13F-HR/A filed by UBS Group AG
UBS Group AG filed this 13F-HR/A for the quarter ended 2017-06-30, filed 2017-11-14, with 7,754 holding rows worth $193,228,198,000.
- Accession
- 0000950123-17-010878
- Filer
- CIK 1610520
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A combination report, amendment of type restatement, 12,817 entries on the cover page, a total value of $193,228,198,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,228,198,000 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 |
|---|---|---|---|---|---|---|
| FIRST LONG IS CORP | 320734106 | COM | 10,302 | $294,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 67,729 | $294,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 37,230 | $293,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 2,809 | $292,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 16,136 | $292,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 18,275 | $292,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 49,539 | $292,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 4,640 | $291,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 11,587 | $291,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 19,674 | $291,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 17,076 | $291,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 29,475 | $290,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 32,287 | $289,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 17,972 | $287,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 11,605 | $286,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 5,709 | $285,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 3,606 | $285,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 12,492 | $284,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 19,411 | $283,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 143,584 | $283,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 11,519 | $282,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 5,259 | $282,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 9,823 | $282,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 11,421 | $281,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 13,368 | $280,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 3,200 | $280,000 | thousands by filing date | call |
| EZCORP INC | 302301106 | CL A NON VTG | 36,360 | $280,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 13,049 | $280,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 7,849 | $279,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 10,134 | $279,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 3,100 | $278,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 14,879 | $278,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 6,841 | $278,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 9,608 | $278,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 24,900 | $278,000 | thousands by filing date | call |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 6,600 | $277,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 21,504 | $277,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 101,452 | $277,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 26,324 | $276,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 13,853 | $276,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 18,680 | $275,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 17,424 | $275,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 3,700 | $274,000 | thousands by filing date | put |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 12,567 | $274,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 6,931 | $274,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 10,425 | $274,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 6,000 | $274,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 66,921 | $272,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 41,617 | $272,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 11,812 | $272,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 6,181 | $270,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 30,558 | $269,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 17,331 | $269,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 14,695 | $269,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 5,159 | $269,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 25,862 | $268,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 3,523 | $268,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 21,304 | $267,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 54,918 | $267,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 20,632 | $267,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 15,000 | $266,000 | thousands by filing date | call |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 5,914 | $266,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 70,000 | $266,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 11,878 | $265,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 10,000 | $265,000 | thousands by filing date | put |
| AMDOCS LTD | G02602103 | SHS | 4,100 | $264,000 | thousands by filing date | call |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 8,620 | $264,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 12,000 | $263,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 7,779 | $263,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 4,465 | $263,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 106,795 | $260,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 7,235 | $260,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 6,815 | $260,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 7,587 | $259,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 6,241 | $259,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 2,500 | $259,000 | thousands by filing date | call |
| ROGERS CORP COM | 775133101 | Stock | 2,378 | $258,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 6,185 | $258,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 11,404 | $258,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 16,773 | $258,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 26,344 | $258,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 22,560 | $257,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 6,607 | $257,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 5,094 | $257,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 8,059 | $256,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 5,310 | $256,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 21,640 | $256,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 13,065 | $256,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 4,571 | $255,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 5,932 | $255,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 11,480 | $255,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 47,924 | $255,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 15,768 | $254,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 16,685 | $254,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 8,225 | $253,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 4,592 | $253,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 6,762 | $253,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 99,380 | $253,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 19,550 | $253,000 | thousands by filing date | |
| PROSHARES TR | 74347B615 | HDG FTSE EURO | 6,191 | $253,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 25,000 | $252,000 | thousands by filing date | put |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 24,365 | $252,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 12,198 | $252,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 20,941 | $252,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 4,700 | $251,000 | thousands by filing date | put |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 3,682 | $251,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 5,680 | $251,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 5,535 | $251,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 8,518 | $250,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 5,674 | $250,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 1,500 | $249,000 | thousands by filing date | put |
