $81,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 31,822 | $81,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 41,111 | $81,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 18,146 | $81,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 6,781 | $81,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 10,194 | $81,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 2,250 | $80,000 | thousands by filing date | put |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 17,189 | $80,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 4,854 | $80,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 5,417 | $80,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 5,799 | $80,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,100 | $79,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,057 | $79,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,057 | $79,000 | thousands by filing date | call |
| FIRSTENERGY CORP | 337932107 | COM | 2,200 | $79,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 606 | $79,000 | thousands by filing date | put |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 642 | $79,000 | thousands by filing date | call |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 6,647 | $79,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,084 | $79,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 20,400 | $79,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 3,000 | $79,000 | thousands by filing date | put |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 51,977 | $79,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 5,554 | $79,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 117,151 | $79,000 | thousands by filing date | |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 3,008 | $79,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,493 | $78,000 | thousands by filing date | put |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,400 | $78,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 43,455 | $78,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $78,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 5,770 | $78,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 4,377 | $78,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 8,150 | $78,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 7,383 | $78,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 5,733 | $78,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 8,580 | $78,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 12,296 | $78,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 20,122 | $78,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 5,790 | $78,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,010 | $77,000 | thousands by filing date | call |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 5,300 | $77,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 27,767 | $77,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 36,611 | $77,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 9,258 | $77,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 750 | $76,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 4,250 | $76,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,244 | $76,000 | thousands by filing date | call |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 750 | $76,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 762 | $76,000 | thousands by filing date | call |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 15,888 | $76,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 32,346 | $76,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 12,615 | $76,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 1,018 | $75,000 | thousands by filing date | call |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 7,000 | $75,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 3,039 | $75,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 16,166 | $75,000 | thousands by filing date | |
| PACE HLDGS CORP | G6865N111 | W EXP 99/99/999 | 250,000 | $75,000 | thousands by filing date | call |
| BANCFIRST CORP | 05945F103 | COM | 1,314 | $74,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 34,228 | $74,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 5,500 | $74,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 48,486 | $74,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 7,945 | $74,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 6,601 | $74,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 2,883 | $74,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668502 | COM PAR | 44,331 | $74,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 1,933 | $73,000 | thousands by filing date | put |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,293 | $73,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 14,790 | $73,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 25,245 | $73,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 6,250 | $72,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 76,680 | $72,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 7,770 | $72,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 8,001 | $72,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 12,796 | $72,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 47,000 | $72,000 | thousands by filing date | principal |
| HALLIBURTON CO COM | 406216101 | Stock | 2,000 | $71,000 | thousands by filing date | call |
| GAMING & LEISURE P COM | 36467J108 | REIT | 2,302 | $71,000 | thousands by filing date | call |
| SEACHANGE INTL INC | 811699107 | COM | 12,963 | $71,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 68,884 | $71,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 6,894 | $71,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 4,234 | $70,000 | thousands by filing date | call |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 4,328 | $70,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 5,536 | $70,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 130,694 | $70,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 147,106 | $70,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 34,651 | $70,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 7,466 | $69,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 4,878 | $69,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 3,565 | $69,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 1,508 | $69,000 | thousands by filing date | put |
| ASANKO GOLD INC | 04341Y105 | COM | 32,664 | $69,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 18,762 | $69,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 2,572 | $69,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 4,500 | $69,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 870 | $68,000 | thousands by filing date | put |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 9,562 | $68,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 7,864 | $68,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 207,100 | $68,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 119,490 | $68,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 10,061 | $68,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 3,285 | $68,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 2,696 | $67,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 8,800 | $67,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 49,997 | $67,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 5,167 | $67,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 26,038 | $67,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 8,390 | $67,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 7,490 | $67,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 67,000 | $67,000 | thousands by filing date | principal |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 8,371 | $67,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 700 | $66,000 | thousands by filing date | call |
| NEW MTN FIN CORP | 647551100 | COM | 5,246 | $66,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 5,000 | $66,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 5,330 | $66,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 6,833 | $66,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 22,023 | $66,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 77,000 | $66,000 | thousands by filing date | principal |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 2,690 | $65,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 3,471 | $64,000 | thousands by filing date | put |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,500 | $64,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 20,933 | $64,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 2,999 | $64,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 15,281 | $64,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 7,258 | $64,000 | thousands by filing date | call |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 12,879 | $64,000 | thousands by filing date | |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 70,000 | $64,000 | thousands by filing date | principal |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 820 | $63,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 820 | $63,000 | thousands by filing date | call |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 7,202 | $63,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 4,250 | $63,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 8,276 | $63,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 2,874 | $63,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 27,340 | $63,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 66,000 | $63,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 122,121 | $63,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 5,477 | $62,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,049 | $62,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 7,770 | $62,000 | thousands by filing date | call |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 10,149 | $62,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 50,000 | $62,000 | thousands by filing date | principal |
