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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 220,893 | $5,551,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 282,693 | $5,543,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 41,800 | $5,533,000 | thousands by filing date | call |
| MEDLEY CAP CORP | 58503F106 | COM | 734,526 | $5,516,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 258,019 | $5,509,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 102,747 | $5,505,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 96,564 | $5,504,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 88,028 | $5,499,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 104,452 | $5,491,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 403,277 | $5,480,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 77,348 | $5,479,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 362,500 | $5,477,000 | thousands by filing date | put |
| ICF INTL INC | 44925C103 | COM | 99,015 | $5,466,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 93,665 | $5,464,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 208,035 | $5,453,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 50,000 | $5,452,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 30,500 | $5,446,000 | thousands by filing date | call |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 100,122 | $5,445,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 223,461 | $5,443,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 119,145 | $5,441,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 96,569 | $5,426,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 413,141 | $5,416,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 441,200 | $5,409,000 | thousands by filing date | call |
| UMPQUA HOLDINGS | 904214103 | COM | 287,276 | $5,396,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 158,335 | $5,376,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 326,793 | $5,373,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 667,385 | $5,359,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 514,648 | $5,358,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 129,412 | $5,351,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 273,751 | $5,344,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 37,799 | $5,344,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 466,214 | $5,334,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 52,900 | $5,324,000 | thousands by filing date | call |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 159,054 | $5,324,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 76,642 | $5,319,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 339,274 | $5,317,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 80,045 | $5,307,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 183,482 | $5,291,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 61,200 | $5,288,000 | thousands by filing date | call |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 106,582 | $5,283,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 382,015 | $5,283,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 208,937 | $5,278,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 83,800 | $5,276,000 | thousands by filing date | call |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 59,722 | $5,269,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 44,000 | $5,256,000 | thousands by filing date | call |
| MONROE CAPITAL CORP | 610335101 | COM | 341,706 | $5,255,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 112,096 | $5,249,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 166,341 | $5,248,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 50,000 | $5,241,000 | thousands by filing date | put |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 50,000 | $5,241,000 | thousands by filing date | call |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 158,606 | $5,237,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 488,738 | $5,229,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 156,046 | $5,229,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 44,202 | $5,226,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 88,620 | $5,217,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 345,100 | $5,214,000 | thousands by filing date | call |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 612,312 | $5,181,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 35,750 | $5,173,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 98,452 | $5,169,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 313,170 | $5,168,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 120,005 | $5,165,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 32,026 | $5,161,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 70,130 | $5,160,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 323,408 | $5,152,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 167,317 | $5,137,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 436,038 | $5,136,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 47,882 | $5,131,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 459,633 | $5,130,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 38,479 | $5,118,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 194,437 | $5,110,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 342,399 | $5,102,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 158,800 | $5,096,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 119,334 | $5,092,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 431,380 | $5,090,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 502,700 | $5,082,000 | thousands by filing date | call |
| ENOVIS CORP | 194014106 | COMMON STOCK | 141,358 | $5,079,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 128,041 | $5,068,000 | thousands by filing date | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 199,376 | $5,066,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 120,153 | $5,059,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 90,246 | $5,038,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 359,400 | $5,032,000 | thousands by filing date | call |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 400,000 | $5,028,000 | thousands by filing date | call |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 387,270 | $5,027,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 204,645 | $5,027,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 35,769 | $5,024,000 | thousands by filing date | put |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 201,881 | $5,021,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 54,220 | $5,015,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 51,453 | $5,006,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 118,729 | $5,005,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 258,622 | $4,999,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 257,745 | $4,990,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 304,100 | $4,987,000 | thousands by filing date | call |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 64,280 | $4,984,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 96,635 | $4,982,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 218,946 | $4,981,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 52,818 | $4,979,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 80,000 | $4,978,000 | thousands by filing date | call |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 41,386 | $4,977,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 320,330 | $4,972,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 