| INTERPARFUMS INC COM | 458334109 | Stock | 6,741 | $247,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 5,625 | $247,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 9,859 | $246,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 15,333 | $246,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 132,232 | $246,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 5,024 | $245,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 6,893 | $245,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 17,610 | $245,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 60,000 | $244,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 14,707 | $244,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 5,969 | $244,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 14,155 | $244,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 6,839 | $244,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 28,342 | $244,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 14,354 | $244,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 16,267 | $244,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 17,565 | $244,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 7,500 | $243,000 | thousands by filing date | call |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 5,000 | $243,000 | thousands by filing date | put |
| LAKELAND BANCORP INC | 511637100 | COM | 12,882 | $243,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 100,000 | $243,000 | thousands by filing date | put |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 8,155 | $243,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 13,522 | $242,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 3,277 | $241,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 6,293 | $241,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 10,947 | $241,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 6,821 | $240,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 2,841 | $239,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 20,849 | $238,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 4,732 | $238,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 16,761 | $238,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 18,434 | $238,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 6,845 | $238,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 5,076 | $237,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 11,732 | $236,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 4,170 | $236,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 11,586 | $236,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 12,504 | $236,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 5,719 | $236,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 14,438 | $235,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 17,607 | $235,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 6,911 | $235,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 8,561 | $235,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 3,114 | $234,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 25,359 | $234,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 7,971 | $233,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 2,581 | $232,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 15,829 | $231,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 6,608 | $231,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 7,676 | $231,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 12,320 | $230,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 24,718 | $229,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 6,860 | $229,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 18,758 | $228,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 13,574 | $227,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 4,838 | $227,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 625,000 | $226,000 | thousands by filing date | put |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 5,476 | $226,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 2,993 | $225,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 9,500 | $225,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 33,675 | $225,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 5,802 | $225,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 9,646 | $225,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 6,213 | $224,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 13,376 | $224,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 7,727 | $224,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 6,000 | $224,000 | thousands by filing date | put |
| SABRE CORP COM | 78573M104 | Stock | 10,225 | $223,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 9,368 | $223,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 11,629 | $222,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 46,215 | $222,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 29,000 | $222,000 | thousands by filing date | put |
| Constellation Brands Inc Cl B | 21036P207 | Com | 1,140 | $222,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 13,100 | $220,000 | thousands by filing date | put |
| RAVEN INDS INC COM | 754212108 | Stock | 6,632 | $220,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 31,005 | $220,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 9,677 | $220,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 9,600 | $219,000 | thousands by filing date | call |
| KEARNY FINL CORP MD | 48716P108 | COM | 14,729 | $219,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 8,336 | $219,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 22,748 | $219,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,100 | $218,000 | thousands by filing date | call |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 10,150 | $218,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 11,385 | $218,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 8,032 | $218,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 5,853 | $216,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 10,316 | $216,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 5,752 | $216,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 1,303 | $215,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 4,759 | $215,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 19,322 | $215,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 2,382 | $215,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 17,910 | $214,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 331 | $213,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 13,867 | $212,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 25,853 | $212,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 7,661 | $212,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 6,771 | $211,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 92,300 | $211,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 20,551 | $211,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,500 | $210,000 | thousands by filing date | put |
| V2X INC | 92242T101 | COM | 6,511 | $210,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 11,700 | $209,000 | thousands by filing date | call |
| VEON LTD | 91822M106 | SPONSORED ADR | 53,400 | $209,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 5,189 | $209,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 29,031 | $209,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 13,600 | $208,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 9,730 | $208,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 6,753 | $208,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 5,042 | $207,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 10,544 | $206,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 3,312 | $205,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 3,342 | $205,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 24,559 | $204,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 10,174 | $204,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 13,732 | $204,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 5,272 | $204,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 24,775 | $204,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 2,415 | $203,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 8,862 | $203,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 2,964 | $202,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 3,577 | $202,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 7,474 | $202,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 14,839 | $202,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,400 | $201,000 | thousands by filing date | put |
| MCGRATH RENTCORP | 580589109 | COM | 5,791 | $201,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 3,239 | $201,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 9,617 | $200,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 7,711 | $200,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 10,000 | $199,000 | thousands by filing date | put |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 10,000 | $199,000 | thousands by filing date | call |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 8,000 | $199,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 1,865 | $199,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 17,500 | $199,000 | thousands by filing date | put |
