13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 5,056 holding rows worth $124,355,916,000.
- Accession
- 0000948046-17-000037
- Filer
- CIK 948046
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 18,029 entries on the cover page, a total value of $124,355,916,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $124,355,916,000 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
- reports for this filerRussell Investments Group, Ltd.028-17598
- 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 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 |
|---|---|---|---|---|---|---|
| APPFOLIO INC | 03783C100 | COM CL A | 4,906 | $115,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 8,900 | $115,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 3,032 | $115,000 | thousands by filing date | put |
| SYSTEMAX INC | 871851101 | COM | 13,257 | $115,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 20,000 | $115,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 5,995 | $115,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 19,243 | $114,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 4,390 | $114,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 22,136 | $114,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 9,400 | $114,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 300 | $113,000 | thousands by filing date | put |
| Lifetime Brands Inc | 53222Q103 | COM | 6,474 | $113,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 22,942 | $113,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 5,099 | $113,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 84,000 | $113,000 | thousands by filing date | principal |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 35,536 | $113,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 12,922 | $113,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 44,647 | $113,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 8,026 | $113,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 4,000 | $112,000 | thousands by filing date | call |
| SB FINL GROUP INC | 78408D105 | COM | 7,000 | $112,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 11,466 | $112,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 27,094 | $112,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 2,120 | $111,000 | thousands by filing date | put |
| Prologis,Inc. | 74340W103 | COM | 2,120 | $111,000 | thousands by filing date | call |
| FREIGHTCAR AMER INC | 357023100 | COM | 7,546 | $111,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 7,162 | $111,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 27,713 | $111,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 3,772 | $111,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 8,290 | $111,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 34,613 | $111,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 10,777 | $110,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 7,202 | $110,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 753 | $109,000 | thousands by filing date | call |
| 51JOB INC | 316827104 | SPONSORED ADS | 3,253 | $109,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 4,793 | $109,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,418 | $109,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 21,900 | $109,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 12,438 | $109,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 136,000 | $109,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 16,615 | $109,000 | thousands by filing date | |
| VELOCITYSHARES DAILY 2X VIX SHORT TERM ETN | 22539T274 | ETF | 1,152,735 | $109,000 | thousands by filing date | principal |
| ConocoPhillips | 20825C104 | COM | 2,174 | $108,000 | thousands by filing date | call |
| ALLSTATE CORP COM | 020002101 | Stock | 1,467 | $108,000 | thousands by filing date | call |
| HERBALIFE LTD | G4412G101 | COM SHS | 2,250 | $108,000 | thousands by filing date | put |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 77,300 | $108,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 2,615 | $107,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 21,478 | $107,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 10,718 | $107,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 43,192 | $107,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 5,076 | $107,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 200,000 | $106,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 13,056 | $106,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 6,524 | $106,000 | thousands by filing date | call |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 4,718 | $106,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 38,733 | $106,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 28,351 | $106,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 5,772 | $105,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 9,500 | $105,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 1,340 | $105,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 4,543 | $105,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 4,052 | $104,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 3,285 | $104,000 | thousands by filing date | call |
| AUTOBYTEL INC | 05275N205 | COM | 7,796 | $104,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 5,500 | $103,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,595 | $103,000 | thousands by filing date | call |
| VERACYTE INC COM | 92337F107 | Stock | 13,540 | $103,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 10,300 | $103,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 161,616 | $103,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 14,324 | $103,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 4,243 | $103,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 9,729 | $103,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 13,713 | $103,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 23,525 | $102,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 23,880 | $102,000 | thousands by filing date | |
| TSL 3.5 06/19 | 89628EAC8 | Bond30E/360P2 U | 108,000 | $102,000 | thousands by filing date | principal |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,484 | $101,000 | thousands by filing date | put |
| Cenveo Inc (NV) | 15670S402 | CS | 14,500 | $101,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 21,964 | $101,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 2,146 | $100,000 | thousands by filing date | put |
| MFRI INC | 552721102 | COMMON STOCK | 12,431 | $100,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 43,056 | $100,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 62,903 | $100,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 9,600 | $99,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 37,967 | $99,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 10,769 | $99,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 8,619 | $99,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 32,915 | $99,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 20,755 | $99,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 37,006 | $99,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 17,700 | $99,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 4,556 | $98,000 | thousands by filing date | call |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 12,762 | $98,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,204 | $98,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 7,731 | $98,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 1,173 | $97,000 | thousands by filing date | call |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 1,986 | $97,000 | thousands by filing date | put |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 15,189 | $97,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 6,051 | $97,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 65,156 | $97,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 112,500 | $97,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 26,163 | $97,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,920 | $96,000 | thousands by filing date | put |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 83 | $96,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 5,242 | $96,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 5,813 | $96,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 112,542 | $96,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 19,587 | $96,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 841 | $95,000 | thousands by filing date | call |
