13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-15, with 5,403 holding rows worth $141,600,149,000.
- Accession
- 0000948046-16-000189
- Filer
- CIK 948046
- Filed
- 2016-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 18,755 entries on the cover page, a total value of $141,600,149,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,600,149,000 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 |
|---|---|---|---|---|---|---|
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 6,010 | $41,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,459 | $41,000 | thousands by filing date | call |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 4,055 | $41,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 4,546 | $41,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 5,500 | $41,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 48,950 | $41,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,736 | $41,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 7,534 | $41,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 121,795 | $41,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 100 | $40,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 867 | $40,000 | thousands by filing date | put |
| DAILY JOURNAL CORP | 233912104 | COM | 173 | $40,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 1,280 | $40,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 9,867 | $40,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 21,470 | $40,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,295 | $40,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 18,952 | $40,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 7,607 | $40,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 3,404 | $40,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W209 | DB 3X JAP GOV BD | 123,214 | $40,000 | thousands by filing date | principal |
| Abbott Laboratories | 002824100 | COM | 1,000 | $39,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 3,900 | $39,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 2,355 | $39,000 | thousands by filing date | call |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 2,750 | $39,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 5,500 | $39,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 8,227 | $39,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 810 | $38,000 | thousands by filing date | call |
| PPL CORP COM | 69351T106 | Stock | 1,027 | $38,000 | thousands by filing date | call |
| RAPID7 INC COM | 753422104 | Stock | 3,057 | $38,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 4,131 | $38,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 2,500 | $38,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 8,839 | $38,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 12,000 | $38,000 | thousands by filing date | put |
| ENDOCYTE INC | 29269A102 | COM | 12,432 | $38,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,044 | $38,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 3,300 | $38,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,386 | $38,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 5,967 | $38,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 7,624 | $38,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 33,000 | $38,000 | thousands by filing date | principal |
| McDonalds Corporation | 580135101 | COM | 311 | $37,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 228 | $37,000 | thousands by filing date | call |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 850 | $37,000 | thousands by filing date | put |
| KOHLS CORP | 500255104 | COM | 1,000 | $37,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 1,744 | $37,000 | thousands by filing date | call |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,807 | $37,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 7,440 | $37,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 2,000 | $37,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 7,012 | $37,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 12,218 | $37,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,000 | $36,000 | thousands by filing date | call |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,208 | $36,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 2,794 | $36,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,198 | $36,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,817 | $36,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 1,225 | $36,000 | thousands by filing date | call |
| Stryker Corporation | 863667101 | COM | 300 | $35,000 | thousands by filing date | put |
| PHILLIPS 66 COM | 718546104 | Stock | 450 | $35,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 500 | $35,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 1,500 | $35,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 159,850 | $35,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 7,546 | $35,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 3,000 | $35,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,213 | $35,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 2,500 | $35,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 363 | $35,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 976 | $35,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 4,546 | $35,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 121,527 | $35,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 7,003 | $34,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 3,749 | $34,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 1,939 | $34,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 2,902 | $34,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 67,034 | $34,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 281 | $34,000 | thousands by filing date | put |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 16,301 | $34,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 18,159 | $34,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 13,311 | $34,000 | thousands by filing date | |
| VENAXIS INC | 92262A206 | COM NEW | 9,908 | $34,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 1,556 | $33,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 7,300 | $33,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 8,823 | $33,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 2,000 | $33,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 5,431 | $33,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 85,100 | $33,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 4,086 | $33,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 2,500 | $33,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 7,394 | $33,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 3,032 | $33,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,729,262 | $33,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 600 | $32,000 | thousands by filing date | put |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 400 | $32,000 | thousands by filing date | put |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,831 | $32,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,778 | $32,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,500 | $32,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 3,027 | $32,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,010 | $32,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 694 | $32,000 | thousands by filing date | call |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,256 | $32,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $32,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 374 | $31,000 | thousands by filing date | call |
| CARDINAL HEALTH INC | 14149Y108 | COM | 400 | $31,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 669 | $31,000 | thousands by filing date | call |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 1,900 | $31,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,809 | $31,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,774 | $31,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 3,142 | $31,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 18,727 | $31,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,354 | $31,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 3,847 | $31,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 157,580 | $31,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 5,212 | $31,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 1,358 | $31,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 13,070 | $31,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 45,000 | $31,000 | thousands by filing date | principal |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 2,328 | $31,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 330 | $30,000 | thousands by filing date | put |
| Duke Energy Corporation | 26441C204 | COM | 350 | $30,000 | thousands by filing date | put |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 5,105 | $30,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 428 | $30,000 | thousands by filing date | call |
