13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 7,747 holding rows worth $167,743,054,000.
- Accession
- 0000950123-16-022420
- Filer
- CIK 1610520
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 12,798 entries on the cover page, a total value of $167,743,054,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $167,743,111,000 with VALUE read as thousands by filing date, 13F file number 028-16612. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- included managerUBS Financial Services Inc. 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG New York Branch 028-07344
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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 4,332 | $214,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 10,906 | $214,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 19,806 | $214,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 4,280 | $213,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 430,797 | $213,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,264 | $213,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 236,372 | $213,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 8,500 | $213,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 8,192 | $213,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 15,073 | $213,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 14,205 | $213,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 6,339 | $212,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 5,918 | $212,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 14,471 | $211,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 20,856 | $211,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 3,388 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 5,313 | $210,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 34,500 | $210,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 8,407 | $210,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 69,360 | $209,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 50,758 | $209,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,700 | $208,000 | thousands by filing date | call |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 10,840 | $208,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 6,533 | $208,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 3,200 | $207,000 | thousands by filing date | call |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 8,790 | $207,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 11,968 | $207,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 1,978 | $207,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 15,263 | $207,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 6,381 | $206,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 6,290 | $206,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 11,535 | $206,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 6,023 | $206,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 11,195 | $205,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 4,878 | $205,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 3,533 | $204,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 16,537 | $204,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 11,754 | $203,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 3,380 | $203,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 27,300 | $203,000 | thousands by filing date | put |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 13,685 | $202,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 1,782 | $202,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 4,050 | $201,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,320 | $201,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 15,088 | $201,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 33,958 | $201,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 5,188 | $201,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 17,500 | $201,000 | thousands by filing date | call |
| YORK WATER CO | 987184108 | COMMON STOCK | 6,749 | $200,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 9,565 | $200,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 7,653 | $200,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 6,383 | $199,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 59,496 | $199,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 14,800 | $198,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 14,759 | $198,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 12,157 | $198,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 24,330 | $198,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 31,339 | $197,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 8,000 | $197,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 3,000 | $196,000 | thousands by filing date | put |
| DIODES INC COM | 254543101 | Stock | 9,222 | $196,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 123,483 | $196,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 33,603 | $196,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 94,416 | $196,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 28,884 | $195,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 12,488 | $195,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 16,809 | $195,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 14,418 | $194,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 4,064 | $194,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 7,068 | $192,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 8,607 | $192,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 10,181 | $192,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 7,952 | $191,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 32,429 | $191,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 18,252 | $191,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 10,225 | $191,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 23,783 | $190,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 7,757 | $190,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 9,681 | $190,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 13,177 | $190,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 22,125 | $190,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 6,997 | $190,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 6,935 | $190,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 6,675 | $189,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 1,744 | $189,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 22,228 | $189,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,700 | $188,000 | thousands by filing date | put |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 4,869 | $188,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 31,380 | $188,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 17,191 | $188,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 8,026 | $187,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 6,330 | $187,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 6,423 | $186,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 5,107 | $186,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 2,670 | $186,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 31,908 | $186,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 27,295 | $186,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 4,647 | $185,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 9,562 | $185,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 13,059 | $185,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 1,402 | $185,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,070 | $184,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 29,076 | $184,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 23,820 | $183,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 9,309 | $182,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 3,512 | $182,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 16,673 | $182,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 7,890 | $182,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 8,610 | $181,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 12,647 | $181,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 5,224 | $181,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 14,149 | $181,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 5,129 | $181,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 13,074 | $181,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 6,912 | $181,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 6,359 | $180,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 4,963 | $180,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 2,847 | $180,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 12,401 | $180,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 3,831 | $180,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 10,680 | $179,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 7,101 | $179,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 13,055 | $178,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 50,810 | $178,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,974 | $178,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 7,747 | $178,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 4,488 | $178,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 11,561 | $178,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 41,060 | $177,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 11,955 | $177,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 13,025 | $177,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 9,992 | $177,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 10,880 | $177,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 11,585 | $176,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 12,671 | $176,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 7,126 | $175,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 16,317 | $175,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 5,022 | $175,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 11,692 | $175,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 5,678 | $174,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 3,723 | $174,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 29,800 | $174,000 | thousands by filing date | call |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 14,946 | $174,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 13,188 | $173,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,400 | $173,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 8,200 | $173,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 14,579 | $172,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 16,690 | $172,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 16,201 | $172,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 7,455 | $172,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 30,000 | $171,000 | thousands by filing date | put |