| NIKE,Inc. Class B | 654106103 | COM | 1,889 | $95,000 | thousands by filing date | put |
| NORDSTROM INC | 655664100 | COM | 1,989 | $95,000 | thousands by filing date | put |
| UFP TECHNOLOGIES INC | 902673102 | COM | 3,814 | $95,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 7,615 | $95,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 147,687 | $95,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 23,697 | $95,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 7,354 | $95,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 18,995 | $95,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 1,283 | $94,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 4,343 | $94,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 693 | $94,000 | thousands by filing date | put |
| QUINSTREET INC | 74874Q100 | COM | 25,358 | $94,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 11,970 | $94,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 601 | $93,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 1,083 | $93,000 | thousands by filing date | call |
| DESTINATION XL GROUP INC | 25065K104 | COM | 22,086 | $93,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 17,829 | $93,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 8,200 | $92,000 | thousands by filing date | call |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 3,402 | $92,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,600 | $91,000 | thousands by filing date | put |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 52,548 | $91,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 5,050 | $91,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 2,905 | $90,000 | thousands by filing date | call |
| RADIANT LOGISTICS INC | 75025X100 | COM | 23,355 | $90,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 38,498 | $90,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 13,231 | $90,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 11,195 | $89,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 20,886 | $89,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 27,549 | $89,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 21,332 | $89,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 10,518 | $89,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 10,967 | $89,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 7,741 | $88,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 5,267 | $88,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 17,684 | $88,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,279 | $87,000 | thousands by filing date | call |
| RADISYS CORP | 750459109 | COM | 19,939 | $87,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 33,012 | $87,000 | thousands by filing date | |
| Emergent Capital | 29102N105 | Com | 71,794 | $86,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 13,113 | $86,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 4,250 | $85,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 6,803 | $85,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 8,100 | $85,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 19,996 | $85,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 4,731 | $85,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 8,615 | $85,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,050 | $84,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 2,246 | $84,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 12,067 | $84,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 74,000 | $84,000 | thousands by filing date | principal |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 9,637 | $84,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 4,477 | $84,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 2,759 | $83,000 | thousands by filing date | put |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 483 | $83,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,561 | $83,000 | thousands by filing date | call |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 9,467 | $83,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 13,659 | $83,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 5,020 | $83,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 50,528 | $83,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 5,937 | $83,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 95,000 | $83,000 | thousands by filing date | principal |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 18,357 | $83,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J114 | *W EXP 04/13/202 | 185,715 | $83,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 463 | $82,000 | thousands by filing date | call |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 10,839 | $82,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 1,460 | $82,000 | thousands by filing date | call |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 8,092 | $82,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 1,061 | $81,000 | thousands by filing date | call |
| Delta Apparel Inc | 247368103 | COM | 4,015 | $81,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 8,017 | $81,000 | thousands by filing date | call |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 2,261 | $80,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 19,387 | $80,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 590 | $79,000 | thousands by filing date | call |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 1,750 | $79,000 | thousands by filing date | call |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 6,711 | $79,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 9,217 | $79,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 95,250 | $79,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 1,600 | $79,000 | thousands by filing date | put |
| GIGPEAK INC | 37518Q109 | COM | 32,050 | $79,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,334 | $78,000 | thousands by filing date | call |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 131,338 | $78,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 32,577 | $77,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 48,000 | $77,000 | thousands by filing date | principal |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 6,292 | $77,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 94,772 | $77,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 14,269 | $77,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 32,728 | $77,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 470 | $76,000 | thousands by filing date | put |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 8,213 | $76,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 16,548 | $76,000 | thousands by filing date | |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 83,000 | $76,000 | thousands by filing date | principal |