| ASTRONICS CORP COM | 046433108 | Stock | 6,479 | $198,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 9,085 | $198,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 4,932 | $198,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 5,532 | $198,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 5,958 | $197,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 2,500 | $197,000 | thousands by filing date | call |
| HIBBETT INC | 428567101 | COM | 9,501 | $197,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 13,077 | $197,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 61,000 | $197,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 11,212 | $197,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 13,749 | $197,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 8,968 | $196,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 10,851 | $195,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 4,622 | $195,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 11,558 | $194,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 14,104 | $194,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 9,944 | $194,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 40,000 | $194,000 | thousands by filing date | put |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 40,000 | $194,000 | thousands by filing date | call |
| RANDOLPH BANCORP INC | 752378109 | COM | 12,209 | $194,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 3,652 | $193,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 2,900 | $193,000 | thousands by filing date | call |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 3,315 | $193,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 3,857 | $193,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 30,076 | $193,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,500 | $192,000 | thousands by filing date | call |
| MOOG INC CL A | 615394202 | Stock | 2,678 | $192,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,000 | $192,000 | thousands by filing date | call |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 12,903 | $192,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 8,124 | $192,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 53,054 | $192,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 6,418 | $192,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,992 | $192,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 1,842 | $191,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 24,852 | $190,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,300 | $189,000 | thousands by filing date | call |
| NOBLE CORP PLC | G65431101 | SHS USD | 52,147 | $189,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,834 | $189,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 2,100 | $187,000 | thousands by filing date | put |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 3,812 | $187,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 7,039 | $187,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 48,126 | $187,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 18,499 | $186,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 9,836 | $186,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 17,481 | $186,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 12,057 | $185,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 4,639 | $185,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 6,577 | $185,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 4,280 | $185,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 3,911 | $184,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 13,175 | $184,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 7,375 | $183,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 47,042 | $183,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,100 | $182,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 2,377 | $182,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 9,273 | $182,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 7,267 | $181,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 4,690 | $181,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 2,752 | $181,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 136,029 | $181,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 7,627 | $180,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 2,300 | $179,000 | thousands by filing date | put |
| SCHNEIDER NATIONAL INC | 80689H102 | CL B | 7,957 | $178,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 6,635 | $178,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 895 | $178,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 33,738 | $178,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 42,979 | $178,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 2,617 | $177,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 2,423 | $177,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 3,342 | $177,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 6,733 | $177,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 4,649 | $177,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 20,281 | $177,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 46,669 | $177,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 7,336 | $176,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 15,400 | $176,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 2,480 | $176,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,224 | $176,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 12,326 | $176,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 3,715 | $175,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 5,000 | $175,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 11,779 | $175,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 9,482 | $175,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 4,104 | $175,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 10,271 | $174,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 2,000 | $173,000 | thousands by filing date | call |
| ATOMERA INC | 04965B100 | COMMON STOCK | 40,517 | $173,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 18,840 | $173,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 18,114 | $172,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 10,394 | $172,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 8,332 | $172,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 6,407 | $172,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 33,490 | $172,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 11,837 | $171,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 7,260 | $171,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 82,724 | $170,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 4,860 | $169,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 28,160 | $169,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,000 | $168,000 | thousands by filing date | call |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 2,100 | $168,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 7,270 | $168,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 10,104 | $168,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 124,530 | $168,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 2,949 | $167,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 1,746 | $167,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 14,583 | $167,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 16,859 | $167,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 30,413 | $166,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 2,512 | $166,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 10,620 | $166,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 20,000 | $166,000 | thousands by filing date | put |
| WILEY JOHN & SONS INC | 968223305 | CL B | 3,142 | $166,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 1,300 | $165,000 | thousands by filing date | put |
| CIMPRESS N V | N20146101 | SHS EURO | 1,746 | $165,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 10,000 | $164,000 | thousands by filing date | call |
| TIVO CORP | 88870P106 | COM | 8,785 | $164,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 5,587 | $164,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 22,231 | $164,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 1,395 | $164,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 80,000 | $163,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 80,000 | $163,000 | thousands by filing date | call |