570,831 | $4,972,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 145,079 | $4,972,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 65,575 | $4,970,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 34,794 | $4,969,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 3,156,000 | $4,968,000 | thousands by filing date | principal |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 45,067 | $4,966,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 213,130 | $4,955,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 102,188 | $4,946,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 195,246 | $4,946,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 340,836 | $4,939,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 93,000 | $4,934,000 | thousands by filing date | call |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 588,988 | $4,918,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 92,834 | $4,916,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 379,948 | $4,913,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 310,192 | $4,907,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 496,590 | $4,907,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 89,549 | $4,903,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 266,123 | $4,902,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 956,010 | $4,876,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 91,198 | $4,871,000 | thousands by filing date | call |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 148,100 | $4,867,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 80,000 | $4,862,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 100,000 | $4,857,000 | thousands by filing date | call |
| ENVISION HEALTHCARE CORP | 29414D100 | COM | 76,740 | $4,857,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 54,535 | $4,837,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 91,915 | $4,837,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 109,800 | $4,818,000 | thousands by filing date | call |
| VERISIGN INC COM | 92343E102 | Stock | 63,144 | $4,804,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 208,743 | $4,799,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 96,083 | $4,799,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 296,776 | $4,793,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 509,917 | $4,788,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 46,500 | $4,779,000 | thousands by filing date | put |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 34,100 | $4,774,000 | thousands by filing date | call |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 192,506 | $4,772,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 78,840 | $4,771,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 106,399 | $4,771,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 70,776 | $4,758,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 83,453 | $4,757,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 51,600 | $4,754,000 | thousands by filing date | call |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 187,569 | $4,753,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 194,033 | $4,750,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 545,200 | $4,749,000 | thousands by filing date | put |
| VECTOR GROUP LTD | 92240M108 | COM | 208,767 | $4,747,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 97,724 | $4,745,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 107,331 | $4,741,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 210,527 | $4,741,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 192,914 | $4,734,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 54,200 | $4,728,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 334,211 | $4,726,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 139,382 | $4,725,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 423,540 | $4,719,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 555,000 | $4,695,000 | thousands by filing date | put |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 575,180 | $4,693,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 97,900 | $4,692,000 | thousands by filing date | put |
| HUDSON PAC PPTYS INC | 444097109 | COM | 134,882 | $4,691,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 79,053 | $4,676,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 370,290 | $4,669,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 119,368 | $4,658,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 5,000,000 | $4,647,000 | thousands by filing date | principal |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 305,460 | $4,640,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 72,214 | $4,636,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 93,500 | $4,630,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 497,724 | $4,629,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 429,800 | $4,625,000 | thousands by filing date | call |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 196,996 | $4,620,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 150,200 | $4,620,000 | thousands by filing date | put |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 334,264 | $4,616,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 60,457 | $4,608,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 370,402 | $4,608,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 48,907 | $4,603,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 140,230 | $4,600,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 375,000 | $4,598,000 | thousands by filing date | call |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 450,943 | $4,596,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 41,095 | $4,593,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 290,291 | $4,587,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 184,056 | $4,577,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 7,517 | $4,571,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 500,000 | $4,560,000 | thousands by filing date | put |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 431,340 | $4,550,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 313,608 | $4,547,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 390,431 | $4,537,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 388,292 | $4,531,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 846,724 | $4,530,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 400,757 | $4,524,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 65,399 | $4,506,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 107,550 | $4,504,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 27,867 | $4,495,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 361,877 | $4,491,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 106,100 | $4,489,000 | thousands by filing date | call |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 112,080 | $4,483,000 | thousands by filing date | call |
