13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 5,072 holding rows worth $141,465,128,000.
- Accession
- 0000948046-16-000206
- Filer
- CIK 948046
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 17,879 entries on the cover page, a total value of $141,465,128,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,465,128,000 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 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 |
|---|---|---|---|---|---|---|
| Emergent Capital | 29102N105 | Com | 29,488 | $86,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 13,465 | $85,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 38,787 | $85,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 18,717 | $85,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 470 | $84,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 7,642 | $84,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 1,865 | $84,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,336 | $83,000 | thousands by filing date | put |
| ADVAXIS INC | 007624208 | COM NEW | 7,822 | $83,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 18,401 | $83,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 185,715 | $83,000 | thousands by filing date | call |
| WORKIVA INC COM CL A | 98139A105 | Stock | 4,585 | $82,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 367,394 | $82,000 | thousands by filing date | principal |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 5,047 | $82,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 8,800 | $81,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 13,981 | $81,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 16,575 | $81,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 34,859 | $81,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 13,086 | $81,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 1,001 | $80,000 | thousands by filing date | call |
| CRA INTL INC | 12618T105 | COM | 3,065 | $80,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 47,226 | $80,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 2,192 | $79,000 | thousands by filing date | put |
| CIT GROUP INC COM NEW | 125581801 | Stock | 2,192 | $79,000 | thousands by filing date | call |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 5,142 | $79,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 2,146 | $78,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,484 | $78,000 | thousands by filing date | put |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 7,203 | $78,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 47,011 | $78,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 12,998 | $78,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 800 | $77,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 550 | $77,000 | thousands by filing date | call |
| HURCO CO | 447324104 | COM | 2,786 | $77,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 4,172 | $77,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $76,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 1,515 | $76,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 2,659 | $76,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 8,765 | $76,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,310 | $75,000 | thousands by filing date | put |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 13,100 | $75,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 30,896 | $75,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 14,351 | $75,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 13,779 | $75,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 3,205 | $75,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 3,228 | $75,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 2,828 | $75,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 2,095 | $74,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 14,262 | $74,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 455 | $73,000 | thousands by filing date | put |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 3,731 | $73,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 17,567 | $73,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 24,944 | $73,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 71,593 | $73,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 7,000 | $73,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 53,552 | $73,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 304 | $72,000 | thousands by filing date | call |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 22,580 | $72,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 7,270 | $72,000 | thousands by filing date | put |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 6,274 | $72,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 60,334 | $72,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 4,437 | $72,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 3,800 | $72,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 2,000 | $71,000 | thousands by filing date | put |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 4,727 | $71,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 26,267 | $71,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 6,008 | $71,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 8,266 | $71,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 4,350 | $71,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 6,200 | $71,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 3,633 | $70,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 13,369 | $70,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 5,700 | $70,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 3,884 | $70,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 5,300 | $69,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 6,600 | $69,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 72,000 | $69,000 | thousands by filing date | principal |
| COTIVITI HLDGS INC | 22164K101 | COM | 2,081 | $69,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 800 | $68,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 838 | $68,000 | thousands by filing date | call |
| MILACRON HLDGS CORP | 59870L106 | COM | 4,311 | $68,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 14,300 | $68,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 4,248 | $67,000 | thousands by filing date | put |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 122,531 | $67,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 3,250 | $67,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 15,574 | $67,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 24,420 | $67,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 17,505 | $67,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 39,196 | $67,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,176 | $67,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 13,477 | $67,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 387 | $66,000 | thousands by filing date | put |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 540 | $66,000 | thousands by filing date | call |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 2,149 | $66,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 4,577 | $66,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 5,000 | $66,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 24,699 | $66,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 83,000 | $66,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 30,700 | $66,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 54,860 | $66,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 6,621 | $66,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 11,444 | $66,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 1,164 | $65,000 | thousands by filing date | put |
| SPLUNK INC | 848637104 | COM | 1,113 | $65,000 | thousands by filing date | call |
| MYOKARDIA INC | 62857M105 | COM | 4,022 | $65,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 2,401 | $65,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 88,948 | $65,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 11,280 | $65,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,493 | $64,000 | thousands by filing date | call |
| CONAGRA FOODS INC | 205887102 | COM | 1,373 | $64,000 | thousands by filing date | call |
