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 |
|---|---|---|---|---|---|---|
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 50,940 | $124,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 25,362 | $124,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 17,700 | $124,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,350 | $123,000 | thousands by filing date | put |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 3,387 | $123,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 11,910 | $123,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 30,423 | $123,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 16,251 | $123,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 8,520 | $123,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 1,307 | $122,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 11,996 | $122,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 16,743 | $122,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 7,218 | $122,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 5,000 | $121,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 30,400 | $120,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 15,000 | $120,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 32,002 | $120,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 28,974 | $120,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 130,000 | $120,000 | thousands by filing date | principal |
| LEMAITRE VASCULAR INC | 525558201 | COM | 8,449 | $119,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 6,517 | $119,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 11,502 | $119,000 | thousands by filing date | call |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 9,083 | $119,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 200,000 | $118,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 5,992 | $118,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 15,153 | $118,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 4,563 | $118,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 143,075 | $118,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 2,398 | $117,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 9,235 | $117,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 11,624 | $117,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 136,500 | $116,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 6,313 | $116,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 63,050 | $116,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 51,151 | $116,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 5,318 | $115,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 618 | $115,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 71,635 | $115,000 | thousands by filing date | |
| Global Partner Acquisition Corp | 37954X113 | *W EXP 07/01/202 | 550,000 | $115,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 12,880 | $114,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 1,880 | $114,000 | thousands by filing date | call |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 11,282 | $114,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 6,300 | $114,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 25,801 | $114,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,158 | $113,000 | thousands by filing date | call |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 15,630 | $113,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 6,547 | $113,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 8,226 | $113,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 61,735 | $113,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 5,401 | $113,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 13,680 | $112,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 69,148 | $112,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 17,665 | $112,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 18,226 | $112,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 18,955 | $112,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,475 | $111,000 | thousands by filing date | call |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 68,838 | $111,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 8,807 | $111,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 4,960 | $111,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 56,037 | $111,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 8,882 | $111,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 102,005 | $111,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,722 | $110,000 | thousands by filing date | call |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 17,567 | $110,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 47,692 | $109,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 22,348 | $109,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 69,653 | $109,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 37,711 | $109,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 4,692 | $108,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,050 | $108,000 | thousands by filing date | put |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 7,513 | $108,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 3,450 | $108,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 47,540 | $108,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 12,009 | $108,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 1,783 | $107,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 1,450 | $107,000 | thousands by filing date | put |
| TWIN DISC INC | 901476101 | COMMON STOCK | 10,082 | $107,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 97,000 | $107,000 | thousands by filing date | principal |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 19,763 | $107,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 4,142 | $107,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 11,013 | $107,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 3,825 | $106,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 37,126 | $106,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 3,601 | $106,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 2,909 | $105,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,366 | $105,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 54,405 | $105,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 4,813 | $104,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 84,591 | $104,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 2,128 | $104,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 8,500 | $104,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 17,319 | $104,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 8,743 | $103,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 1,711 | $103,000 | thousands by filing date | put |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 415,000 | $103,000 | thousands by filing date | call |
| Chevron Corporation | 166764100 | COM | 982 | $102,000 | thousands by filing date | put |
| TITAN MACHY INC | 88830R101 | COM | 9,198 | $102,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 5,550 | $102,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 7,177 | $102,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738110 | MAN COV SEC 16 | 172,435 | $102,000 | thousands by filing date | principal |
| ALLSTATE CORP COM | 020002101 | Stock | 1,453 | $101,000 | thousands by filing date | put |
| CRA INTL INC | 12618T105 | COM | 4,033 | $101,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 6,300 | $101,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 5,542 | $101,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 29,498 | $101,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 20,205 | $101,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,646 | $100,000 | thousands by filing date | put |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 6,642 | $100,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 1,700 | $100,000 | thousands by filing date | put |
| ATENTO S A | L0427L105 | SHS | 11,265 | $100,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 182,178 | $100,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 19,281 | $100,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W506 | PWRSHR DB GERM | 270,155 | $100,000 | thousands by filing date | principal |
| SURGERY PARTNERS INC | 86881A100 | COM | 5,585 | $99,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 21,711 | $99,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 10,692 | $99,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 44,647 | $99,000 | thousands by filing date | |
| UTS CF CORP | G20307123 | UNIT | 10,000 | $99,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 1,130 | $98,000 | thousands by filing date | put |
