13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 7,828 holding rows worth $181,087,019,000.
- Accession
- 0000950123-17-002293
- Filer
- CIK 1610520
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 13,500 entries on the cover page, a total value of $181,087,019,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $181,087,055,000 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 |
|---|---|---|---|---|---|---|
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 7,571 | $148,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 194,319 | $148,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 19,889 | $147,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 6,128 | $147,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 2,939 | $147,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 1,921 | $147,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 20,977 | $147,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 17,258 | $147,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,252 | $147,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 17,646 | $147,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 11,917 | $146,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 5,311 | $146,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 68,830 | $146,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 2,959 | $145,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 5,617 | $145,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 15,220 | $145,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,425 | $145,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 2,000 | $144,000 | thousands by filing date | call |
| FB FINL CORP | 30257X104 | COM | 5,551 | $144,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 8,989 | $144,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 101,096 | $144,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 8,057 | $144,000 | thousands by filing date | |
| RECON CAP SER TR | 75623U201 | RECON CAP DAX GE | 5,751 | $144,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 2,867 | $143,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 2,000 | $143,000 | thousands by filing date | put |
| ENCORE WIRE CORP | 292562105 | COM | 3,317 | $143,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 6,106 | $143,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,136 | $143,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 7,720 | $143,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 3,656 | $143,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 81,196 | $142,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 86,754 | $142,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 3,940 | $141,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 2,200 | $141,000 | thousands by filing date | put |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1,261 | $141,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 6,119 | $141,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 6,653 | $141,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 16,594 | $141,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 8,422 | $141,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 8,092 | $141,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 8,005 | $141,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 4,686 | $141,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 4,892 | $141,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 6,924 | $140,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 16,344 | $140,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 5,907 | $140,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 5,388 | $140,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 12,394 | $140,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 12,914 | $140,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 6,866 | $140,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 20,000 | $140,000 | thousands by filing date | call |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 4,162 | $139,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 6,222 | $139,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 3,205 | $139,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 2,935 | $139,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 7,290 | $139,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 12,905 | $139,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 3,608 | $139,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 3,514 | $138,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 5,174 | $138,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 12,521 | $138,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 45,636 | $138,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 10,557 | $138,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 24,585 | $138,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 94,311 | $138,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 5,783 | $138,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 5,158 | $137,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 12,679 | $137,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 10,010 | $137,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 5,819 | $137,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 8,677 | $136,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 24,394 | $136,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 20,668 | $136,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 4,028 | $135,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,737 | $135,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 20,402 | $135,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 11,427 | $135,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 14,907 | $134,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 4,449 | $134,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,390 | $134,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 7,285 | $134,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,827 | $134,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 4,066 | $134,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 3,809 | $133,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 11,000 | $133,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 12,474 | $133,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 12,249 | $133,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 14,107 | $133,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 9,806 | $133,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 44,810 | $133,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 4,144 | $132,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 3,877 | $132,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 10,880 | $132,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 206,891 | $132,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 30,116 | $132,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 6,053 | $132,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 3,026 | $132,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 8,294 | $132,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 800 | $131,000 | thousands by filing date | put |
| ARCHROCK INC | 03957W106 | COM | 9,943 | $131,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 970 | $131,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 17,914 | $131,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 22,672 | $131,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 7,013 | $131,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 8,418 | $130,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 27,240 | $130,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 7,879 | $130,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 10,617 | $130,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 5,373 | $130,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 3,818 | $130,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 4,140 | $129,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 3,285 | $129,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 4,749 | $129,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 5,154 | $129,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,519 | $129,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 5,477 | $129,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 105,643 | $129,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 10,677 | $129,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 4,145 | $128,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 4,448 | $128,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 14,529 | $128,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 5,561 | $128,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 1,706 | $128,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 43,496 | $128,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 6,602 | $127,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,067 | $127,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 3,887 | $127,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 12,925 | $127,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 5,300 | $126,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 4,873 | $126,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 5,478 | $126,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 11,713 | $126,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 3,524 | $125,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 2,500 | $125,000 | thousands by filing date | call |
| GENESCO INC | 371532102 | COM | 2,006 | $125,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 9,508 | $125,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 5,350 | $125,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 4,093 | $125,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 5,444 | $124,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 9,157 | $124,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 16,561 | $123,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 4,756 | $123,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 6,235 | $123,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 12,015 | $123,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 8,750 | $123,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 5,771 | $123,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 8,784 | $123,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 5,630 | $122,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 2,325 | $122,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 1,352 | $122,000 | thousands by filing date | call |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 1,519 | $122,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 4,807 | $122,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 15,482 | $122,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 17,436 | $122,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 7,122 | $122,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 24,358 | $122,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 4,028 | $122,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 5,713 | $121,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 7,300 | $121,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 179,929 | $121,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 4,336 | $120,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 5,711 | $120,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 