13F-HR/A filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR/A for the quarter ended 2018-12-31, filed 2019-04-01, with 5,258 holding rows worth $141,016,651,000.
- Accession
- 0000948046-19-000053
- Filer
- CIK 948046
- Filed
- 2019-04-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, amendment of type restatement, 21,859 entries on the cover page, a total value of $141,016,651,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,016,651,000 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 (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 managerDeutsche Asset Management (UK) Ltd028-13988
- included managerDBX Advisors LLC028-18169
- included managerDWS Investments Hong Kong Ltd028-19303
- included managerDWS CH AG028-19301
- included managerDB UK Bank Ltd028-19293
- included managerDWS Investment S.A.028-19307
- included managerDWS International GmbH028-19304
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 |
|---|---|---|---|---|---|---|
| SHARPS COMPLIANCE CORP | 820017101 | COM | 13,919 | $48,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 4,300 | $48,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 188 | $47,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 1,534 | $47,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,028 | $47,000 | thousands by filing date | put |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 9,100 | $47,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 8,367 | $47,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 246 | $46,000 | thousands by filing date | call |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 25,971 | $46,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 6,123 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 1,593 | $46,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 620 | $46,000 | thousands by filing date | put |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 4,823 | $46,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 7,493 | $46,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 27,796 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 485 | $45,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 3,173 | $45,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 11,711 | $45,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 32,006 | $45,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 71,300 | $45,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 4,540 | $45,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 75,210 | $45,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 227 | $44,000 | thousands by filing date | call |
| Waste Management, Inc. | 94106L109 | COM | 500 | $44,000 | thousands by filing date | call |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 98,379 | $44,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 2,748 | $44,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 4,776 | $44,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 36,871 | $44,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 35,700 | $44,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 8,717 | $44,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 37,285 | $44,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 467 | $43,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 395 | $43,000 | thousands by filing date | put |
| LEAR CORP COM NEW | 521865204 | Stock | 350 | $43,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 835 | $43,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,222 | $43,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 117,035 | $43,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 4,092 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 1,015 | $42,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 2,428 | $42,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 900 | $42,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 14,900 | $42,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 3,300 | $42,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 837 | $42,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 43,000 | $42,000 | thousands by filing date | principal |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 478,356 | $42,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 8,560 | $41,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 552 | $41,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 746 | $41,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 17,897 | $41,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 1,564 | $41,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 11,648 | $41,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 7,316 | $41,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 8,235 | $41,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 310 | $40,000 | thousands by filing date | call |
| Lockheed Martin Corporation | 539830109 | COM | 154 | $40,000 | thousands by filing date | put |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 1,656 | $40,000 | thousands by filing date | call |
| VERITONE INC | 92347M100 | COM | 10,949 | $40,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 17,076 | $40,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 54,700 | $40,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 2,700 | $39,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 350 | $39,000 | thousands by filing date | put |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 3,022 | $39,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 10,000 | $39,000 | thousands by filing date | call |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 13,072 | $39,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 1,294 | $39,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 19,300 | $39,000 | thousands by filing date | |
| MOGO FIN TECHNOLOGY INC | 608008108 | COM | 17,300 | $39,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 47,863 | $39,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 871 | $38,000 | thousands by filing date | call |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 246 | $38,000 | thousands by filing date | call |
| MARATHON PETE CORP COM | 56585A102 | Stock | 645 | $38,000 | thousands by filing date | call |
| TARGET CORP COM | 87612E106 | Stock | 589 | $38,000 | thousands by filing date | call |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 520 | $38,000 | thousands by filing date | put |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 361 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 510 | $38,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 7,208 | $38,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 2,282 | $38,000 | thousands by filing date | put |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 17,100 | $38,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 1,090 | $38,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 2,747 | $38,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 7,778 | $38,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 41,900 | $38,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 86,111 | $38,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 485 | $37,000 | thousands by filing date | call |
| ILLUMINA INC | 452327109 | COM | 126 | $37,000 | thousands by filing date | call |
| SACHEM CAP CORP | 78590A109 | COM | 9,492 | $37,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 3,652 | $37,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,517 | $37,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 12,794 | $37,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 53,887 | $37,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 113 | $36,000 | thousands by filing date | put |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 3,489 | $36,000 | thousands by filing date | put |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 600 | $36,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 43,627 | $36,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 327,995 | $36,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 384 | $35,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 377 | $35,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 1,170 | $35,000 | thousands by filing date | call |