| MODEL N INC | 607525102 | COM | 5,760 | $61,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 5,579 | $61,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 13,301 | $61,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 29,657 | $60,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 3,665 | $60,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 4,788 | $60,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 8,540 | $60,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 10,297 | $60,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 303 | $59,000 | thousands by filing date | put |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 303 | $59,000 | thousands by filing date | call |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,945 | $59,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 7,140 | $59,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 7,045 | $59,000 | thousands by filing date | |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 50,000 | $59,000 | thousands by filing date | principal |
| TECHTARGET INC | 87874R100 | COM | 7,864 | $58,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 4,830 | $58,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 4,674 | $58,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 2,721 | $58,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 7,414 | $58,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 1,300 | $57,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 300 | $57,000 | thousands by filing date | put |
| YUM BRANDS INC COM | 988498101 | Stock | 700 | $57,000 | thousands by filing date | put |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 11,529 | $57,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 21,108 | $57,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 6,178 | $57,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 7,704 | $57,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 3,202 | $57,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 11,132 | $57,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 51,599 | $57,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 350 | $56,000 | thousands by filing date | put |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 2,353 | $56,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,845 | $56,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 3,489 | $56,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N522 | DB 3X LONG UST | 96,861 | $56,000 | thousands by filing date | principal |
| Lowes Companies,Inc. | 548661107 | COM | 729 | $55,000 | thousands by filing date | call |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 3,050 | $55,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 3,079 | $55,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 75,650 | $55,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 5,264 | $55,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 12,428 | $54,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 6,000 | $54,000 | thousands by filing date | put |
| CITIZENS INC | 174740100 | COMMON STOCK | 7,524 | $54,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 1,320 | $54,000 | thousands by filing date | put |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 12,503 | $54,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 5,252 | $54,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 2,775 | $54,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 536 | $53,000 | thousands by filing date | put |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 7,616 | $53,000 | thousands by filing date | |
| JARDEN CORP | 471109108 | COM | 915 | $53,000 | thousands by filing date | call |
| MMA Capital Management LLC | 55315D105 | COM | 3,300 | $53,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 3,200 | $53,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 20,680 | $53,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 800 | $52,000 | thousands by filing date | put |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 2,647 | $52,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,085 | $52,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,000 | $52,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 50,021 | $52,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 9,221 | $52,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 11,133 | $52,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195116 | *W EXP 09/16/202 | 250,000 | $52,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 4,626 | $52,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 7,811 | $51,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 810 | $51,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 150 | $51,000 | thousands by filing date | call |
| SUNTRUST BANKS INC | 867914103 | COM | 1,427 | $51,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 52,334 | $51,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,392 | $51,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 6,736 | $50,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $50,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 2,659 | $50,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,400 | $50,000 | thousands by filing date | call |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 5,067 | $50,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 4,931 | $50,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 18,953 | $50,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 33,300 | $50,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 9,171 | $50,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 316 | $49,000 | thousands by filing date | call |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 1,083 | $49,000 | thousands by filing date | put |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $49,000 | thousands by filing date | put |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,000 | $49,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $49,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 4,374 | $49,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 6,547 | $49,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 19,578 | $49,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 3,589 | $48,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $48,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 6,000 | $48,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 1,906 | $48,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 10,486 | $48,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 9,182 | $47,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 3,000 | $47,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 1,896 | $47,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 1,435 | $47,000 | thousands by filing date | put |
| VITAL THERAPIES INC | 92847R104 | COM | 5,252 | $47,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 49,540 | $47,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 305 | $46,000 | thousands by filing date | call |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 2,882 | $46,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 6,326 | $46,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 900 | $46,000 | thousands by filing date | call |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,990 | $46,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,469 | $46,000 | thousands by filing date | call |
| MYLAN NV | N59465109 | SHS EURO | 1,000 | $46,000 | thousands by filing date | put |
| NOVACOPPER INC | 66988K102 | COM | 122,500 | $46,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 9,608 | $46,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 2,854 | $46,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,451 | $45,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,739 | $45,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 900 | $45,000 | thousands by filing date | put |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 7,506 | $45,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 2,190 | $45,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,300 | $45,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 23,577 | $45,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 23,926 | $45,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 3,000 | $45,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $45,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 5,088 | $45,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 31,856 | $44,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,795 | $44,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 22,256 | $44,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 41,306 | $44,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 55,000 | $44,000 | thousands by filing date | principal |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 46,179 | $44,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,994 | $44,000 | thousands by filing date | |