| TWILIO INC CL A | 90138F102 | Stock | 1,011 | $64,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 303 | $64,000 | thousands by filing date | put |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 303 | $64,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 3,925 | $64,000 | thousands by filing date | call |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 31,108 | $64,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 15,347 | $64,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 7,619 | $64,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 34,658 | $63,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 100,805 | $63,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 100,314 | $63,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 864 | $62,000 | thousands by filing date | call |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 3,197 | $62,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 8,100 | $62,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 1,620 | $62,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 39,000 | $62,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 6,000 | $62,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 8,178 | $62,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,680 | $62,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 5,455 | $62,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 23,020 | $62,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 2,520 | $61,000 | thousands by filing date | call |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 400 | $61,000 | thousands by filing date | call |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 4,328 | $61,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 15,104 | $61,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 100,180 | $61,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 11,841 | $61,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 56,163 | $61,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 55,000 | $61,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L207 | COM NEW | 35,912 | $61,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 64,000 | $61,000 | thousands by filing date | principal |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 4,830 | $60,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 5,400 | $60,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 875 | $59,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 590 | $59,000 | thousands by filing date | call |
| GLOBALSCAPE INC | 37940G109 | COM | 16,693 | $59,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 4,570 | $59,000 | thousands by filing date | |
| VELOCITYSHARES DAILY 2X VIX SHORT TERM ETN | 22539T274 | ETF | 329,318 | $59,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 1,379 | $58,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 380 | $58,000 | thousands by filing date | call |
| SMITH A O CORP COM | 831865209 | Stock | 589 | $58,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 18,187 | $58,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,213 | $58,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 3,600 | $58,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $58,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 9,182 | $58,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 12,505 | $58,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,575,887 | $58,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 47,798 | $58,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 400 | $57,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 1,300 | $57,000 | thousands by filing date | call |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 1,963 | $57,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 3,284 | $57,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 624 | $57,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 3,230 | $57,000 | thousands by filing date | put |
| GTX INC | 40052B108 | COM | 72,906 | $57,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 5,819 | $57,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 7,080 | $57,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 25,412 | $57,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 70 | $56,000 | thousands by filing date | call |
| Coca-Cola Company | 191216100 | COM | 1,354 | $56,000 | thousands by filing date | call |
| Eli Lilly and Company | 532457108 | COM | 700 | $56,000 | thousands by filing date | put |
| VULCAN MATLS CO COM | 929160109 | Stock | 500 | $56,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 34,345 | $56,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 7,066 | $56,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 7,470 | $56,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 23,038 | $56,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 19,935 | $56,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,786 | $56,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 2,202 | $56,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 4,900 | $56,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 300 | $55,000 | thousands by filing date | put |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 2,328 | $55,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,809 | $55,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,000 | $55,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $55,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 109,013 | $55,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 13,335 | $55,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 4,572 | $55,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 594 | $54,000 | thousands by filing date | put |
| TROVAGENE INC | 897238309 | COM | 12,116 | $54,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 30,468 | $54,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 6,049 | $54,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 6,800 | $54,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 850 | $53,000 | thousands by filing date | put |
| INGREDION INC COM | 457187102 | Stock | 400 | $53,000 | thousands by filing date | call |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $53,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 6,530 | $53,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 23,110 | $53,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 10,556 | $53,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 46,000 | $53,000 | thousands by filing date | principal |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 594 | $52,000 | thousands by filing date | call |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 3,457 | $52,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,196 | $52,000 | thousands by filing date | call |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 3,371 | $52,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,366 | $52,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 41,400 | $52,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 7,907 | $52,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 25,959 | $52,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 48,629 | $52,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 50,000 | $52,000 | thousands by filing date | principal |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 7,696 | $52,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 5,363 | $52,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 11,322 | $50,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 5,000 | $50,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 54,613 | $50,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 1,317 | $50,000 | thousands by filing date | put |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 391 | $49,000 | thousands by filing date | call |
| PTC INC COM | 69370C100 | Stock | 1,109 | $49,000 | thousands by filing date | call |
| DAILY JOURNAL CORP | 233912104 | COM | 233 | $49,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 4,109 | $49,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,312 | $49,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 4,208 | $49,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 22,583 | $49,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,000 | $49,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,762 | $49,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 1,861 | $49,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 42,818 | $49,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 46,000 | $49,000 | thousands by filing date | principal |
| COMMERCEHUB INC | 20084V108 | COM SER A | 3,244 | $49,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,100 | $48,000 | thousands by filing date | call |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 1,702 | $48,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 916 | $48,000 | thousands by filing date | call |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 9,127 | $48,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 16,900 | $48,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 4,500 | $47,000 | thousands by filing date | put |
| TRANSCAT INC | 893529107 | COM | 4,300 | $47,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 2,821 | $47,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,773 | $47,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 1,027 | $47,000 | thousands by filing date | call |
| STEALTHGAS INC | Y81669106 | COM | 13,703 | $47,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 2,648 | $47,000 | thousands by filing date | put |