| FATE THERAPEUTICS INC | 31189P102 | COM | 17,792 | $30,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 13,035 | $30,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 27,901 | $30,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 1,341 | $30,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 2,232 | $30,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 26,894 | $30,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 5,131 | $30,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 14,939 | $30,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,692 | $30,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 400 | $29,000 | thousands by filing date | put |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,166 | $29,000 | thousands by filing date | call |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,878 | $29,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 4,414 | $29,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 2,021 | $29,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 7,100 | $29,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 19,610 | $29,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 1,382 | $29,000 | thousands by filing date | call |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,531 | $29,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 4,174 | $29,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 15,115 | $29,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 280 | $28,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 200 | $28,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,000 | $28,000 | thousands by filing date | call |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 206 | $28,000 | thousands by filing date | put |
| EASTMAN CHEM CO COM | 277432100 | Stock | 416 | $28,000 | thousands by filing date | call |
| VMWARE, INC. | 928563402 | CL A COM | 500 | $28,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 2,600 | $28,000 | thousands by filing date | put |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,500 | $28,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,264 | $28,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 7,162 | $28,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 11,778 | $28,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 7,715 | $28,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,939 | $28,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,718 | $28,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,542 | $28,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 4,921 | $28,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 200 | $27,000 | thousands by filing date | put |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 600 | $27,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,684 | $27,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 5,232 | $27,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,134 | $27,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 375 | $27,000 | thousands by filing date | call |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,726 | $27,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 6,240 | $27,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 3,943 | $27,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 4,293 | $27,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 105,798 | $27,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 59,279 | $27,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 10,076 | $27,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 200 | $26,000 | thousands by filing date | put |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 2,724 | $26,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 989 | $26,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 410 | $26,000 | thousands by filing date | call |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 220 | $26,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 292 | $26,000 | thousands by filing date | call |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,815 | $26,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 5,109 | $26,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 26,000 | $26,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M201 | COM NEW | 22,486 | $26,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 5,594 | $26,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 4,001 | $26,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 250 | $25,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 215 | $25,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 600 | $25,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 5,141 | $25,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 1,465 | $25,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 453 | $25,000 | thousands by filing date | call |
| MERITOR INC | 59001K100 | COMMON STOCK | 3,521 | $25,000 | thousands by filing date | call |
| Lee Enterprises Inc | 523768109 | COM | 13,306 | $25,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 14,628 | $25,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 3,109 | $25,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,484 | $25,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 12,984 | $25,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 10,861 | $25,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 2,828 | $25,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 320 | $24,000 | thousands by filing date | put |
| FMC CORP COM NEW | 302491303 | Stock | 523 | $24,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 290 | $24,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 456 | $24,000 | thousands by filing date | put |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 1,591 | $24,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 9,940 | $24,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 3,049 | $24,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 2,500 | $24,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,314 | $24,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,163 | $24,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 12,550 | $24,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,082 | $24,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,000 | $24,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 2,300 | $24,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 13,191 | $24,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 7,457 | $24,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,621 | $24,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 333 | $23,000 | thousands by filing date | call |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 2,449 | $23,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 967 | $23,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 1,557 | $23,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 37,195 | $23,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 5,605 | $23,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 5,200 | $23,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,950 | $23,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 118 | $22,000 | thousands by filing date | put |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,700 | $22,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 1,309 | $22,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 571 | $22,000 | thousands by filing date | put |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 2,600 | $22,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,028 | $22,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,432 | $22,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 275 | $22,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 7,076 | $22,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,500 | $22,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 3,646 | $21,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 225 | $21,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 8,800 | $21,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 2,500 | $21,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,536 | $21,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,960 | $21,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 2,227 | $21,000 | thousands by filing date | call |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,412 | $21,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,875 | $21,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 1,720 | $21,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 18,280 | $21,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 4,031 | $21,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 9,819 | $21,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 1,968 | $21,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 3,455 | $21,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 5,621 | $21,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 1,716 | $21,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 1,961 | $21,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 500 | $20,000 | thousands by filing date | call |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 225 | $20,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 43,501 | $20,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,322 | $20,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 525 | $20,000 | thousands by filing date | call |