| EMERSON ELEC CO COM | 291011104 | Stock | 600 | $35,000 | thousands by filing date | put |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 785 | $35,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 2,350 | $35,000 | thousands by filing date | put |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,416 | $35,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 4,400 | $35,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 371 | $35,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 106 | $34,000 | thousands by filing date | call |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 100 | $34,000 | thousands by filing date | put |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 100 | $34,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 2,584 | $34,000 | thousands by filing date | call |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 4,000 | $34,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 1,526 | $34,000 | thousands by filing date | put |
| CIT GROUP INC COM NEW | 125581801 | Stock | 900 | $34,000 | thousands by filing date | call |
| ConocoPhillips | 20825C104 | COM | 543 | $33,000 | thousands by filing date | call |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 394 | $33,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 361 | $33,000 | thousands by filing date | call |
| ALLY FINL INC COM | 02005N100 | Stock | 1,500 | $33,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 300 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 324 | $33,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 5,692 | $33,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 8,993 | $33,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 9,900 | $33,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,635 | $33,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 347 | $32,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 300 | $32,000 | thousands by filing date | put |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 21,600 | $32,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 106,885 | $32,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,492 | $31,000 | thousands by filing date | call |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,724 | $31,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 500 | $31,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 198 | $31,000 | thousands by filing date | call |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 455 | $31,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 132 | $31,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 1,430 | $31,000 | thousands by filing date | call |
| AMDOCS LTD | G02602103 | SHS | 545 | $31,000 | thousands by filing date | call |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 6,000 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,181 | $31,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 187,910 | $31,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 500 | $30,000 | thousands by filing date | call |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 393 | $30,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 1,081 | $30,000 | thousands by filing date | call |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 5,252 | $30,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 130,719 | $30,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 10,076 | $30,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 4,780 | $30,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 25,640 | $30,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 2,187 | $30,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 622 | $29,000 | thousands by filing date | call |
| ECOLAB INC COM | 278865100 | Stock | 200 | $29,000 | thousands by filing date | call |
| HOLOGIC INC | 436440101 | COM | 725 | $29,000 | thousands by filing date | call |
| ZENDESK INC | 98936J101 | COM | 510 | $29,000 | thousands by filing date | put |
| XEROX CORP | 984121608 | COM NEW | 1,500 | $29,000 | thousands by filing date | put |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 108,608 | $29,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 70,820 | $29,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 1,218 | $29,000 | thousands by filing date | call |
| GULF IS FABRICATION INC | 402307102 | COM | 4,146 | $29,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 5,534 | $29,000 | thousands by filing date | call |
| CAPITOL INVT CORP IV | G18920127 | *W EXP 01/01/202 | 29,866 | $29,000 | thousands by filing date | call |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 9,800 | $29,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 950 | $28,000 | thousands by filing date | put |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 18,109 | $28,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 2,650 | $28,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 4,617 | $28,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 175 | $27,000 | thousands by filing date | call |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 4,477 | $27,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 2,962 | $27,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 20,185 | $27,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 212 | $27,000 | thousands by filing date | call |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 3,885 | $27,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 3,277 | $27,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 34,556 | $27,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,600 | $27,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 8,119 | $27,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 266,800 | $27,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 273 | $26,000 | thousands by filing date | put |
| Oracle Corporation | 68389X105 | COM | 594 | $26,000 | thousands by filing date | call |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 500 | $26,000 | thousands by filing date | call |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 886 | $26,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,400 | $26,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 1,969 | $26,000 | thousands by filing date | put |
| TAITRON COMPONENTS INC | 874028103 | CL A | 15,100 | $26,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 63,709 | $26,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,256 | $26,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 61,205 | $26,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 13,100 | $26,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 300 | $25,000 | thousands by filing date | call |
| Eaton Corp. Plc | G29183103 | COM | 368 | $25,000 | thousands by filing date | call |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 250 | $25,000 | thousands by filing date | call |
| PROPETRO HLDG CORP | 74347M108 | COM | 2,110 | $25,000 | thousands by filing date | call |
| HILL INTERNATIONAL INC | 431466101 | COM | 8,122 | $25,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 6,393 | $25,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 660 | $24,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 245 | $24,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 964 | $24,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 1,200 | $24,000 | thousands by filing date | call |