| SILVER WHEATON CORP | 828336107 | COM | 1,750 | $47,000 | thousands by filing date | call |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 8,704 | $47,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 1,002 | $46,000 | thousands by filing date | call |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,752 | $46,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $46,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 5,478 | $46,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 28,287 | $46,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 7,511 | $46,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 4,810 | $46,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 2,060 | $46,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 5,315 | $46,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 640 | $45,000 | thousands by filing date | call |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 981 | $45,000 | thousands by filing date | call |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,038 | $45,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 20,134 | $45,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 9,698 | $45,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 3,478 | $44,000 | thousands by filing date | call |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 3,185 | $44,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,610 | $44,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,200 | $44,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 2,018 | $44,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 3,836 | $44,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 6,503 | $44,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 22,000 | $44,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 2,201 | $44,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 96,123 | $44,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 800 | $43,000 | thousands by filing date | call |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 8,683 | $43,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 24,332 | $43,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $43,000 | thousands by filing date | put |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,644 | $43,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 687 | $43,000 | thousands by filing date | call |
| ID SYSTEMS INC | 449489103 | COM | 8,725 | $43,000 | thousands by filing date | |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 61,289 | $43,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 670 | $42,000 | thousands by filing date | call |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 10,799 | $42,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,756 | $42,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 4,121 | $42,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 2,292 | $42,000 | thousands by filing date | call |
| NOBILIS HEALTH CORP | 65500B103 | COM | 12,988 | $42,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 1,664 | $42,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 2,908 | $42,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 2,483 | $41,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 325 | $41,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 394 | $41,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 5,585 | $41,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 12,049 | $41,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 18,210 | $41,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 10,461 | $41,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 17,669 | $41,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 8,867 | $41,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 1,672 | $40,000 | thousands by filing date | call |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 500 | $40,000 | thousands by filing date | put |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 463 | $40,000 | thousands by filing date | put |
| GDL FD | 361570104 | COM SH BEN IT | 4,100 | $40,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 500 | $40,000 | thousands by filing date | put |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,717 | $40,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 4,800 | $40,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 14,185 | $40,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 32,185 | $40,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 146,269 | $40,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 4,762 | $40,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 2,577 | $40,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 120,291 | $40,000 | thousands by filing date | principal |
| LIPOCINE INC NEW | 53630X104 | CMN | 9,124 | $40,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,216 | $39,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,387 | $39,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 18,178 | $39,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 500 | $39,000 | thousands by filing date | call |
| NEONODE INC | 64051M402 | COM NEW | 34,632 | $39,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 45,334 | $39,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,103 | $39,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,776 | $39,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 1,500 | $38,000 | thousands by filing date | call |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 4,776 | $38,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 50,886 | $38,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 16,940 | $38,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 2,191 | $38,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 500 | $37,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 1,439 | $37,000 | thousands by filing date | put |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 6,379 | $37,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,975 | $37,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 1,166 | $37,000 | thousands by filing date | call |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,208 | $37,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,000 | $36,000 | thousands by filing date | call |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 1,500 | $36,000 | thousands by filing date | put |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 850 | $36,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 750 | $36,000 | thousands by filing date | put |
| GENIE ENERGY LTD | 372284208 | CL B | 6,308 | $36,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,945 | $36,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 7,440 | $36,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 371 | $36,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 5,005 | $36,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 7,000 | $36,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 1,430 | $36,000 | thousands by filing date | call |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,900 | $36,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 2,390 | $36,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 5,084 | $35,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 311 | $35,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 509 | $35,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 350 | $35,000 | thousands by filing date | put |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 4,128 | $35,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 2,000 | $35,000 | thousands by filing date | put |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 2,000 | $35,000 | thousands by filing date | call |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 11,000 | $35,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 3,931 | $35,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 43,113 | $35,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 700 | $35,000 | thousands by filing date | put |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 12,784 | $35,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 521 | $34,000 | thousands by filing date | call |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 468 | $34,000 | thousands by filing date | call |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 15,689 | $34,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 935 | $34,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,320 | $34,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 6,874 | $34,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 3,727 | $34,000 | thousands by filing date | put |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 45,000 | $34,000 | thousands by filing date | principal |
| Elevance Health, Inc. | 036752103 | COM | 268 | $33,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 464 | $33,000 | thousands by filing date | put |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 2,104 | $33,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,236 | $33,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,601 | $33,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,440 | $33,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 2,901 | $33,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 6,209 | $33,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 1,401 | $33,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 10,842 | $33,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 6,518 | $33,000 | thousands by filing date | |
| BOULEVARD ACQUISITION | 10157Q110 | *W EXP 09/25/202 | 57,900 | $33,000 | thousands by filing date | call |
| VENAXIS INC | 92262A206 | COM NEW | 11,213 | $33,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 267 | $32,000 | thousands by filing date | put |
| ConocoPhillips | 20825C104 | COM | 750 | $32,000 | thousands by filing date | put |
