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 |
|---|---|---|---|---|---|---|
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 65,825 | $332,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 405,870 | $332,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 82,780 | $331,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 24,829 | $331,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 135,910 | $330,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 46,726 | $330,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 37,523 | $329,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 63,420 | $328,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 20,190 | $328,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 63,582 | $328,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 25,152 | $327,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 17,252 | $327,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 21,386 | $327,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 178,360 | $327,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 31,561 | $327,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 5,992 | $326,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 24,230 | $326,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 24,602 | $325,000 | thousands by filing date | put |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 79,175 | $324,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 19,407 | $323,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 9,858 | $322,000 | thousands by filing date | put |
| WORKIVA INC COM CL A | 98139A105 | Stock | 23,635 | $321,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 28,745 | $321,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 6,501 | $320,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 7,878 | $320,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 97,437 | $319,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 20,208 | $319,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 42,841 | $316,000 | thousands by filing date | |
| SQNM 5 1/1/18 | 817337AC2 | Bond 30/360P2 U | 545,000 | $316,000 | thousands by filing date | principal |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 23,387 | $315,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 29,096 | $314,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 444 | $312,000 | thousands by filing date | put |
| IDT CORP | 448947507 | CL B NEW | 22,161 | $312,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 340,000 | $312,000 | thousands by filing date | principal |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 119,731 | $310,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 221,722 | $310,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,043 | $309,000 | thousands by filing date | put |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 8,905 | $309,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 34,535 | $309,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 189,663 | $308,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 18,231 | $308,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 15,667 | $306,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 85,032 | $305,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 216,522 | $304,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 202,723 | $303,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 17,500 | $302,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 1,035,100 | $302,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 10,777 | $301,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 16,713 | $300,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 22,184 | $300,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 28,100 | $300,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 104,214 | $299,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 59,684 | $299,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 20,667 | $298,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 137,649 | $298,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280BC2 | NOTE 6.875%12/3 | 300,000 | $298,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 4,082 | $297,000 | thousands by filing date | put |
| CHEFS WHSE INC | 163086101 | COM | 18,602 | $297,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 17,628 | $297,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 2,156,423 | $297,000 | thousands by filing date | principal |
| RADWARE LTD | M81873107 | COMMON STOCK | 26,371 | $296,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 108,101 | $296,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 4,115 | $295,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 11,819 | $295,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 17,460 | $294,000 | thousands by filing date | put |
| LOXO ONCOLOGY INC | 548862101 | COM | 12,765 | $294,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 190,278 | $293,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 18,106 | $292,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 18,205 | $292,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 53,982 | $292,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 38,472 | $290,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 21,694 | $290,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 53,393 | $290,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 8,394 | $289,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 37,114 | $289,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 73,997 | $289,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 26,400 | $288,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 295,000 | $288,000 | thousands by filing date | principal |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 12,592 | $284,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 20,721 | $283,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 25,653 | $282,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 21,901 | $281,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 10,234 | $281,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 62,429 | $281,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 277,000 | $281,000 | thousands by filing date | principal |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 23,351 | $281,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,492 | $280,000 | thousands by filing date | call |
| SEARS CDA INC | 81234D109 | COM | 94,676 | $280,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 16,913 | $280,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 25,292 | $280,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 13,645 | $280,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 35,450 | $279,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 12,619 | $279,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 9,655 | $278,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 23,205 | $278,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 14,278 | $277,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 19,119 | $277,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 24,700 | $277,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 20,321 | $275,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 150,787 | $274,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 32,882 | $274,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 24,044 | $273,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 8,173 | $272,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 186,000 | $271,000 | thousands by filing date | principal |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 19,401 | $271,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 164,800 | $271,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 41,313 | $271,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 16,042 | $270,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 43,617 | $270,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 10,000 | $269,000 | thousands by filing date | put |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 9,229 | $268,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 61,538 | $268,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 22,250 | $267,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 20,795 | $267,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 32,864 | $267,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 34,808 | $266,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 9,214 | $266,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 33,058 | $266,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 5,333 | $266,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 46,692 | $266,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 18,914 | $266,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 276,999 | $266,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 272,000 | $265,000 | thousands by filing date | principal |