| RH | 74967X103 | COM | 202 | $24,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 1,648 | $24,000 | thousands by filing date | call |
| BALLANTYNE STRONG INC | 058516105 | COM | 20,927 | $24,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 33,000 | $24,000 | thousands by filing date | principal |
| Caterpillar Inc. | 149123101 | COM | 182 | $23,000 | thousands by filing date | call |
| Charles Schwab Corp | 808513105 | COM | 563 | $23,000 | thousands by filing date | put |
| Medtronic Plc | G5960L103 | COM | 255 | $23,000 | thousands by filing date | put |
| FMC CORP COM NEW | 302491303 | Stock | 315 | $23,000 | thousands by filing date | call |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 1,033 | $23,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 420 | $23,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 201 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 1,400 | $23,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 2,116 | $23,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 2,100 | $23,000 | thousands by filing date | put |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 438 | $23,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 31,611 | $23,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 17,195 | $23,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 133 | $22,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 500 | $22,000 | thousands by filing date | put |
| ALCOA CORP COM | 013872106 | Stock | 843 | $22,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 750 | $22,000 | thousands by filing date | put |
| EXELON CORP COM | 30161N101 | Stock | 500 | $22,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 512 | $22,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 748 | $22,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 212 | $22,000 | thousands by filing date | put |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 14,950 | $22,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 3,390 | $22,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 340 | $21,000 | thousands by filing date | call |
| iShares U.S. Financials ETF | 464287788 | SHS | 205 | $21,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 580 | $21,000 | thousands by filing date | call |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 1,421 | $21,000 | thousands by filing date | put |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 264 | $21,000 | thousands by filing date | call |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 1,645 | $21,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 1,000 | $21,000 | thousands by filing date | call |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 483 | $21,000 | thousands by filing date | put |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 38,912 | $21,000 | thousands by filing date | put |
| BIONANO GENOMICS INC | 09075F107 | COM | 4,166 | $21,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 7,549 | $21,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 5,339 | $21,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E117 | *W EXP 04/11/202 | 25,000 | $21,000 | thousands by filing date | call |
| VECTOIQ ACQUISITION CORP | 92243N111 | *W EXP 05/11/202 | 50,000 | $21,000 | thousands by filing date | call |
| NUTANIX INC CL A | 67059N108 | Stock | 484 | $20,000 | thousands by filing date | put |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 542 | $20,000 | thousands by filing date | call |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 368 | $20,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 809 | $20,000 | thousands by filing date | call |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 1,105 | $20,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 22,184 | $20,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,500 | $20,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 10,082 | $20,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 5,650 | $20,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 50,800 | $20,000 | thousands by filing date | call |
| Danaher Corporation | 235851102 | COM | 193 | $19,000 | thousands by filing date | put |
| Texas Instruments Incorporated | 882508104 | COM | 210 | $19,000 | thousands by filing date | call |
| WORKDAY INC CL A | 98138H101 | Stock | 121 | $19,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 500 | $19,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 724 | $19,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,500 | $19,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 36,814 | $19,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 826 | $19,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 2,000 | $19,000 | thousands by filing date | call |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 5,146 | $19,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 23,300 | $19,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 5,150 | $19,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 400 | $18,000 | thousands by filing date | call |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,007 | $18,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 625 | $18,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 471 | $18,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 554 | $18,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 1,012 | $18,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 2,000 | $18,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 11,400 | $18,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 766 | $18,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,357 | $18,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 3,470 | $18,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 36,411 | $18,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 1,022 | $18,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 279 | $17,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 1,850 | $17,000 | thousands by filing date | call |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 89 | $17,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 273 | $17,000 | thousands by filing date | put |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 29,227 | $17,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 12,839 | $17,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 2,628 | $17,000 | thousands by filing date | call |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,109 | $17,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 325 | $16,000 | thousands by filing date | put |
| FERRARI N V | N3167Y103 | COM | 163 | $16,000 | thousands by filing date | call |
| UNITED RENTALS INC COM | 911363109 | Stock | 161 | $16,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 2,600 | $16,000 | thousands by filing date | call |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 561 | $16,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,500 | $16,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 883 | $16,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 14,105 | $16,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 2,000 | $16,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 42,272 | $16,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 12,391 | $16,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 2,089 | $16,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 800 | $16,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076118 | *W EXP 03/12/202 | 17,000 | $16,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 558 | $15,000 | thousands by filing date | call |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 330 | $15,000 | thousands by filing date | put |
| NEWELL BRANDS INC COM | 651229106 | Stock | 824 | $15,000 | thousands by filing date | call |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 134 | $15,000 | thousands by filing date | put |