| B/E AEROSPACE INC | 073302101 | COM | 74,483 | $4,483,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 242,891 | $4,479,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 163,205 | $4,469,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,439,368 | $4,462,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 453,225 | $4,455,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 72,188 | $4,446,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 618,317 | $4,446,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 440,789 | $4,429,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 994,370 | $4,425,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 185,734 | $4,419,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 174,762 | $4,408,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 353,037 | $4,406,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,330,840 | $4,406,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 120,000 | $4,402,000 | thousands by filing date | call |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 3,772,000 | $4,392,000 | thousands by filing date | principal |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 63,355 | $4,388,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 73,501 | $4,388,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 122,100 | $4,387,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 142,900 | $4,387,000 | thousands by filing date | call |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 217,545 | $4,386,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 84,565 | $4,383,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 121,656 | $4,379,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 112,745 | $4,375,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 501,934 | $4,372,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 814,844 | $4,359,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 236,996 | $4,356,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 372,293 | $4,356,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 240,700 | $4,355,000 | thousands by filing date | put |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 109,544 | $4,352,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 128,293 | $4,342,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 188,306 | $4,337,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 61,049 | $4,335,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 50,224 | $4,334,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 900,421 | $4,331,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 21,898 | $4,329,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 69,920 | $4,322,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 15,000 | $4,319,000 | thousands by filing date | call |
| TERADYNE INC COM | 880770102 | Stock | 169,826 | $4,313,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 53,615 | $4,308,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 292,400 | $4,307,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 850,826 | $4,305,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 38,715 | $4,302,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 158,121 | $4,300,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 233,300 | $4,297,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 118,500 | $4,296,000 | thousands by filing date | put |
| TEGNA INC COM | 87901J105 | Stock | 200,465 | $4,288,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 215,366 | $4,288,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 135,503 | $4,283,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 31,798 | $4,273,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 311,519 | $4,271,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 269,940 | $4,268,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 29,532 | $4,266,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 50,000 | $4,263,000 | thousands by filing date | call |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 332,474 | $4,239,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 264,953 | $4,237,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 159,194 | $4,234,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 93,682 | $4,233,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 127,800 | $4,219,000 | thousands by filing date | call |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 42,882 | $4,217,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 153,791 | $4,216,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 112,286 | $4,204,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 105,098 | $4,203,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 416,599 | $4,203,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 350,000 | $4,200,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 111,580 | $4,200,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 832,766 | $4,198,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 57,418 | $4,194,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 58,765 | $4,190,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 118,695 | $4,189,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 138,469 | $4,187,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 450,000 | $4,185,000 | thousands by filing date | put |
| GOPRO INC | 38268T103 | CL A | 479,826 | $4,180,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 373,745 | $4,178,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 157,208 | $4,175,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 71,285 | $4,167,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 39,528 | $4,158,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 112,408 | $4,153,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 262,500 | $4,150,000 | thousands by filing date | put |
| WESTERN REFNG INC | 959319104 | COM | 109,516 | $4,146,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 64,667 | $4,136,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 73,700 | $4,129,000 | thousands by filing date | call |
| BSFT 1 9/01/22 | 11133BAD4 | Bond 30/360P2 U | 3,416,000 | $4,127,000 | thousands by filing date | principal |
| Applied Materials,Inc. | 038222105 | COM | 127,800 | $4,124,000 | thousands by filing date | call |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 100,315 | $4,121,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 439,645 | $4,106,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 130,000 | $4,102,000 | thousands by filing date | put |
| NEWTEKONE INC | 652526203 | COM NEW | 257,887 | $4,100,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 103,762 | $4,099,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 35,700 | $4,092,000 | thousands by filing date | call |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 137,750 | $4,091,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 62,500 | $4,090,000 | thousands by filing date | put |
| JUNIPER NETWORKS INC | 48203R104 | COM | 144,573 | $4,085,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 74,028 | $4,080,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 275,424 | $4,071,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 63,868 | $4,063,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 166,229 | $4,058,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 38,844 | $4,054,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 31,554 | $4,052,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 167,838 | $4,052,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 871,876 | $4,046,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 63,700 | $4,043,000 | thousands by filing date | call |
| LIFE STORAGE INC | 53223X107 | COM | 47,391 | $4,041,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 52,265 | $4,037,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 266,776 | $4,036,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 3,485,000 | $4,034,000 | thousands by filing date | principal |