5,818 | $120,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 15,494 | $120,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 8,420 | $120,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 44,631 | $120,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 3,485 | $120,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 4,316 | $119,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 10,647 | $119,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 9,268 | $119,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 6,286 | $119,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 25,603 | $119,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 3,216 | $119,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 2,332 | $119,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 3,717 | $119,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 12,911 | $118,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 4,528 | $118,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 11,111 | $118,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2,071 | $118,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 6,180 | $118,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 10,893 | $118,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 6,268 | $118,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 2,850 | $118,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 3,027 | $117,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 5,494 | $117,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 10,894 | $117,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 3,857 | $117,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 6,899 | $117,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 5,255 | $117,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 2,268 | $116,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 4,836 | $116,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,673 | $116,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 132,980 | $116,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 16,103 | $116,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 13,558 | $116,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 4,454 | $115,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 44,920 | $115,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,238 | $115,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 8,112 | $115,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 4,417 | $115,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,782 | $114,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 16,827 | $114,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 1,200 | $113,000 | thousands by filing date | put |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 2,000 | $113,000 | thousands by filing date | call |
| DAKTRONICS INC | 234264109 | COM | 10,542 | $113,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 4,053 | $113,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,068 | $113,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 14,983 | $113,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 2,621 | $113,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 15,054 | $113,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 30,026 | $113,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 5,914 | $112,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 5,833 | $112,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 9,104 | $112,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 12,382 | $112,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 74,134 | $112,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 8,456 | $112,000 | thousands by filing date | |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 3,773 | $112,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 5,237 | $111,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 7,430 | $111,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 3,234 | $111,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 2,831 | $110,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 3,309 | $110,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 10,385 | $110,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 6,386 | $110,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 2,576 | $110,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 5,728 | $110,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 25,806 | $110,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 36,000 | $109,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 2,998 | $109,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 3,496 | $108,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 38,834 | $108,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 3,792 | $108,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 5,691 | $108,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 4,382 | $108,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 3,082 | $108,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 4,313 | $108,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 9,493 | $108,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 23,310 | $108,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 3,400 | $107,000 | thousands by filing date | put |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,918 | $107,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 5,643 | $107,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 6,500 | $107,000 | thousands by filing date | call |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 8,171 | $107,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 3,114 | $107,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 15,028 | $107,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 7,113 | $107,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 15,781 | $107,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,788 | $106,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 2,131 | $106,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 8,707 | $106,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 13,949 | $106,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 5,636 | $106,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 2,000 | $105,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 5,290 | $105,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 221 | $105,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 5,416 | $105,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 4,654 | $105,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 4,374 | $105,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 2,414 | $104,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 3,270 | $104,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 1,280 | $104,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 32,585 | $104,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 10,750 | $104,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 3,164 | $103,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 3,870 | $103,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,378 | $103,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 11,289 | $103,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K141 | DAILY JR GOLD MI | 2,928 | $103,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 4,710 | $102,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 16,704 | $102,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 6,099 | $102,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 137,966 | $102,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 20,100 | $101,000 | thousands by filing date | call |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 1,997 | $101,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 2,705 | $101,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,746 | $101,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 3,580 | $101,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,647 | $101,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 11,285 | $101,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 104,634 | $101,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 20,877 | $101,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 3,075 | $100,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 4,086 | $100,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 3,719 | $100,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 15,114 | $100,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 2,572 | $100,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 5,534 | $100,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 9,670 | $100,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 20,161 | $100,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 5,119 | $100,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 4,206 | $99,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 1,732 | $99,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 3,948 | $99,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 16,500 | $99,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 2,207 | $98,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 5,006 | $98,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 5,159 | $98,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 62,121 | $98,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 15,512 | $98,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 5,756 | $98,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 27,000 | $98,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 2,345 | $98,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 2,113 | $98,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 3,100 | $97,000 | thousands by filing date | call |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 12,734 | $97,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 9,723 | $97,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 8,568 | $97,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 4,015 | $97,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 2,575 | $97,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 5,000 | $97,000 | thousands by filing date | put |
| CHEMTURA CORP | 163893209 | COM NEW | 2,915 | $97,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 19,970 | $97,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 2,082 | $97,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 28,039 | $97,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 4,986 | $97,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 7,410 | $97,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 7,018 | $96,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 4,800 | $96,000 | thousands by filing date | put |
| BANCORP INC DEL | 05969A105 | COM | 12,181 | $96,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 9,157 | $96,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 9,591 | $96,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 12,844 | $96,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 45,254 | $96,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 6,642 | $96,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 2,004 | $96,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 3,870 | $96,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 2,670 | $96,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 256 | $95,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 2,714 | $95,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 5,110 | $95,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 12,845 | $95,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 7,281 | $95,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 61,081 | $95,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 82,000 | $95,000 | thousands by filing date | principal |