| QTS RLTY TR INC | 74736A103 | COM CL A | 3,110 | $163,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 7,630 | $163,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,100 | $162,000 | thousands by filing date | put |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,000 | $162,000 | thousands by filing date | put |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 9,877 | $162,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 3,600 | $162,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 65,739 | $162,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 892 | $161,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 4,371 | $161,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 10,603 | $161,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 8,034 | $161,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 31,703 | $161,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 113,946 | $160,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 1,805 | $160,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 1,992 | $160,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 6,052 | $160,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 24,957 | $160,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 13,866 | $159,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 4,837 | $159,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 3,075 | $159,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 9,904 | $159,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 12,885 | $159,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 31,400 | $159,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 6,555 | $158,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 8,051 | $158,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 56,060 | $158,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 19,530 | $158,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 6,801 | $158,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 8,814 | $158,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 1,438 | $158,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 2,400 | $157,000 | thousands by filing date | put |
| RAPID7 INC COM | 753422104 | Stock | 9,304 | $157,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 16,374 | $157,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 16,037 | $157,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 7,549 | $157,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 9,893 | $157,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 2,228 | $156,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 8,221 | $156,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 120,440 | $156,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 15,000 | $155,000 | thousands by filing date | put |
| HARMONIC INC | 413160102 | COM | 29,568 | $155,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 1,276 | $155,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 7,544 | $155,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 5,953 | $154,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 7,381 | $154,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 3,066 | $154,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 6,365 | $154,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 4,816 | $154,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 6,934 | $154,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 26,701 | $153,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 7,517 | $153,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 22,303 | $153,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 1,558 | $152,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 10,008 | $152,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 31,249 | $152,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 8,139 | $152,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 7,150 | $152,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 10,950 | $152,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 6,001 | $151,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 3,125 | $151,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 4,503 | $151,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 9,360 | $151,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 3,638 | $151,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 15,157 | $150,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 8,597 | $150,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 11,460 | $150,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 8,616 | $149,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 11,679 | $149,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 28,700 | $149,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,900 | $148,000 | thousands by filing date | put |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 5,247 | $148,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 11,386 | $148,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 2,103 | $147,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 13,226 | $147,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 3,016 | $147,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 1,931 | $146,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 13,458 | $146,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 152,508 | $146,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 716 | $145,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 6,643 | $145,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 5,968 | $145,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 16,392 | $145,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 3,947 | $145,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 5,864 | $145,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 3,674 | $145,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 23,994 | $145,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 16,646 | $145,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 7,176 | $144,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 7,852 | $144,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 16,055 | $144,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 3,207 | $144,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 2,857 | $143,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,862 | $143,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 6,535 | $143,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 2,759 | $143,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 3,255 | $143,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,023 | $143,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 3,126 | $142,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 17,715 | $142,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 15,256 | $142,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 43,625 | $141,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 8,200 | $141,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 3,211 | $141,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 2,604 | $141,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 3,724 | $141,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 8,700 | $141,000 | thousands by filing date | put |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 11,894 | $141,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 4,856 | $141,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 8,434 | $140,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 6,787 | $140,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 10,443 | $140,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 2,564 | $140,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 6,100 | $139,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 55,270 | $139,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 10,106 | $139,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 5,953 | $139,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 16,716 | $139,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 5,925 | $139,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 12,936 | $139,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 7,594 | $138,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 20,450 | $138,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 7,681 | $138,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 6,806 | $138,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 5,000 | $137,000 | thousands by filing date | call |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 1,750 | $137,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 14,975 | $136,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 1,370 | $136,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 1,100 | $135,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 48,467 | $135,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 44,100 | $135,000 | thousands by filing date | call |
| ALAMO GROUP INC | 011311107 | COM | 1,488 | $135,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 13,362 | $135,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 5,314 | $134,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 4,825 | $134,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-007964 | superseded | 2017-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-17-010878 | this filing | 2017-11-14 | acceptance time not in the bulk data set |