| PRIMERICA INC | 74164M108 | COM | 58,303 | $4,031,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 71,541 | $4,028,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 36,700 | $4,023,000 | thousands by filing date | call |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 129,137 | $4,021,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 1,279,768 | $4,019,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 401,790 | $4,014,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 477,781 | $4,013,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 179,609 | $4,012,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 161,766 | $4,007,000 | thousands by filing date | call |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 140,000 | $3,997,000 | thousands by filing date | call |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 76,804 | $3,995,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 382,707 | $3,991,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 152,626 | $3,991,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 77,253 | $3,982,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 166,004 | $3,982,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 1,893,000 | $3,978,000 | thousands by filing date | principal |
| INTL FCSTONE INC | 46116V105 | COM | 100,000 | $3,960,000 | thousands by filing date | put |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 590,806 | $3,947,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 35,287 | $3,939,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 332,622 | $3,929,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 51,152 | $3,919,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 24,013 | $3,891,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 338,242 | $3,890,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 101,676 | $3,889,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 200,500 | $3,882,000 | thousands by filing date | put |
| AGCO CORP | 001084102 | COM | 66,991 | $3,876,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 372,706 | $3,876,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 3,500,000 | $3,859,000 | thousands by filing date | principal |
| IDEX CORP COM | 45167R104 | Stock | 42,828 | $3,857,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 146,716 | $3,856,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 188,011 | $3,849,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 93,746 | $3,847,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 298,900 | $3,841,000 | thousands by filing date | call |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 155,611 | $3,835,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 72,286 | $3,834,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 176,867 | $3,814,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 52,034 | $3,813,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 201,313 | $3,811,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 310,451 | $3,807,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 26,889 | $3,802,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 382,281 | $3,793,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 31,266 | $3,793,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 108,200 | $3,789,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 105,747 | $3,789,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 153,486 | $3,787,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 120,703 | $3,781,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 235,904 | $3,772,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 89,563 | $3,769,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 30,100 | $3,765,000 | thousands by filing date | put |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 122,564 | $3,753,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 321,543 | $3,743,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 111,328 | $3,742,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 175,000 | $3,736,000 | thousands by filing date | call |
| CIGNA CORPORATION | 125509109 | COM | 28,000 | $3,735,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 31,252 | $3,732,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 48,829 | $3,727,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 1,194,826 | $3,716,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 145,400 | $3,715,000 | thousands by filing date | put |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 39,300 | $3,704,000 | thousands by filing date | call |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 49,206 | $3,703,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 202,064 | $3,697,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 272,453 | $3,689,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 126,287 | $3,682,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 90,000 | $3,681,000 | thousands by filing date | call |
| GOLAR LNG LTD | G9456A100 | SHS | 160,325 | $3,678,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 70,484 | $3,676,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 173,598 | $3,671,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 202,319 | $3,666,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 255,200 | $3,665,000 | thousands by filing date | call |
| Concho Resources Inc. | 20605P101 | COM | 27,600 | $3,660,000 | thousands by filing date | call |
| KEYW HLDG CORP | 493723100 | COM | 310,153 | $3,657,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 37,817 | $3,652,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 32,375 | $3,646,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 16,300 | $3,643,000 | thousands by filing date | put |
| COLUMBIA BKG SYS INC | 197236102 | COM | 81,371 | $3,636,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 39,440 | $3,632,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 59,040 | $3,625,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 40,100 | $3,619,000 | thousands by filing date | put |
| LKQ CORP COM | 501889208 | Stock | 118,071 | $3,619,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 180,261 | $3,616,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 52,615 | $3,612,000 | thousands by filing date | |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 111,534 | $3,610,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 328,936 | $3,608,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 4,000,000 | $3,603,000 | thousands by filing date | principal |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 154,913 | $3,602,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 36,517 | $3,598,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 172,897 | $3,596,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 100,997 | $3,593,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 78,879 | $3,585,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 35,389 | $3,576,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 152,693 | $3,575,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 106,995 | $3,563,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 93,091 | $3,553,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 151,173 | $3,547,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 1,114,645 | $3,544,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 188,024 | $3,544,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 257,696 | $3,535,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 159,353 | $3,534,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 1,548,969 | $3,532,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 52,966 | $3,531,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 196,100 | $3,526,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 64,743 | $3,524,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 63,400 | $3,523,000 | thousands by filing date | put |