| AUDIOCODES LTD | M15342104 | ORD | 14,899 | $94,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 10,000 | $94,000 | thousands by filing date | put |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 48,589 | $94,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 4,021 | $94,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,112 | $94,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 2,633 | $93,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 10,370 | $93,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 5,400 | $93,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 3,151 | $93,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 13,244 | $93,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 2,595 | $93,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 3,090 | $93,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 5,423 | $93,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 4,971 | $93,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 6,811 | $93,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 44,302 | $93,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 4,851 | $92,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 3,654 | $92,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 2,652 | $92,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 7,718 | $91,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,619 | $91,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 3,122 | $91,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 4,179 | $91,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 9,405 | $91,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 2,500 | $90,000 | thousands by filing date | put |
| FIVE9 INC | 338307101 | COM | 6,346 | $90,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 2,907 | $90,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 2,234 | $90,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 15,923 | $90,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,378 | $90,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 3,621 | $90,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 11,343 | $90,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 13,632 | $90,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 4,695 | $90,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 8,000 | $89,000 | thousands by filing date | put |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,861 | $89,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,165 | $89,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 7,445 | $89,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 1,018 | $89,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 1,972 | $89,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 495 | $89,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 3,843 | $88,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 2,809 | $88,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 6,200 | $88,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 4,238 | $88,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 2,925 | $88,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,325 | $87,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 1,249 | $87,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 5,712 | $87,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 3,319 | $87,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 7,176 | $87,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 8,628 | $87,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 2,307 | $87,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 9,722 | $87,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 25,063 | $87,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 13,313 | $87,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 2,547 | $87,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 4,584 | $86,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 3,281 | $86,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 7,679 | $86,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 4,095 | $86,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,500 | $86,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 60,986 | $86,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 12,716 | $86,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 8,605 | $86,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 3,557 | $86,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 18,344 | $86,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 6,974 | $86,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 26,810 | $85,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,425 | $85,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 16,417 | $85,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 3,548 | $85,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 9,799 | $85,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 1,400 | $85,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 21,000 | $85,000 | thousands by filing date | principal |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,800 | $85,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 16,745 | $85,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 16,829 | $84,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 5,773 | $84,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 7,250 | $84,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 3,344 | $84,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 2,957 | $84,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 9,016 | $84,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 3,493 | $84,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 42,856 | $84,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 4,626 | $84,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 1,499 | $83,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 7,644 | $83,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 3,263 | $83,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,914 | $83,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 4,800 | $83,000 | thousands by filing date | put |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 4,306 | $83,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 6,691 | $83,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 12,801 | $83,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 3,473 | $83,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 3,382 | $83,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 794 | $83,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 4,042 | $82,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 3,306 | $82,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,331 | $82,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,179 | $82,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 8,953 | $82,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 2,906 | $82,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 2,488 | $81,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 9,761 | $81,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 12,408 | $81,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 3,392 | $81,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 3,564 | $81,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 5,122 | $81,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 4,200 | $81,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 4,616 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 2,847 | $81,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 1,227 | $81,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 2,490 | $80,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 4,153 | $80,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 3,603 | $80,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 1,227 | $80,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 13,590 | $80,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 17,039 | $80,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 2,782 | $80,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 2,079 | $80,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 579 | $80,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 6,847 | $80,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 2,826 | $79,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 1,500 | $79,000 | thousands by filing date | put |
| AH BELO CORP | 001282102 | COMMON STOCK | 12,357 | $79,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 3,939 | $79,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 72,000 | $79,000 | thousands by filing date | principal |
| TIDEWATER INC | 886423102 | COM | 23,184 | $79,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 7,653 | $79,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 2,934 | $79,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 37,420 | $79,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 4,369 | $79,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 760 | $78,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 2,171 | $78,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 8,674 | $78,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 55 | $78,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 34,793 | $78,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 7,154 | $78,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 4,371 | $78,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 8,424 | $78,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 5,610 | $78,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 2,822 | $77,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,036 | $77,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,034 | $77,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 9,085 | $77,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 3,270 | $77,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 2,664 | $77,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 4,965 | $77,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 5,437 | $77,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 6,760 | $77,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 5,751 | $76,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,000 | $76,000 | thousands by filing date | put |
| GAMESTOP CORP | 36467W109 | CL A | 3,000 | $76,000 | thousands by filing date | call |
| GMS INC | 36251C103 | COM | 2,596 | $76,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 5,402 | $76,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 7,541 | $76,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 7,035 | $76,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 1,039 | $76,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 2,090 | $76,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 5,343 | $76,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 2,781 | $75,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 2,069 | $75,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 1,000 | $75,000 | thousands by filing date | call |
| VERICEL CORP | 92346J108 | COM | 24,968 | $75,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-002293 | this filing | 2017-02-14 | acceptance time not in the bulk data set |