| VIDEOCON D2H LTD | 92657J101 | ADR | 9,305 | $76,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 1,115 | $75,000 | thousands by filing date | put |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 5,000 | $75,000 | thousands by filing date | put |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 8,100 | $75,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 15,768 | $75,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 6,354 | $75,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 45,177 | $75,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 5,270 | $75,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 19,142 | $75,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 2,842 | $75,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 14,630 | $75,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 1,560 | $74,000 | thousands by filing date | put |
| BAKER HUGHES INC | 057224107 | COM | 1,150 | $74,000 | thousands by filing date | put |
| HARDINGE INC | 412324303 | COM | 6,795 | $74,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 4,104 | $74,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 141,846 | $73,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 6,737 | $73,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 13,108 | $73,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 4,116 | $73,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 18,371 | $72,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 9,100 | $72,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 4,544 | $72,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 1,870 | $72,000 | thousands by filing date | call |
| 1347 Property Insurance Holdings | 68244P107 | COM | 9,329 | $72,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 17,007 | $72,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,050 | $71,000 | thousands by filing date | put |
| FEDEX CORP COM | 31428X106 | Stock | 387 | $71,000 | thousands by filing date | put |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 141,648 | $71,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 7,900 | $71,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 36,498 | $71,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 4,007 | $71,000 | thousands by filing date | |
| SABAN CAP ACQUISITION CORP | 78516C114 | *W EXP 09/21/202 | 75,000 | $71,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 1,002 | $70,000 | thousands by filing date | call |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 6,100 | $70,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 4,731 | $70,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 3,235 | $70,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,108 | $69,000 | thousands by filing date | call |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 7,236 | $69,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 22,885 | $69,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 16,599 | $69,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 9,762 | $69,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 33,190 | $69,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 12,333 | $69,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 1,000 | $68,000 | thousands by filing date | call |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 38,616 | $68,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 6,300 | $68,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 5,678 | $68,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 2,540 | $68,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 13,013 | $68,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 66,825 | $68,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 51,437 | $68,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 440 | $67,000 | thousands by filing date | call |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 33,799 | $67,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 44,134 | $67,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 16,334 | $67,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 11,322 | $66,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 889 | $66,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 800 | $66,000 | thousands by filing date | put |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 59,900 | $66,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 45,672 | $66,000 | thousands by filing date | |
| Cardconnect Corp | 14141X108 | COM | 5,260 | $66,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 400 | $65,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,000 | $65,000 | thousands by filing date | put |
| EASTMAN CHEM CO COM | 277432100 | Stock | 875 | $65,000 | thousands by filing date | call |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 15,742 | $65,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 8,138 | $65,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 11,115 | $65,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 65,000 | $65,000 | thousands by filing date | principal |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 87,195 | $65,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 2,037 | $65,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 844 | $64,000 | thousands by filing date | call |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 16,796 | $64,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 5,409 | $64,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 29,887 | $64,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 47,940 | $64,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 5,011 | $63,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 800 | $63,000 | thousands by filing date | put |
| CANADIAN SOLAR INC | 136635109 | COM | 5,205 | $63,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 34,632 | $63,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 11,200 | $63,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 2,717 | $63,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 64,000 | $63,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 1,000 | $62,000 | thousands by filing date | put |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 345 | $62,000 | thousands by filing date | put |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 5,000 | $62,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 24,879 | $62,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 7,194 | $62,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 15,669 | $62,000 | thousands by filing date | |
| CROSSROADS SYS INC COM PAR | 22765D407 | Stock | 14,636 | $62,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 10,363 | $61,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 3,600 | $61,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 3,250 | $61,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $61,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 6,696 | $61,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 28,933 | $61,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 6,338 | $61,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 30,588 | $61,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,036 | $60,000 | thousands by filing date | put |
| EOG RES INC COM | 26875P101 | Stock | 600 | $60,000 | thousands by filing date | put |