| Medgenics Inc New | 58436Q203 | COM NEW | 3,724 | $20,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,272 | $20,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 19,029 | $20,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 12,334 | $20,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 45,500 | $20,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 1,801 | $20,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 2,400 | $20,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 2,000 | $20,000 | thousands by filing date | call |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,760 | $20,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,146 | $20,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 150 | $19,000 | thousands by filing date | put |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $19,000 | thousands by filing date | call |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 2,000 | $19,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,795 | $19,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 2,634 | $19,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,700 | $19,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 1,000 | $19,000 | thousands by filing date | call |
| MFRI INC | 552721102 | COMMON STOCK | 2,752 | $19,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 2,120 | $19,000 | thousands by filing date | put |
| P & F INDS INC | 692830508 | CL A NEW | 2,076 | $19,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,869 | $19,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 1,100 | $19,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,166 | $19,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 8,468 | $19,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 51,191 | $19,000 | thousands by filing date | |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 799 | $19,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 4,303 | $19,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,139 | $19,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,787 | $18,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 4,475 | $18,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 492 | $18,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,090 | $18,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,314 | $18,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,530 | $18,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,178 | $18,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 12,200 | $18,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 8,539 | $18,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 32,000 | $18,000 | thousands by filing date | principal |
| ALLY FINL INC COM | 02005N100 | Stock | 1,000 | $17,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 11,500 | $17,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 50 | $17,000 | thousands by filing date | call |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 1,222 | $17,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,600 | $17,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,724 | $17,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 3,442 | $17,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,975 | $17,000 | thousands by filing date | call |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 1,898 | $17,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 22,000 | $17,000 | thousands by filing date | principal |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 37,929 | $17,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 10,109 | $17,000 | thousands by filing date | call |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 25 | $16,000 | thousands by filing date | put |
| APPFOLIO INC | 03783C100 | COM CL A | 1,162 | $16,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 810 | $16,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 800 | $16,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 368 | $16,000 | thousands by filing date | put |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 6,136 | $16,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,348 | $16,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,150 | $16,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,845 | $16,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 365 | $16,000 | thousands by filing date | call |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,643 | $16,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 930 | $16,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,187 | $16,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 14,970 | $16,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $16,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 2,424 | $16,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 8,900 | $16,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 3,407 | $16,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,502 | $16,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 240 | $15,000 | thousands by filing date | call |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 428 | $15,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 194 | $15,000 | thousands by filing date | call |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,545 | $15,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 230 | $15,000 | thousands by filing date | call |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,100 | $15,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 2,066 | $15,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 150 | $15,000 | thousands by filing date | call |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 829 | $15,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 36,051 | $15,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 38,000 | $15,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,654 | $15,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,210 | $15,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 3,073 | $15,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,624 | $15,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,304 | $15,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,986 | $15,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,982 | $15,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 1,552 | $15,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 187 | $14,000 | thousands by filing date | call |
| MATTEL INC | 577081102 | COM | 450 | $14,000 | thousands by filing date | call |
| CAPITALA FIN CORP | 14054R106 | COM | 1,110 | $14,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,101 | $14,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 2,632 | $14,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 4,560 | $14,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 11,363 | $14,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 10,661 | $14,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 2,500 | $14,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,001 | $14,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154P170 | INV JAP GOV BD | 98,794 | $14,000 | thousands by filing date | principal |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 7,785 | $14,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 1,000 | $14,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 2,474 | $14,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 140 | $13,000 | thousands by filing date | call |
| SEMPRA COM | 816851109 | Stock | 116 | $13,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 300 | $13,000 | thousands by filing date | call |
| GEOPARK LTD USD SHS | G38327105 | Stock | 4,054 | $13,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 600 | $13,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 800 | $13,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 400 | $13,000 | thousands by filing date | call |
| CST BRANDS INC | 12646R105 | COM | 317 | $13,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,000 | $13,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 13,782 | $13,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 3,657 | $13,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 4,010 | $13,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 5,627 | $13,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 28,045 | $13,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 600 | $13,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,200 | $13,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 10,158 | $13,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 3,424 | $13,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 7,275 | $13,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,738 | $12,000 | thousands by filing date | |