| Schlumberger Limited | 806857108 | COM | 3,349 | $264,000 | thousands by filing date | put |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 15,083 | $264,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 104,708 | $263,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 31,190 | $263,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 67,106 | $262,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 18,975 | $262,000 | thousands by filing date | call |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 47,847 | $262,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 6,692 | $261,000 | thousands by filing date | put |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 29,748 | $261,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 4,676 | $258,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 114,020 | $258,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 170,010 | $258,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LD CO | 210226AB2 | NOTE 4.500% 3/1 | 275,000 | $258,000 | thousands by filing date | principal |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 20,872 | $255,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 20,422 | $255,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 13,668 | $254,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 275,000 | $254,000 | thousands by filing date | principal |
| FNFV GROUP | 31620R402 | COM | 22,143 | $253,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 2,186 | $253,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 25,199 | $253,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 2,852 | $252,000 | thousands by filing date | call |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 7,433 | $252,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 12,551 | $252,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 38,362 | $252,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 29,910 | $251,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 26,880 | $251,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 51,665 | $251,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 4,394 | $250,000 | thousands by filing date | put |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 252,000 | $250,000 | thousands by filing date | principal |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 53,272 | $249,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 23,072 | $249,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 57,951 | $249,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 27,817 | $249,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 14,140 | $247,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 426,411 | $247,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 15,175 | $246,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 30,897 | $246,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 49,517 | $246,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 197,114 | $245,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 20,711 | $245,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 16,969 | $245,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 345,445 | $245,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 585,907 | $245,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 29,384 | $245,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 22,061 | $245,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 1,643 | $242,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 17,267 | $242,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 230,825 | $242,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,310 | $241,000 | thousands by filing date | call |
| GLADSTONE LAND CORP | 376549101 | REIT | 21,880 | $241,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 30,186 | $241,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 55,061 | $241,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 116,780 | $240,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 53,114 | $240,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 29,883 | $240,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 21,497 | $239,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 12,081 | $239,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 166,753 | $239,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 1,326 | $238,000 | thousands by filing date | call |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 12,066 | $238,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 35,319 | $237,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 18,222 | $237,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 91,671 | $237,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 29,363 | $237,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 92,906 | $237,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 55,362 | $237,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 4,408 | $236,000 | thousands by filing date | call |
| KEY TRONIC CORP | 493144109 | COM | 31,442 | $236,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 24,900 | $236,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 8,555 | $235,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 257,000 | $234,000 | thousands by filing date | principal |
| Wells Fargo & Company | 949746101 | COM | 4,929 | $232,000 | thousands by filing date | call |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 10,444 | $232,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 16,824 | $232,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 15,361 | $232,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 199,000 | $232,000 | thousands by filing date | principal |
| HALLIBURTON CO COM | 406216101 | Stock | 5,094 | $229,000 | thousands by filing date | put |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 4,131 | $229,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 21,890 | $229,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 242,000 | $229,000 | thousands by filing date | principal |
| TIME WARNER INC | 887317303 | COM NEW | 3,115 | $228,000 | thousands by filing date | put |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 19,776 | $228,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 37,247 | $227,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 10,597 | $225,000 | thousands by filing date | put |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 14,190 | $225,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 181,094 | $225,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 22,529 | $225,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 3,851 | $224,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 9,416 | $224,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 10,639 | $224,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 13,175 | $222,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 12,307 | $221,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 27,224 | $221,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 3,646 | $220,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 12,394 | $220,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 7,504 | $220,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 120,646 | $220,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 229,000 | $220,000 | thousands by filing date | principal |
| QUINSTREET INC | 74874Q100 | COM | 62,086 | $219,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 14,142 | $219,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 21,069 | $219,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 5,515 | $219,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 131,769 | $219,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 22,187 | $219,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 5,331 | $218,000 | thousands by filing date | call |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 9,779 | $218,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 30,192 | $218,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 13,600 | $218,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 1,500 | $217,000 | thousands by filing date | call |
| NRC HEALTH | 637372202 | COMMON STOCK | 15,976 | $217,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 14,733 | $217,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AC8 | DEB 0.750 3/3 | 195,000 | $217,000 | thousands by filing date | principal |
| Costco Wholesale Corporation | 22160K105 | COM | 1,375 | $215,000 | thousands by filing date | put |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 17,686 | $215,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 14,461 | $215,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 27,406 | $215,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 9,985 | $214,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 3,429 | $214,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 14,095 | $214,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 11,619 | $214,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 12,700 | $214,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 58,280 | $214,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 9,405 | $212,000 | thousands by filing date | put |
| PAYCHEX INC | 704326107 | COM | 3,550 | $211,000 | thousands by filing date | call |
| MERCADOLIBREINC | 58733R102 | STOK | 1,500 | $211,000 | thousands by filing date | put |