| EOG RES INC COM | 26875P101 | Stock | 600 | $60,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 2,103 | $60,000 | thousands by filing date | call |
| BALL CORP | 058498106 | COM | 800 | $60,000 | thousands by filing date | put |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 4,830 | $60,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 7,962 | $60,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 8,382 | $60,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 37,666 | $59,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 4,634 | $59,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,945 | $59,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 480 | $58,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 21,205 | $58,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 18,056 | $58,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,196 | $58,000 | thousands by filing date | call |
| CLEARONE INC | 18506U104 | COM | 5,118 | $58,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 4,766 | $58,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 63,750 | $58,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,386 | $57,000 | thousands by filing date | call |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 4,438 | $57,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 21,231 | $57,000 | thousands by filing date | |
| SCMP 3.25 12/21 | 864909AA4 | Bond 30/360P2 U | 54,000 | $57,000 | thousands by filing date | principal |
| Lowes Companies,Inc. | 548661107 | COM | 800 | $56,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 2,207 | $56,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 7,813 | $56,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 26,190 | $56,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,680 | $56,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 44,106 | $56,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 5,100 | $55,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 867 | $55,000 | thousands by filing date | call |
| THESTREET INC | 88368Q103 | COM | 65,735 | $55,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 39,348 | $55,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 13,208 | $55,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,371 | $54,000 | thousands by filing date | call |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 387 | $54,000 | thousands by filing date | call |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 3,242 | $54,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 8,054 | $54,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 12,487 | $54,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 43,130 | $54,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 43,340 | $54,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 2,101 | $53,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 2,500 | $53,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 1,700 | $53,000 | thousands by filing date | call |
| ITERIS INC NEW | 46564T107 | COM | 14,738 | $53,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 47,556 | $53,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 8,683 | $52,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,341 | $52,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 24,311 | $52,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 12,531 | $52,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 30,427 | $52,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 37,582 | $52,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 13,367 | $51,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 2,648 | $51,000 | thousands by filing date | put |
| AVINGER INC | 053734109 | COM | 14,116 | $51,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,161 | $50,000 | thousands by filing date | call |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 8,551 | $50,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 2,735 | $50,000 | thousands by filing date | put |
| COMMERCEHUB INC | 20084V306 | COM SER C | 3,492 | $50,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,070 | $49,000 | thousands by filing date | call |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 5,000 | $49,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 7,071 | $49,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 8,676 | $49,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 529 | $48,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 464 | $48,000 | thousands by filing date | put |
| TIME WARNER INC | 887317303 | COM NEW | 500 | $48,000 | thousands by filing date | put |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 46,631 | $48,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 20,057 | $48,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 7,108 | $47,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 3,390 | $47,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,582 | $47,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 1,500 | $47,000 | thousands by filing date | put |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 8,642 | $47,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 491 | $46,000 | thousands by filing date | call |
| STERICYCLE INC | 858912108 | COM | 606 | $46,000 | thousands by filing date | put |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 1,074 | $46,000 | thousands by filing date | call |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 5,240 | $46,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 1,313 | $46,000 | thousands by filing date | put |
| MIND C T I LTD | M70240102 | ORD | 18,891 | $46,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 690 | $45,000 | thousands by filing date | call |
| AUTOZONE INC COM | 053332102 | Stock | 58 | $45,000 | thousands by filing date | put |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $45,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 3,816 | $45,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 17,641 | $45,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,000 | $45,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 8,648 | $45,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 7,964 | $45,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 800 | $44,000 | thousands by filing date | call |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 5,990 | $44,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 17,453 | $44,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 15,259 | $44,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P500 | COM PAR | 48,475 | $44,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 9,252 | $44,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,012 | $44,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 629 | $43,000 | thousands by filing date | call |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 27,900 | $43,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,399 | $43,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 41,925 | $43,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 758 | $42,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 1,901 | $42,000 | thousands by filing date | call |
| MIMECAST LIMITED | G14838109 | ORD SHS | 2,349 | $42,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 5,366 | $42,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 2,919 | $42,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 86,261 | $42,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 38,550 | $42,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,146 | $41,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 400 | $41,000 | thousands by filing date | call |