| 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 |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 815 | $12,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 150 | $12,000 | thousands by filing date | call |
| IMMUCELL CORP | 452525306 | COM PAR | 1,785 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,755 | $12,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 3,362 | $12,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 2,268 | $12,000 | thousands by filing date | put |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 9 | $12,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,890 | $12,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 2,278 | $12,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $12,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 4,400 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 92,817 | $12,000 | thousands by filing date | principal |
| VUZIX CORP | 92921W300 | COM NEW | 1,515 | $11,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $11,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 2,300 | $11,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,000 | $11,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 314 | $11,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 1,664 | $11,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,790 | $11,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 5,668 | $11,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,974 | $11,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 1,250 | $11,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 3,938 | $11,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,873 | $11,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 76 | $10,000 | thousands by filing date | put |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 76 | $10,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 310 | $10,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 390 | $10,000 | thousands by filing date | call |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 1,000 | $10,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 839 | $10,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 1,200 | $10,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 254 | $10,000 | thousands by filing date | call |
| ABERDEEN INDIA FD INC | 454089103 | COM | 443 | $10,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,350 | $10,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,183 | $10,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 1,939 | $10,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 1,100 | $10,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 226 | $10,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 20,041 | $10,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 911 | $10,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 704 | $10,000 | thousands by filing date | call |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 225,298 | $10,000 | thousands by filing date | principal |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 4,073 | $10,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,720 | $10,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,474 | $10,000 | thousands by filing date | |
| IDI INC | 44938L108 | COM | 2,374 | $10,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 1,500 | $9,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 250 | $9,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 375 | $9,000 | thousands by filing date | call |
| INCYTE CORP COM | 45337C102 | Stock | 125 | $9,000 | thousands by filing date | call |
| BRINKER INTL INC COM | 109641100 | Stock | 200 | $9,000 | thousands by filing date | call |
| 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 | |
| BLUE BIRD CORP | 095306106 | COM | 896 | $9,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 1,702 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 600 | $9,000 | thousands by filing date | call |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 375 | $9,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 200 | $9,000 | thousands by filing date | call |
| TEARLAB CORP | 878193101 | COM | 15,283 | $9,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 2,847 | $9,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 352 | $8,000 | thousands by filing date | call |
| MIMECAST LIMITED | G14838109 | ORD SHS | 885 | $8,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 380 | $8,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,063 | $8,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,000 | $8,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,740 | $8,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 1,900 | $8,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 1,124 | $8,000 | thousands by filing date | call |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 520 | $8,000 | thousands by filing date | put |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 246 | $8,000 | thousands by filing date | put |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 500 | $8,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 670 | $8,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $8,000 | thousands by filing date | call |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,304 | $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 |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 8,322 | $8,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 2,900 | $8,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 510 | $8,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 1,127 | $8,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 28,500 | $8,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 1,400 | $7,000 | thousands by filing date | call |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 50 | $7,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 263 | $7,000 | thousands by filing date | put |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 386 | $7,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 266 | $7,000 | thousands by filing date | put |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 500 | $7,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 185 | $7,000 | thousands by filing date | call |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 500 | $7,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 2,000 | $7,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 727 | $7,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 700 | $7,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 463 | $7,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 499 | $7,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 29,800 | $7,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 500 | $7,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,367 | $7,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,758 | $7,000 | thousands by filing date | call |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 1,000 | $7,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 35,150 | $7,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 57 | $6,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 210 | $6,000 | thousands by filing date | call |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 88 | $6,000 | thousands by filing date | call |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 376 | $6,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,275 | $6,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 685 | $6,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 150 | $6,000 | thousands by filing date | call |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $6,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 103,070 | $6,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 616 | $6,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 4,600 | $6,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,220 | $6,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,100 | $6,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 9,464 | $6,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 3,494 | $6,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 4,442 | $6,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 12,660 | $6,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $6,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 1,100 | $6,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,928 | $6,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 995 | $6,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,100 | $6,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 160 | $5,000 | thousands by filing date | call |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 50 | $5,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-16-000189 | this filing | 2016-08-15 | acceptance time not in the bulk data set |