| KOPIN CORP | 500600101 | COMMON STOCK | 95,844 | $211,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 9,709 | $211,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,387 | $210,000 | thousands by filing date | put |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 19,504 | $210,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 43,818 | $209,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 16,521 | $209,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 11,931 | $208,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 64,011 | $208,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 26,512 | $207,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 7,596 | $206,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 68,918 | $206,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 15,565 | $206,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 719,900 | $205,000 | thousands by filing date | principal |
| WILLDAN GROUP INC | 96924N100 | COM | 19,352 | $205,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 64,557 | $205,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 10,499 | $204,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 1,910 | $202,000 | thousands by filing date | call |
| VICOR CORP | 925815102 | COM | 20,155 | $202,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 27,195 | $202,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 19,452 | $201,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 2,307 | $200,000 | thousands by filing date | call |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 23,042 | $200,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 32,894 | $200,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 71,509 | $200,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 3,451 | $200,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 66,005 | $200,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 34,149 | $200,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 99,292 | $199,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 311,077 | $199,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 28,481 | $199,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 4,400 | $198,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 82,113 | $198,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 87,895 | $198,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 21,520 | $198,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 3,576 | $196,000 | thousands by filing date | put |
| Hugoton Royalty Trust | 444717102 | COM | 83,267 | $196,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W407 | PWRSHR 3X GERM | 353,405 | $196,000 | thousands by filing date | principal |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 3,789 | $195,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 22,284 | $195,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 43,794 | $195,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 12,065 | $195,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 5,350 | $194,000 | thousands by filing date | call |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 13,543 | $194,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 38,921 | $194,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 33,691 | $194,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 105,608 | $194,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 243,696 | $194,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 9,928 | $193,000 | thousands by filing date | put |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 7,200 | $192,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 12,538 | $192,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,520 | $191,000 | thousands by filing date | put |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 18,667 | $191,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 6,982 | $191,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 24,829 | $191,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 14,789 | $191,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 15,820 | $190,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 12,575 | $189,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 18,235 | $188,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 68,623 | $188,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 19,808 | $188,000 | thousands by filing date | |
| ING GROEP N V | 456837AE3 | DBCV 6.000%12/2 | 200,000 | $188,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 10,300 | $187,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 8,059 | $187,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 44,685 | $187,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 202,000 | $187,000 | thousands by filing date | principal |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 22,928 | $187,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 42,103 | $186,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 10,432 | $186,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 35,009 | $186,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 10,009 | $186,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 11,964 | $185,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 28,045 | $185,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 15,309 | $183,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 23,804 | $183,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 118,839 | $183,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 13,200 | $182,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,404 | $181,000 | thousands by filing date | call |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 11,929 | $181,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 16,324 | $181,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 1,730 | $180,000 | thousands by filing date | call |
| VERITEX HLDGS INC | 923451108 | COM | 11,308 | $180,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 5,646 | $180,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 29,014 | $179,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 822 | $178,000 | thousands by filing date | call |
| INSTRUCTURE INC | 45781U103 | COM | 9,432 | $178,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 3,100 | $177,000 | thousands by filing date | put |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 2,328 | $176,000 | thousands by filing date | put |
| AFFIMED N V | N01045108 | COM | 71,316 | $176,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 11,885 | $176,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 142,262 | $176,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 4,505 | $175,000 | thousands by filing date | call |
| PATRICK INDS INC | 703343103 | COM | 2,925 | $175,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 47,127 | $173,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,998 | $172,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 13,754 | $172,000 | thousands by filing date | call |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 1,396 | $172,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 11,104 | $172,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 15,488 | $171,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 3,632 | $171,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 8,632 | $171,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 12,242 | $171,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 75,984 | $171,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 7,902 | $170,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 20,060 | $170,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 32,563 | $170,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 4,296 | $170,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 26,245 | $169,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 8,887 | $169,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 7,932 | $168,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 13,377 | $167,000 | thousands by filing date | put |
| EVERPURE INC CL A | 74624M102 | Stock | 15,346 | $166,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 16,536 | $166,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 3,365 | $166,000 | thousands by filing date | call |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 150,000 | $166,000 | thousands by filing date | principal |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 6,644 | $165,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 10,596 | $165,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AU7 | COM | 117,000 | $164,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 5,625 | $163,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 19,832 | $162,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 4,154 | $162,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 31,096 | $162,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 8,900 | $161,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 32,140 | $160,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 23,012 | $160,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 132,465 | $159,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 23,153 | $159,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 2,690 | $159,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 15,667 | $158,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 6,636 | $157,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 4,192 | $157,000 | thousands by filing date | call |