| NVIDIA Corp | 67066G104 | COM | 2,098 | $98,000 | thousands by filing date | put |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 5,400 | $98,000 | thousands by filing date | call |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 2,593 | $98,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 11,135 | $98,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 6,166 | $98,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 122,000 | $98,000 | thousands by filing date | principal |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 33,185 | $98,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 12,399 | $98,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 1,120 | $97,000 | thousands by filing date | put |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 6,152 | $97,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 7,995 | $97,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 22,694 | $97,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 9,511 | $97,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 8,741 | $97,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 400 | $96,000 | thousands by filing date | put |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 29,778 | $96,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 11,777 | $96,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 7,615 | $96,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 11,080 | $96,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 98,000 | $96,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 7,398 | $95,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 10,776 | $95,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,200 | $94,000 | thousands by filing date | put |
| YUM BRANDS INC COM | 988498101 | Stock | 1,141 | $94,000 | thousands by filing date | put |
| NICOLET BANKSHARES INC | 65406E102 | COM | 2,492 | $94,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 63,255 | $94,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 48,866 | $94,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 1,105 | $93,000 | thousands by filing date | call |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 7,272 | $93,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 6,209 | $93,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 3,800 | $93,000 | thousands by filing date | call |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 74,500 | $93,000 | thousands by filing date | |
| PACE HLDGS CORP | G6865N111 | W EXP 99/99/999 | 375,000 | $93,000 | thousands by filing date | call |
| FS BANCORP INC | 30263Y104 | COM | 3,678 | $92,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 4,012 | $92,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 7,804 | $92,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 9,801 | $91,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 16,574 | $91,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 20,911 | $91,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 10,268 | $91,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 550 | $90,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 5,475 | $90,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 11,922 | $90,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 41,282 | $90,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 130,865 | $90,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 2,221 | $89,000 | thousands by filing date | put |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 403 | $89,000 | thousands by filing date | put |
| UNION BANKSHARES INC | 905400107 | CMN | 2,502 | $89,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 13,044 | $89,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 6,327 | $89,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 9,010 | $89,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,261 | $88,000 | thousands by filing date | put |
| SIGMA DESIGNS INC | 826565103 | COM | 13,742 | $88,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 1,368 | $87,000 | thousands by filing date | call |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 3,958 | $87,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 37,384 | $87,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 18,619 | $87,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 21,743 | $86,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 1,631 | $86,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 273,069 | $85,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 11,204 | $85,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 1,134 | $85,000 | thousands by filing date | call |
| PDVWIRELESS INC | 69290R104 | COM | 4,038 | $85,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 3,105 | $85,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 1,650 | $85,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 3,300 | $84,000 | thousands by filing date | put |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 1,022 | $84,000 | thousands by filing date | call |
| BIOLASE INC | 090911108 | COMMON STOCK | 72,069 | $84,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 2,922 | $83,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 1,500 | $83,000 | thousands by filing date | call |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 6,600 | $83,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 3,600 | $83,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 43,343 | $83,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 3,836 | $82,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 3,085 | $82,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 4,296 | $82,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 32,074 | $82,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 8,762 | $82,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,806 | $81,000 | thousands by filing date | put |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,400 | $81,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 6,331 | $81,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 16,295 | $81,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 3,000 | $81,000 | thousands by filing date | put |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 20,915 | $81,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 11,682 | $81,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 4,059 | $81,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 792 | $80,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 9,657 | $80,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $80,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 11,827 | $80,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 2,537 | $80,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 5,279 | $80,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 1,750 | $80,000 | thousands by filing date | put |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 24,020 | $80,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 5,500 | $79,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 4,328 | $79,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 1,508 | $79,000 | thousands by filing date | put |
| CONSOL ENERGY INC | 20854P109 | COM | 4,961 | $79,000 | thousands by filing date | put |
| REEDS INC COM | 758338107 | Stock | 32,262 | $79,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 65,043 | $79,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 17,263 | $79,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 3,110 | $78,000 | thousands by filing date | put |
| LUNA INNOVATIONS INC | 550351100 | COM | 63,518 | $78,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 516 | $77,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,526 | $77,000 | thousands by filing date | put |
| DOLLAR GEN CORP COM | 256677105 | Stock | 820 | $77,000 | thousands by filing date | call |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 7,473 | $77,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 6,481 | $77,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 1,551 | $77,000 | thousands by filing date | put |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 21,778 | $77,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 91,600 | $77,000 | thousands by filing date | principal |
| TRULIA INC | 897888AB9 | NOTE 2.750%12/1 | 50,000 | $77,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 47,000 | $77,000 | thousands by filing date | principal |