| INSPERITY INC | 45778Q107 | COM | 2,354 | $171,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 19,447 | $171,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 4,964 | $170,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 24,170 | $170,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 22,158 | $170,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 11,497 | $170,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 44,050 | $170,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 4,869 | $170,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 31,194 | $170,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 4,311 | $169,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 7,418 | $169,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 3,772 | $168,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 3,592 | $168,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 4,158 | $168,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 4,540 | $168,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 28,314 | $168,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 11,190 | $168,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 23,079 | $167,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,100 | $167,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 49,910 | $167,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 21,784 | $167,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 1,000 | $166,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 2,532 | $166,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 266,899 | $166,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 20,000 | $166,000 | thousands by filing date | call |
| RANDOLPH BANCORP INC | 752378109 | COM | 12,209 | $166,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 3,657 | $165,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 1,651 | $165,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 7,628 | $165,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 4,639 | $163,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 14,044 | $163,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 8,867 | $163,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 13,238 | $163,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 5,552 | $162,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 20,195 | $162,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X545 | GLB EX US HDG | 7,234 | $162,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C609 | NAVELR A100 ETF | 3,399 | $162,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 2,700 | $161,000 | thousands by filing date | put |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 8,029 | $161,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 9,055 | $161,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 3,614 | $161,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 7,020 | $161,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 6,497 | $161,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 6,775 | $160,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 20,726 | $160,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 7,725 | $160,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 21,776 | $160,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 8,693 | $160,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 61,468 | $159,000 | thousands by filing date | |
| CEPHEID | 15670R107 | COM | 3,026 | $159,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 18,666 | $159,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 12,084 | $158,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 4,527 | $158,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 1,990 | $158,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 5,799 | $158,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 4,406 | $158,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 967 | $157,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 14,240 | $157,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 27,510 | $157,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 8,000 | $157,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 8,644 | $157,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 6,835 | $157,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 8,779 | $157,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 3,000 | $156,000 | thousands by filing date | put |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 8,899 | $156,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 4,907 | $156,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 3,146 | $156,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 8,970 | $155,000 | thousands by filing date | |
| G & K SVCS INC | 361268105 | CL A | 1,628 | $155,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 8,326 | $155,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 5,000 | $154,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,700 | $154,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 20,960 | $154,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 6,093 | $154,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 10,826 | $154,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 1,219 | $154,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,457 | $153,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 25,320 | $153,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 51,000 | $153,000 | thousands by filing date | principal |
| SONUS NETWORKS INC | 835916503 | COM NEW | 19,644 | $153,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 8,069 | $152,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 19,939 | $152,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 4,416 | $152,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 30,484 | $152,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 2,855 | $151,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 2,525 | $150,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 8,541 | $150,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 7,385 | $149,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 15,233 | $149,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 10,516 | $149,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 5,887 | $149,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 11,000 | $149,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 2,261 | $148,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 2,376 | $148,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 6,889 | $148,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 40,872 | $148,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 5,645 | $148,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 1,310 | $148,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 6,519 | $147,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 10,537 | $147,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 3,372 | $147,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 2,878 | $147,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 4,071 | $146,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 5,886 | $146,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T563 | BG CP GRTH ETN | 2,331 | $146,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 78,615 | $145,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 14,135 | $145,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 3,000 | $144,000 | thousands by filing date | call |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 6,039 | $144,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 4,577 | $144,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 11,934 | $144,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 47,916 | $144,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 22,221 | $144,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 9,306 | $143,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 8,402 | $143,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 5,415 | $143,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 9,280 | $143,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 11,166 | $143,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 18,346 | $143,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 2,971 | $142,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 21,503 | $142,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 5,909 | $142,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 1,609 | $142,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 3,418 | $142,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 6,531 | $142,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 11,387 | $142,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1,767 | $141,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 10,012 | $141,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 20,000 | $141,000 | thousands by filing date | call |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 14,400 | $140,000 | thousands by filing date | call |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 9,364 | $140,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 3,579 | $139,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 10,520 | $139,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 4,777 | $139,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 2,591 | $139,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 9,796 | $139,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 10,090 | $138,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 5,297 | $138,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 46,142 | $138,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 1,355 | $138,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 3,613 | $138,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 3,846 | $138,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 168,000 | $138,000 | thousands by filing date | principal |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 2,838 | $137,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 3,386 | $137,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 5,369 | $137,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 8,326 | $136,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 8,997 | $136,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 8,835 | $136,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 7,606 | $136,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 3,734 | $136,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 3,871 | $136,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,689 | $135,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 5,566 | $135,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 5,297 | $135,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 9,180 | $135,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 5,000 | $135,000 | thousands by filing date | put |
| VERASTEM INC | 92337C104 | COM | 101,330 | $135,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 27,843 | $135,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 66,011 | $135,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 15,936 | $134,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 3,405 | $134,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 12,788 | $134,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 47,260 | $134,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 11,674 | $134,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,500 | $133,000 | thousands by filing date | put |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 5,375 | $133,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 4,546 | $133,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 123,661 | $133,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 5,672 | $133,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 3,245 | $132,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 7,574 | $132,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 5,682 | $132,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 11,099 | $132,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 1,471 | $132,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,827 | $132,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 12,351 | $131,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 8,686 | $131,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 6,656 | $131,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 16,320 | $131,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 15,613 | $131,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 7,044 | $130,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 7,126 | $130,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,819 | $130,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,143 | $130,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 26,981 | $130,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,864 | $130,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 4,831 | $129,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 7,648 | $129,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 23,186 | $129,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 3,861 | $129,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 3,059 | $129,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 3,358 | $129,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 9,110 | $128,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 3,484 | $128,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 789 | $128,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 10,000 | $128,000 | thousands by filing date | call |