| MURPHY USA INC COM | 626755102 | Stock | 200 | $15,000 | thousands by filing date | call |
| ELASTIC N V ORD SHS | N14506104 | Stock | 213 | $15,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 166 | $15,000 | thousands by filing date | call |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 155 | $15,000 | thousands by filing date | call |
| NOBLE ENERGY INC | 655044105 | COM | 850 | $15,000 | thousands by filing date | put |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,131 | $15,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 369 | $15,000 | thousands by filing date | call |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 17,100 | $15,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 23,300 | $15,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,806 | $15,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 12,900 | $15,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 38,599 | $15,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 6,600 | $15,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 500 | $14,000 | thousands by filing date | put |
| HCA Healthcare Inc | 40412C101 | COM | 118 | $14,000 | thousands by filing date | call |
| Vanguard Energy ETF | 92204A306 | SHS | 193 | $14,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 400 | $14,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 662 | $14,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 876 | $14,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 125 | $14,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 398 | $14,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 673 | $14,000 | thousands by filing date | put |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 320 | $14,000 | thousands by filing date | call |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 3,100 | $14,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 2,155 | $14,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 500 | $14,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,621 | $14,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 468 | $14,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 6,553 | $14,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 72 | $13,000 | thousands by filing date | put |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 607 | $13,000 | thousands by filing date | put |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 754 | $13,000 | thousands by filing date | call |
| DOMTAR CORP | 257559203 | COM NEW | 395 | $13,000 | thousands by filing date | call |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 900 | $13,000 | thousands by filing date | call |
| DOVER MOTORSPORTS INC | 260174107 | COM | 7,507 | $13,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,650 | $13,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 61 | $12,000 | thousands by filing date | put |
| D R HORTON INC COM | 23331A109 | Stock | 371 | $12,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 179 | $12,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 2,191 | $12,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 642 | $12,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,000 | $12,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 131 | $12,000 | thousands by filing date | put |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 231 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 449 | $12,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 4,234 | $12,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 2,855 | $12,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 4,020 | $12,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 56 | $11,000 | thousands by filing date | put |
| Costco Wholesale Corporation | 22160K105 | COM | 54 | $11,000 | thousands by filing date | call |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 200 | $11,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 112 | $11,000 | thousands by filing date | put |
| CARVANA CO CL A | 146869102 | Stock | 343 | $11,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 131 | $11,000 | thousands by filing date | call |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 750 | $11,000 | thousands by filing date | call |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 159 | $11,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 518 | $11,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 103 | $11,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 500 | $11,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 163 | $11,000 | thousands by filing date | call |
| BLUEBIRD BIO INC | 09609G100 | COM | 114 | $11,000 | thousands by filing date | call |
| BB & T CORP | 054937107 | COM | 261 | $11,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 335 | $11,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 5,203 | $11,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 4,800 | $11,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 68,200 | $11,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 700 | $11,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 81 | $10,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 400 | $10,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 65 | $10,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 116 | $10,000 | thousands by filing date | call |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 891 | $10,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 150 | $10,000 | thousands by filing date | call |
| NUTANIX INC CL A | 67059N108 | Stock | 250 | $10,000 | thousands by filing date | call |
| DISCOVER FINL SVCS | 254709108 | COM | 178 | $10,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 373 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 236 | $10,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 191 | $10,000 | thousands by filing date | call |
| FLIR SYS INC | 302445101 | COM | 232 | $10,000 | thousands by filing date | call |
| ARCONIC INC | 03965L100 | COM | 650 | $10,000 | thousands by filing date | call |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 400 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 389 | $10,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,950 | $10,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 21,500 | $10,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 800 | $10,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 498 | $10,000 | thousands by filing date | call |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 11,000 | $10,000 | thousands by filing date | principal |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 185 | $9,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 522 | $9,000 | thousands by filing date | put |
| DOLLAR TREE INC COM | 256746108 | Stock | 102 | $9,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 244 | $9,000 | thousands by filing date | put |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 183 | $9,000 | thousands by filing date | put |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 300 | $9,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 400 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 288 | $9,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 326 | $9,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 24 | $9,000 | thousands by filing date | call |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 532 | $9,000 | thousands by filing date | call |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 619 | $9,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 524 | $9,000 | thousands by filing date | call |