| WEBSTER FINL CORP | 947890109 | COM | 64,883 | $3,522,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 221,166 | $3,519,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 86,364 | $3,515,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 83,800 | $3,503,000 | thousands by filing date | call |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 142,340 | $3,503,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 45,000 | $3,483,000 | thousands by filing date | put |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 3,000,000 | $3,473,000 | thousands by filing date | principal |
| CORESITE RLTY CORP | 21870Q105 | COM | 43,744 | $3,472,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 404,532 | $3,471,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 59,675 | $3,469,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 284,999 | $3,469,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 48,573 | $3,466,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 193,459 | $3,463,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 81,808 | $3,460,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 355,674 | $3,457,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 27,875 | $3,455,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 146,589 | $3,437,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 137,486 | $3,437,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 367,522 | $3,436,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 25,049 | $3,434,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 40,437 | $3,427,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 89,100 | $3,427,000 | thousands by filing date | put |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 215,350 | $3,425,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 60,359 | $3,415,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 172,466 | $3,413,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 88,963 | $3,407,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 83,262 | $3,405,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 560,883 | $3,387,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 56,130 | $3,379,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 184,013 | $3,376,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 3,000,000 | $3,366,000 | thousands by filing date | principal |
| APTARGROUP INC COM | 038336103 | Stock | 45,718 | $3,357,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 349,162 | $3,355,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 67,952 | $3,350,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 43,980 | $3,350,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 234,156 | $3,337,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 164,612 | $3,333,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 982,118 | $3,329,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 104,405 | $3,329,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 232,208 | $3,323,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 163,252 | $3,316,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 397,053 | $3,316,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 69,635 | $3,315,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 123,148 | $3,313,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 393,594 | $3,311,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 158,410 | $3,311,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 227,476 | $3,310,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 140,024 | $3,309,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 43,865 | $3,306,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 47,754 | $3,297,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 2,822 | $3,293,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 312,439 | $3,290,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 94,097 | $3,284,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 82,128 | $3,282,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 46,670 | $3,282,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 5,000,000 | $3,281,000 | thousands by filing date | principal |
| FIDELITY COMWLTH TR | 315912808 | COM | 15,463 | $3,272,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 236,958 | $3,270,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 65,100 | $3,264,000 | thousands by filing date | put |
| RYDER SYS INC COM | 783549108 | Stock | 43,698 | $3,253,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 65,310 | $3,251,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 575,231 | $3,250,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 13,000 | $3,249,000 | thousands by filing date | call |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 136,502 | $3,249,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 197,600 | $3,247,000 | thousands by filing date | call |
| SPIRE INC | 84857L101 | COM | 50,259 | $3,244,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 80,061 | $3,243,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 228,500 | $3,240,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 72,925 | $3,239,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 93,800 | $3,237,000 | thousands by filing date | call |
| SELECTIVE INS GROUP INC | 816300107 | COM | 75,189 | $3,237,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 477,204 | $3,230,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 48,866 | $3,229,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 126,805 | $3,229,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 271,793 | $3,227,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 50,000 | $3,218,000 | thousands by filing date | call |
| EQUINIX INC COM | 29444U700 | REIT | 9,000 | $3,217,000 | thousands by filing date | call |
| CORNING INC | 219350105 | COM | 132,500 | $3,216,000 | thousands by filing date | put |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 32,826 | $3,214,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 160,831 | $3,214,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 152,191 | $3,208,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 70,798 | $3,206,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 42,700 | $3,204,000 | thousands by filing date | put |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 98,621 | $3,202,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 851,556 | $3,202,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 464,410 | $3,200,000 | thousands by filing date | call |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 63,431 | $3,198,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 82,326 | $3,198,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 330,272 | $3,197,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 472,169 | $3,197,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 937,600 | $3,197,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 913,047 | $3,196,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 77,100 | $3,194,000 | thousands by filing date | put |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 37,800 | $3,193,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 107,500 | $3,192,000 | thousands by filing date | put |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 197,579 | $3,189,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 214,145 | $3,189,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 271,984 | $3,188,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 108,600 | $3,185,000 | thousands by filing date | call |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 107,228 | $3,184,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 54,591 | $3,183,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 163,840 | $3,183,000 | 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 |