| Danaher Corporation | 235851102 | COM | 416 | $32,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 2,949 | $32,000 | thousands by filing date | call |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 80 | $32,000 | thousands by filing date | put |
| AUTODESK INC COM | 052769106 | Stock | 456 | $32,000 | thousands by filing date | put |
| TIPTREE INC | 88822Q103 | COM | 5,708 | $32,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,762 | $32,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 237 | $32,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 499 | $32,000 | thousands by filing date | call |
| SB FINL GROUP INC | 78408D105 | COM | 2,600 | $32,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 5,467 | $32,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 18,481 | $32,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 21,798 | $32,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 9,358 | $32,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 58,964 | $32,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 500 | $31,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 205 | $31,000 | thousands by filing date | put |
| TYSON FOODS INC CL A | 902494103 | Stock | 424 | $31,000 | thousands by filing date | call |
| V2X INC | 92242T101 | COM | 2,187 | $31,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 3,832 | $31,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,545 | $31,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,187 | $31,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 5,912 | $31,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,256 | $31,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,381 | $31,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 3,911 | $31,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 18,220 | $31,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 15,853 | $31,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 9,582 | $31,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 9,332 | $30,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 63,911 | $30,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 375 | $30,000 | thousands by filing date | put |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 2,965 | $30,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 1,750 | $30,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 838 | $30,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 4,031 | $30,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,092 | $30,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 2,649 | $30,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 90,423 | $30,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 1,550 | $29,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 163 | $29,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 549 | $29,000 | thousands by filing date | put |
| TIME WARNER INC | 887317303 | COM NEW | 375 | $29,000 | thousands by filing date | call |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,139 | $29,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 581 | $29,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 3,300 | $29,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 6,509 | $29,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 1,715 | $29,000 | thousands by filing date | call |
| RTI BIOLOGICS INC | 74975N105 | COM | 9,522 | $29,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,119 | $29,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 29,402 | $29,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 3,823 | $29,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 3,917 | $29,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 623 | $28,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 300 | $28,000 | thousands by filing date | call |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 429 | $28,000 | thousands by filing date | call |
| HELMERICH & PAYNE INC | 423452101 | COM | 426 | $28,000 | thousands by filing date | put |
| MATTEL INC | 577081102 | COM | 937 | $28,000 | thousands by filing date | put |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 2,000 | $28,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 1,740 | $28,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 5,984 | $28,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 2,570 | $28,000 | thousands by filing date | call |
| VANTIV INC | 92210H105 | CL A | 500 | $28,000 | thousands by filing date | call |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,553 | $28,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 24,678 | $28,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 3,236 | $28,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 500 | $27,000 | thousands by filing date | call |
| MOODYS CORP COM | 615369105 | Stock | 257 | $27,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 531 | $27,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 56,501 | $27,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 3,585 | $27,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 838 | $27,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,468 | $27,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 1,501 | $27,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 3,277 | $27,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 101,245 | $27,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 459 | $27,000 | thousands by filing date | call |
| MAJESCO | 56068V102 | COM | 5,671 | $27,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,674 | $27,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,238 | $27,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 427 | $26,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,270 | $26,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 1,000 | $26,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 325 | $26,000 | thousands by filing date | call |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,726 | $26,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 5,181 | $26,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 200 | $26,000 | thousands by filing date | call |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 741 | $26,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 3,201 | $26,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,528 | $26,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 4,896 | $26,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 8,855 | $26,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 362 | $25,000 | thousands by filing date | call |
| SYNCHRONYFINL | 87165B103 | STOK | 900 | $25,000 | thousands by filing date | call |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 2,724 | $25,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 250 | $25,000 | thousands by filing date | put |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,571 | $25,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 6,167 | $25,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,319 | $25,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,964 | $25,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,084 | $25,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 5,701 | $25,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 38,564 | $25,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 4,100 | $25,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 4,554 | $25,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 16,624 | $25,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 7,217 | $25,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 4,870 | $25,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 2,000 | $25,000 | thousands by filing date | call |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 1,482 | $25,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 215 | $24,000 | thousands by filing date | put |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 5,410 | $24,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 935 | $24,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 6,594 | $24,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 14,000 | $24,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 10,109 | $24,000 | thousands by filing date | call |
| AR CAP ACQUISITION CORP | 00191R117 | *W EXP 10/06/201 | 400,000 | $24,000 | thousands by filing date | call |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $23,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 320 | $23,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 400 | $23,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 317 | $23,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 134 | $23,000 | thousands by filing date | call |
| IES HOLDINGS INC | 44951W106 | COM | 1,353 | $23,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 509 | $23,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 3,471 | $23,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,930 | $23,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 10,539 | $23,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,700 | $23,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 27,900 | $23,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-16-000206 | this filing | 2016-11-14 | acceptance time not in the bulk data set |