| UNITED BANCORP INC OHIO | 909911109 | COM | 800 | $9,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 385 | $9,000 | thousands by filing date | put |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $9,000 | thousands by filing date | call |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 505 | $9,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 661 | $9,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 948 | $9,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 163 | $8,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 103 | $8,000 | thousands by filing date | call |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 400 | $8,000 | thousands by filing date | call |
| ARAMARK COM | 03852U106 | Stock | 288 | $8,000 | thousands by filing date | call |
| BRF SA | 10552T107 | SPONSORED ADR | 1,532 | $8,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 510 | $8,000 | thousands by filing date | call |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 1,200 | $8,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 250 | $8,000 | thousands by filing date | call |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 286 | $8,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 3,067 | $8,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 202 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 300 | $8,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 539 | $8,000 | thousands by filing date | call |
| HIBBETT INC | 428567101 | COM | 577 | $8,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 8,000 | $8,000 | thousands by filing date | principal |
| PARTY CITY HOLDCO INC | 702149105 | COM | 850 | $8,000 | thousands by filing date | call |
| AK STEEL HOLDING CORP | 001547108 | COM | 3,950 | $8,000 | thousands by filing date | call |
| PCM INC | 69323K100 | COM | 456 | $8,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 400 | $8,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 16,200 | $8,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 112 | $7,000 | thousands by filing date | call |
| Honeywell Technologies | 438516106 | COM | 58 | $7,000 | thousands by filing date | put |
| Mondelez International,Inc. Class A | 609207105 | COM | 181 | $7,000 | thousands by filing date | call |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 525 | $7,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 900 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 57 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 354 | $7,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 12,000 | $7,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 48 | $7,000 | thousands by filing date | put |
| ISHARES TR | 464287713 | US TELECOM ETF | 296 | $7,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 320 | $7,000 | thousands by filing date | call |
| INGERSOLL-RAND PLC | G47791101 | SHS | 80 | $7,000 | thousands by filing date | call |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 397 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 237 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 248 | $7,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,229 | $7,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 2,250 | $7,000 | thousands by filing date | call |
| GULF RESOURCES INC | 40251W309 | COM | 10,200 | $7,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,855 | $7,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 3,457 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 300 | $7,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 75 | $6,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 61 | $6,000 | thousands by filing date | put |
| Honeywell Technologies | 438516106 | COM | 57 | $6,000 | thousands by filing date | call |
| S&P Global,Inc. | 78409V104 | COM | 40 | $6,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 81 | $6,000 | thousands by filing date | put |
| ROKU INC COM CL A | 77543R102 | Stock | 204 | $6,000 | thousands by filing date | call |
| KELLANOVA | 487836108 | COM | 112 | $6,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 200 | $6,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 60 | $6,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 355 | $6,000 | thousands by filing date | put |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 324 | $6,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 219 | $6,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 780 | $6,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 406 | $6,000 | thousands by filing date | put |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,900 | $6,000 | thousands by filing date | call |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $6,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 872 | $6,000 | thousands by filing date | call |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 116 | $6,000 | thousands by filing date | put |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 170 | $6,000 | thousands by filing date | call |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 2,136 | $6,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 1,200 | $6,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 200 | $6,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 39,728 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 277 | $6,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,200 | $6,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 47 | $5,000 | thousands by filing date | call |
| Medtronic Plc | G5960L103 | COM | 62 | $5,000 | thousands by filing date | call |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 23 | $5,000 | thousands by filing date | call |
| EMERSON ELEC CO COM | 291011104 | Stock | 100 | $5,000 | thousands by filing date | call |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 192 | $5,000 | thousands by filing date | call |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 145 | $5,000 | thousands by filing date | put |
| INVESCO LTD SHS | G491BT108 | Stock | 340 | $5,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 253 | $5,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 146 | $5,000 | thousands by filing date | call |
| YUM BRANDS INC COM | 988498101 | Stock | 57 | $5,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 102 | $5,000 | thousands by filing date | put |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 441 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 290 | $5,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 9,414 | $5,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 32 | $5,000 | thousands by filing date | call |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 529 | $5,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 866 | $5,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 400 | $5,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 521 | $5,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 290 | $5,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 770 | $5,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,605 | $5,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C300 | COM NEW | 22,581 | $5,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 4,100 | $5,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 820 | $5,000 | thousands by filing date | |
| NEMAURA MED INC | 640442109 | COM | 6,305 | $5,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 36,035 | $5,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 80,837 | $5,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 60 | $4,000 | thousands by filing date | put |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 189 | $4,000 | thousands by filing date | call |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 107 | $4,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 36 | $4,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-19-000019 | superseded | 2019-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000948046-19-000053 | this filing | 2019-04-01 | acceptance time not in the bulk data set |