| CONAGRA FOODS INC | 205887102 | COM | 1,595 | $76,000 | thousands by filing date | call |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,449 | $76,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 10,448 | $76,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 20,581 | $76,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 6,976 | $76,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 11,539 | $76,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 26,507 | $75,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 28,644 | $75,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 13,533 | $75,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 9,711 | $74,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 5,242 | $74,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 5,798 | $74,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 5,994 | $74,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 9,349 | $74,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 9,009 | $73,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,268 | $73,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 7,986 | $73,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 3,367 | $72,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 14,577 | $72,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 14,907 | $71,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 14,551 | $71,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 7,018 | $71,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 130,698 | $71,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 14,084 | $71,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 104,451 | $71,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 33,096 | $71,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 34,900 | $71,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 4,500 | $71,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 10,571 | $71,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,521 | $70,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,816 | $70,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 2,634 | $70,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 47,304 | $70,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 46,687 | $70,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 5,000 | $70,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 100,672 | $70,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 13,041 | $70,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N522 | DB 3X LONG UST | 96,861 | $70,000 | thousands by filing date | principal |
| LIPOCINE INC NEW | 53630X104 | CMN | 23,555 | $70,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 1,232 | $69,000 | thousands by filing date | call |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 5,044 | $69,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 13,365 | $69,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 77,000 | $69,000 | thousands by filing date | principal |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 4,267 | $68,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 2,157 | $68,000 | thousands by filing date | put |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 11,002 | $68,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 5,753 | $68,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 5,584 | $68,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 37,535 | $68,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 4,631 | $68,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 27,722 | $68,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 303 | $67,000 | thousands by filing date | call |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 5,000 | $67,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 1,850 | $67,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 8,946 | $67,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 1,470 | $67,000 | thousands by filing date | call |
| EXFO INC | 302046107 | SUB VTG SHS | 19,500 | $67,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 864 | $66,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,985 | $66,000 | thousands by filing date | call |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 1,533 | $66,000 | thousands by filing date | call |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 9,066 | $66,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 8,460 | $66,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 3,100 | $66,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 2,146 | $65,000 | thousands by filing date | put |
| NEWTEKONE INC | 652526203 | COM NEW | 5,174 | $65,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 8,285 | $65,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 5,000 | $65,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 6,000 | $65,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 3,039 | $65,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 51,600 | $65,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,680 | $65,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 1,069 | $64,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 32,189 | $64,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 14,374 | $64,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 8,631 | $64,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,028 | $63,000 | thousands by filing date | call |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,032 | $63,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,232 | $63,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,635 | $63,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 2,000 | $63,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 3,423 | $63,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 11,509 | $63,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 4,373 | $63,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 96,091 | $63,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 400 | $62,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 71,270 | $62,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 11,417 | $62,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 3,115 | $62,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 2,218 | $62,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 21,681 | $62,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 6,612 | $61,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 6,092 | $61,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 18,654 | $61,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 3,738 | $61,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 9,566 | $61,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 122,531 | $61,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 75,150 | $61,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 22,496 | $61,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 15,632 | $61,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 400 | $60,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 820 | $60,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 2,146 | $60,000 | thousands by filing date | put |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 800 | $60,000 | thousands by filing date | put |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 3,380 | $60,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 5,600 | $60,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 12,662 | $60,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 3,625 | $60,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4,565 | $60,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 11,305 | $60,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 5,353 | $59,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 3,540 | $59,000 | thousands by filing date | put |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,614 | $59,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 21,935 | $59,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 7,248 | $59,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 20,768 | $59,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 5,096 | $59,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 645 | $58,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 9,000 | $58,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 3,917 | $58,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 4,830 | $58,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 55,351 | $58,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 5,600 | $58,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 11,502 | $58,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 13,345 | $58,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 15,103 | $58,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 53,000 | $57,000 | thousands by filing date | principal |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 3,200 | $57,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 4,770 | $56,000 | thousands by filing date | put |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 675 | $56,000 | thousands by filing date | put |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 3,800 | $56,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 10,610 | $56,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 7,622 | $56,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 11,540 | $56,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 1,985 | $56,000 | thousands by filing date | put |
| PROFIRE ENERGY INC | 74316X101 | COM | 51,090 | $56,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 59,000 | $56,000 | thousands by filing date | principal |
| HILL INTERNATIONAL INC | 431466101 | COM | 14,137 | $56,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 8,854 | $56,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 16,697 | $56,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 550 | $55,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 767 | $55,000 | thousands by filing date | put |
| SYNERGY PHARMACEUTICALS DEL | 871639118 | *W EXP 12/06/201 | 85,687 | $55,000 | thousands by filing date | call |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 44,419 | $55,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 29,634 | $54,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 5,573 | $54,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 1,317 | $54,000 | thousands by filing date | put |