| SILVER WHEATON CORP | 828336107 | COM | 2,191 | $41,000 | thousands by filing date | call |
| SPAN AMER MED SYS INC | 846396109 | COM | 2,274 | $41,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 14,670 | $41,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 7,541 | $41,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 3,478 | $40,000 | thousands by filing date | call |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,230 | $40,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 2,551 | $40,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 22,563 | $40,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 11,255 | $40,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 1,264 | $39,000 | thousands by filing date | put |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 950 | $39,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 3,088 | $39,000 | thousands by filing date | call |
| SECUREWORKS CORP | 81374A105 | CL A | 3,834 | $39,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 9,611 | $39,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 5,600 | $39,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 17,952 | $39,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 45,000 | $39,000 | thousands by filing date | principal |
| Abbott Laboratories | 002824100 | COM | 1,000 | $38,000 | thousands by filing date | call |
| MOODYS CORP COM | 615369105 | Stock | 410 | $38,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 950 | $38,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 350 | $38,000 | thousands by filing date | put |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,208 | $37,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 7,329 | $37,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 2,065 | $37,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 27,087 | $37,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 19,554 | $37,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 14,259 | $37,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 32,901 | $37,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 124,263 | $37,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 195 | $36,000 | thousands by filing date | call |
| URBAN OUTFITTERS INC | 917047102 | COM | 1,284 | $36,000 | thousands by filing date | call |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 699 | $36,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,705 | $36,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 17,569 | $36,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 299 | $36,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 50,655 | $36,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 14,859 | $36,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 904 | $35,000 | thousands by filing date | call |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 205 | $35,000 | thousands by filing date | put |
| HERC HLDGS INC COM | 42704L104 | Stock | 875 | $35,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 4,995 | $35,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 20,731 | $35,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,482 | $35,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 3,823 | $35,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,190 | $35,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 20,666 | $35,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 3,049 | $35,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 50,000 | $35,000 | thousands by filing date | call |
| BLACK KNIGHT INC | 09214X100 | COM | 964 | $35,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 2,549 | $35,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,236 | $34,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 499 | $34,000 | thousands by filing date | call |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 1,000 | $34,000 | thousands by filing date | call |
| IMAX CORP | 45245E109 | COM | 1,100 | $34,000 | thousands by filing date | put |
| AMREP CORP | 032159105 | COM | 4,598 | $34,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 6,100 | $34,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 13,462 | $34,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 517 | $33,000 | thousands by filing date | call |
| AUTODESK INC COM | 052769106 | Stock | 456 | $33,000 | thousands by filing date | put |
| GAP INC COM | 364760108 | Stock | 1,492 | $33,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 460 | $33,000 | thousands by filing date | call |
| SPARK NETWORKS INC | 84651P100 | COM | 40,880 | $33,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 4,933 | $33,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 280 | $32,000 | thousands by filing date | put |
| Medtronic Plc | G5960L103 | COM | 456 | $32,000 | thousands by filing date | call |
| Stryker Corporation | 863667101 | COM | 270 | $32,000 | thousands by filing date | call |
| Union Pacific Corporation | 907818108 | COM | 310 | $32,000 | thousands by filing date | put |
| SYNCHRONYFINL | 87165B103 | STOK | 900 | $32,000 | thousands by filing date | call |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 210 | $32,000 | thousands by filing date | put |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 1,800 | $32,000 | thousands by filing date | put |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 7,195 | $32,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 5,780 | $32,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 4,586 | $32,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 6,502,130 | $32,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 6,340 | $32,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 262 | $31,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 2,642 | $31,000 | thousands by filing date | call |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 607 | $31,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 58,710 | $31,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,300 | $31,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 582 | $31,000 | thousands by filing date | call |
| MEI PHARMA INC | 55279B202 | COM NEW | 21,778 | $31,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 2,401 | $31,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 19,402 | $31,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,000 | $30,000 | thousands by filing date | call |
| ParkerVision Inc | 701354300 | USD | 16,471 | $30,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 3,727 | $30,000 | thousands by filing date | put |
| SYNACOR INC | 871561106 | COM | 9,953 | $30,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 3,610 | $30,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 17,924 | $30,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 9,186 | $30,000 | thousands by filing date | |
| BOULEVARD ACQUISITION | 10157Q110 | *W EXP 09/25/202 | 57,900 | $30,000 | thousands by filing date | call |
| AXAR ACQUISITION CORP | 05455L110 | *W EXP 12/31/202 | 400,000 | $30,000 | thousands by filing date | call |
| AFLAC INC COM | 001055102 | Stock | 423 | $29,000 | thousands by filing date | call |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 80 | $29,000 | thousands by filing date | put |
| FIRST HAWAIIAN INC | 32051X108 | COM | 872 | $29,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 1,037 | $29,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-17-000037 | this filing | 2017-02-14 | acceptance time not in the bulk data set |