| SUNEDISON INC | 86732YAH2 | Bond | 1,295,000 | $44,000 | thousands by filing date | principal |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 4,000 | $43,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,000 | $43,000 | thousands by filing date | put |
| AES TR III | 00808N202 | PFD CV 6.75% | 864 | $43,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 712 | $42,000 | thousands by filing date | call |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 5,500 | $42,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $42,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 300 | $42,000 | thousands by filing date | put |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 1,946 | $42,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 21,186 | $42,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 11,783 | $42,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 24,243 | $42,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,000 | $41,000 | thousands by filing date | call |
| Altria Group Inc | 02209S103 | COM | 670 | $41,000 | thousands by filing date | call |
| Medtronic Plc | G5960L103 | COM | 554 | $41,000 | thousands by filing date | call |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,898 | $41,000 | thousands by filing date | put |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,898 | $41,000 | thousands by filing date | call |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 3,766 | $41,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 18,238 | $41,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 1,457 | $41,000 | thousands by filing date | call |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 8,886 | $41,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 2,318 | $41,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 4,645 | $41,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 18,200 | $41,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,000 | $40,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 2,102 | $40,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 3,070 | $40,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 16,634 | $40,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 12,261 | $40,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 16,384 | $40,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 1,500 | $39,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 366 | $39,000 | thousands by filing date | put |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 615 | $39,000 | thousands by filing date | call |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 6,830 | $39,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 3,000 | $39,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 2,989 | $39,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 9,347 | $39,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 901 | $39,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 5,931 | $39,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 5,673 | $39,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 47,160 | $39,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,761,462 | $39,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 3,197 | $39,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 670 | $38,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 600 | $38,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 553 | $38,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 750 | $38,000 | thousands by filing date | put |
| OOMA INC | 683416101 | COM | 6,475 | $38,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 3,504 | $38,000 | thousands by filing date | put |
| THESTREET INC | 88368Q103 | COM | 31,075 | $38,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 2,800 | $38,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 250 | $37,000 | thousands by filing date | call |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,050 | $37,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 1,251 | $37,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 38,500 | $37,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 28,079 | $37,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 6,652 | $37,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 33,000 | $37,000 | thousands by filing date | principal |
| CLOROX CO DEL | 189054109 | COM | 289 | $36,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 500 | $36,000 | thousands by filing date | put |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 1,000 | $36,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 14,978 | $36,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 52,335 | $36,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 5,301 | $36,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 11,214 | $36,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 273 | $35,000 | thousands by filing date | call |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,939 | $35,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 3,000 | $35,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,218 | $35,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 390 | $35,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 20,046 | $35,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 12,000 | $35,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W209 | DB 3X JAP GOV BD | 123,214 | $35,000 | thousands by filing date | principal |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 534 | $34,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 540 | $34,000 | thousands by filing date | put |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 2,000 | $34,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 603 | $34,000 | thousands by filing date | put |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 2,500 | $34,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,807 | $34,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 18,900 | $34,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 759 | $34,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 64,319 | $34,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 8,724 | $34,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 25,270 | $34,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 12,153 | $34,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 6,844 | $34,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 1,118 | $34,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 72 | $33,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,200 | $33,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 3,000 | $33,000 | thousands by filing date | put |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 7,300 | $33,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 1,050 | $33,000 | thousands by filing date | call |
| MERCER INTL INC | 588056101 | COM | 3,598 | $33,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 344 | $33,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 9,074 | $33,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 4,226 | $33,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 664 | $33,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 15,764 | $33,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 18,848 | $33,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 4,792 | $33,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 3,561 | $33,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 8,949 | $33,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 601 | $33,000 | thousands by filing date | call |
| AVIVA PLC | 05382A104 | ADR | 2,610 | $33,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 10,476 | $33,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 5,760 | $33,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,191 | $33,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 17,140 | $33,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 565 | $32,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 3,753 | $32,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 1,000 | $32,000 | thousands by filing date | put |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 733 | $32,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 3,050 | $32,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 166 | $32,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 4,479 | $32,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,052 | $32,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,871 | $32,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 4,237 | $32,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 3,772 | $32,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 2,051 | $32,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 10,841 | $32,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 5,157 | $32,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F202 | COM | 3,296 | $32,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 406 | $31,000 | thousands by filing date | call |
| PENUMBRA INC COM | 70975L107 | Stock | 685 | $31,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,226 | $31,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 3,182 | $31,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 4,500 | $31,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 13,435 | $31,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 18,705 | $31,000 | 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 |