| DATALINK CORP | 237934104 | COMMON STOCK | 7,451 | $54,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 25,247 | $54,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 300,373 | $54,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 1,546 | $53,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 1,000 | $53,000 | thousands by filing date | call |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 33,100 | $53,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 4,275 | $53,000 | thousands by filing date | put |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 10,663 | $53,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 3,107 | $53,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 10,375 | $53,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 185,715 | $53,000 | thousands by filing date | call |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 299,996 | $53,000 | thousands by filing date | call |
| MARATHON OIL CORP | 565849106 | COM | 3,500 | $52,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 590 | $52,000 | thousands by filing date | call |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 4,500 | $52,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 23,327 | $52,000 | thousands by filing date | |
| Chicopee Bancorp, Inc. | 168565109 | Common Stock | 2,900 | $52,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195116 | *W EXP 09/16/202 | 250,000 | $52,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 4,621 | $51,000 | thousands by filing date | put |
| METLIFE INC COM | 59156R108 | Stock | 1,300 | $51,000 | thousands by filing date | put |
| SMITH A O CORP COM | 831865209 | Stock | 589 | $51,000 | thousands by filing date | call |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 7,250 | $51,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 4,190 | $51,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 7,273 | $51,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 8,494 | $51,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 8,002 | $51,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 15,802 | $51,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 4,994 | $51,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 6,430 | $51,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 8,604 | $51,000 | thousands by filing date | |
| TRINA SOLAR LTD | 89628EAE4 | DEBT 4.000%10/1 | 60,000 | $51,000 | thousands by filing date | principal |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 3,589 | $50,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 5,100 | $50,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 2,157 | $50,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 10,600 | $50,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 3,300 | $50,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 9,068 | $50,000 | thousands by filing date | call |
| OI SA-ADR | 670851500 | ADR | 16,480 | $50,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 147,602 | $50,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 34,641 | $50,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 11,661 | $50,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 5,700 | $50,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 18,138 | $50,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 2,325 | $49,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,460 | $49,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 550 | $49,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 1,467 | $48,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 2,284 | $48,000 | thousands by filing date | call |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 2,882 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 3,000 | $48,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,758 | $48,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 981 | $48,000 | thousands by filing date | call |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 5,465 | $48,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,000 | $48,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $48,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 6,062 | $48,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,173 | $47,000 | thousands by filing date | call |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 1,300 | $47,000 | thousands by filing date | call |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 44,838 | $47,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,027 | $47,000 | thousands by filing date | call |
| ARTESIAN RES CORP | 043113208 | CL A | 1,422 | $47,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 6,700 | $47,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 2,026 | $47,000 | thousands by filing date | call |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 3,000 | $47,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,850 | $47,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 30,837 | $47,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 3,016 | $47,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 5,056 | $47,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 670 | $46,000 | thousands by filing date | call |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 2,550 | $46,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 3,343 | $46,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 36,006 | $46,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 55,000 | $46,000 | thousands by filing date | principal |
| INTERMOLECULAR INC | 45882D109 | COM | 31,611 | $46,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 2,691 | $46,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 1,499 | $46,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $45,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 300 | $45,000 | thousands by filing date | put |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 2,013 | $45,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,417 | $45,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 5,620 | $45,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 32,774 | $45,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,939 | $45,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 5,166 | $45,000 | thousands by filing date | put |
| EXACTECH INC | 30064E109 | COM | 1,730 | $45,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 7,356 | $45,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 549333300 | Stock | 12,073 | $45,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 915 | $44,000 | thousands by filing date | call |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 12,727 | $44,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 600 | $44,000 | thousands by filing date | call |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 5,500 | $44,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 4,000 | $44,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 3,000 | $44,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,294 | $44,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 1,610 | $44,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 5,251 | $44,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 864 | $44,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 5,700 | $44,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 20,822 | $44,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 16,049 | $44,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 11,337 | $44,000 | thousands by filing date | |
| COLONY CAP INC | 19624R403 | CONV PFD-C | 1,915 | $44,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 1,002 | $43,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $43,000 | thousands by filing date | put |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 4,941 | $43,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 40,983 | $43,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 10,122 | $43,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 3,200 | $43,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 986 | $42,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 2,007 | $42,000 | thousands by filing date | put |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,000 | $42,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 3,000 | $42,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 1,749 | $42,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 25,911 | $42,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 8,242 | $42,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 11,056 | $42,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 4,849 | $42,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 29,850 | $42,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 12,201 | $42,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 553 | $41,000 | thousands by filing date | call |
| EMERSON ELEC CO COM | 291011104 | Stock | 800 | $41,000 | thousands by filing date | call |
| GENIE ENERGY LTD | 372284208 | CL B | 6,258 | $41,000 | 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 |