| Marine Harvest ASA | 56824R205 | ADR | 7,126 | $128,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 3,766 | $127,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 7,210 | $127,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 3,781 | $127,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 54,197 | $127,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 3,134 | $127,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 3,640 | $126,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 5,004 | $126,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 5,112 | $126,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 4,688 | $126,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 6,353 | $126,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 93,843 | $126,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 21,943 | $126,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 31,800 | $126,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 1,818 | $125,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 4,153 | $125,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 12,111 | $125,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 8,468 | $125,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 22,102 | $124,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 11,075 | $124,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 11,662 | $124,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 4,930 | $124,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 2,640 | $124,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,000 | $123,000 | thousands by filing date | put |
| OLD NATL BANCORP IND | 680033107 | COM | 8,781 | $123,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 2,814 | $123,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 8,491 | $123,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 7,479 | $123,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 24,594 | $123,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 4,899 | $123,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 8,718 | $123,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 1,751 | $123,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 7,000 | $122,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 4,769 | $122,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 6,435 | $121,000 | thousands by filing date | call |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 6,753 | $121,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 6,128 | $121,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 5,515 | $121,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 25,000 | $121,000 | thousands by filing date | put |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 16,369 | $121,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 13,810 | $121,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 6,436 | $120,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 2,487 | $120,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 9,883 | $120,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 8,555 | $120,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 2,200 | $120,000 | thousands by filing date | put |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 10,223 | $120,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 52,098 | $120,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P601 | S&P 500 3X LNG | 638 | $120,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 4,741 | $120,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 5,520 | $119,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 10,646 | $119,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 3,283 | $119,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 6,929 | $119,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 3,532 | $117,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 12,115 | $117,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 925 | $117,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 39,300 | $117,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 4,632 | $117,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 5,171 | $117,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 2,080 | $116,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 66,269 | $116,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 6,991 | $116,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 4,416 | $116,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 10,963 | $116,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 13,558 | $116,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,689 | $114,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 3,030 | $114,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 19,983 | $114,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 3,879 | $113,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 3,200 | $113,000 | thousands by filing date | call |
| NEOGENOMICS INC | 64049M209 | COM NEW | 13,810 | $113,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,698 | $113,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 5,220 | $113,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 31,841 | $113,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 8,100 | $112,000 | thousands by filing date | call |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2,845 | $112,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 1,214 | $112,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 17,371 | $112,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 2,057 | $112,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 2,740 | $112,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 9,061 | $112,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 8,262 | $112,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 7,781 | $112,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 1,942 | $111,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 8,171 | $111,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 25,447 | $111,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 23,736 | $110,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 5,720 | $110,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 137,770 | $110,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 4,063 | $110,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 4,597 | $109,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 3,463 | $109,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 4,763 | $109,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 177,875 | $109,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 13,713 | $109,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 2,800 | $108,000 | thousands by filing date | call |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 2,381 | $108,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 7,166 | $108,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 2,449 | $108,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 9,450 | $108,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 1,592 | $107,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 6,099 | $107,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 2,194 | $107,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 4,549 | $107,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 20,341 | $107,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 4,703 | $107,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,081 | $106,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 5,100 | $106,000 | thousands by filing date | call |
| HILLTOP HLDGS INC | 432748101 | COM | 4,701 | $106,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 19,500 | $106,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 803 | $106,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 2,801 | $106,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 25,000 | $105,000 | thousands by filing date | put |
| AXOGEN INC | 05463X106 | COM | 11,596 | $105,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 13,646 | $105,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 9,558 | $105,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 3,675 | $105,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 11,265 | $105,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 4,479 | $105,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 3,041 | $104,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 1,150 | $104,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 8,860 | $104,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 2,810 | $103,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,300 | $103,000 | thousands by filing date | call |
| INOGEN INC | 45780L104 | COM | 1,723 | $103,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 10,000 | $103,000 | thousands by filing date | put |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 2,071 | $103,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 7,724 | $103,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 17,368 | $103,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 4,996 | $103,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 2,066 | $102,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 4,811 | $102,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 4,000 | $102,000 | thousands by filing date | put |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 8,702 | $102,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 1,490 | $102,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 7,028 | $102,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 800 | $101,000 | thousands by filing date | put |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 4,679 | $101,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 20,000 | $101,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 1,961 | $101,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 6,945 | $101,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 9,726 | $101,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 1,190 | $100,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 4,005 | $100,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 8,770 | $100,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 2,604 | $99,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 9,011 | $99,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 5,721 | $99,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,320 | $99,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 9,909 | $99,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 11,930 | $99,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-022420 | this filing | 2016-11-14 | acceptance time not in the bulk data set |