| CAPITOL ACQUISITION CORP III | 14055M114 | *W EXP 10/19/202 | 450,000 | $157,000 | thousands by filing date | call |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 4,800 | $155,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 124 | $154,000 | thousands by filing date | put |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 13,518 | $154,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 1,936 | $153,000 | thousands by filing date | call |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 6,934 | $153,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 25,600 | $153,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 21,514 | $152,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 4,516 | $151,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 21,568 | $151,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 21,077 | $151,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,000 | $151,000 | thousands by filing date | call |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 7,334 | $151,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 19,837 | $151,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 5,449 | $150,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 3,283 | $149,000 | thousands by filing date | call |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 13,595 | $149,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 13,771 | $149,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 164,122 | $149,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 140,000 | $149,000 | thousands by filing date | principal |
| Procter & Gamble Co | 742718109 | COM | 1,760 | $148,000 | thousands by filing date | put |
| ALIMERA SCIENCES INC | 016259103 | COM | 121,069 | $148,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 992 | $147,000 | thousands by filing date | put |
| BOX INC CL A | 10316T104 | Stock | 14,328 | $147,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 12,855 | $147,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 1,044 | $146,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 20,201 | $146,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 5,312 | $146,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 128,062 | $146,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 67,767 | $146,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 8,371 | $146,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 123,945 | $146,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 15,000 | $146,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 10,500 | $145,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 15,000 | $145,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 36,800 | $144,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 14,990 | $144,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 456,074 | $144,000 | thousands by filing date | principal |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 21,711 | $144,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 18,200 | $144,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 306,706 | $144,000 | thousands by filing date | call |
| Schlumberger Limited | 806857108 | COM | 1,811 | $143,000 | thousands by filing date | call |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 30,852 | $143,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 9,859 | $143,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 6,774 | $143,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 64,604 | $143,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 53,330 | $143,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U119 | *W EXP 01/01/202 | 797,200 | $143,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 2,550 | $142,000 | thousands by filing date | put |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 3,242 | $142,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 9,833 | $142,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 26,577 | $141,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 3,549 | $141,000 | thousands by filing date | call |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 9,855 | $141,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 17,668 | $141,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 17,290 | $141,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 8,984 | $141,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 50,793 | $141,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 4,955 | $141,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 26,723 | $140,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 16,193 | $140,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 14,285 | $140,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 37,984 | $140,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 6,300 | $140,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 6,513 | $140,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 4,284 | $140,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 19,672 | $139,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BR3 | NOTE 3.720% 3/1 | 150,000 | $139,000 | thousands by filing date | principal |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,000 | $138,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 8,731 | $138,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 10,575 | $138,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 4,947 | $138,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 275,604 | $138,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 2,070 | $137,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 17,000 | $137,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 9,240 | $137,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 107,602 | $137,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 33,583 | $137,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 83,795 | $137,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 12,000 | $136,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 25,164 | $136,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 9,871 | $136,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 10,000 | $135,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 585,940 | $135,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 6,464 | $135,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 4,828 | $134,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 3,489 | $134,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 5,700 | $134,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 36,464 | $134,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 15,056 | $134,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 30,467 | $133,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 55,747 | $133,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 44,891 | $133,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 129,000 | $133,000 | thousands by filing date | principal |
| RENREN INC | 759892102 | SPONSORED ADR | 74,747 | $132,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 7,605 | $132,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 38,779 | $131,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 7,993 | $130,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 126,000 | $130,000 | thousands by filing date | principal |
| NANOVIRICIDES INC | 630087203 | COM NEW | 81,373 | $130,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,350 | $129,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 1,335 | $129,000 | thousands by filing date | put |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 8,026 | $129,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 11,092 | $129,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 36,638 | $129,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,637 | $128,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 11,500 | $128,000 | thousands by filing date | put |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 8,252 | $128,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 2,817 | $127,000 | thousands by filing date | call |
| 51JOB INC | 316827104 | SPONSORED ADS | 4,357 | $127,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 9,196 | $127,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 14,562 | $126,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 5,065 | $126,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 25,675 | $126,000 | thousands by filing date | call |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 12,034 | $125,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 10,097 | $125,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 11,507 | $125,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 7,879 | $125,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 7,946 | $125,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 12,466 | $124,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 25,513 | $124,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 59,601 | $124,000 | thousands by filing date |
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 |