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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 374,717 | $5,909,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 32,899 | $5,908,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 75,271 | $5,903,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 590,369 | $5,897,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 98,858 | $5,893,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 196,179 | $5,891,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 158,117 | $5,890,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 120,937 | $5,890,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 203,989 | $5,864,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 123,914 | $5,864,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,149,434 | $5,816,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 150,800 | $5,801,000 | thousands by filing date | call |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 360,477 | $5,797,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 55,844 | $5,789,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 411,671 | $5,780,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 500,463 | $5,776,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 98,500 | $5,771,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 241,700 | $5,771,000 | thousands by filing date | put |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,046,970 | $5,769,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 352,285 | $5,763,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 171,866 | $5,756,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 147,141 | $5,746,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 45,000 | $5,738,000 | thousands by filing date | call |
| IAMGOLD CORP COM | 450913108 | Stock | 1,111,482 | $5,735,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 125,807 | $5,729,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 212,875 | $5,718,000 | thousands by filing date | |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 4,504,000 | $5,717,000 | thousands by filing date | principal |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 154,811 | $5,712,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 114,611 | $5,711,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 350,000 | $5,705,000 | thousands by filing date | call |
| FORTIVE CORP COM | 34959J108 | Stock | 90,000 | $5,702,000 | thousands by filing date | call |
| BLOCK H & R INC COM | 093671105 | Stock | 184,352 | $5,699,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 650,921 | $5,695,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 88,062 | $5,693,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 140,573 | $5,689,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 86,151 | $5,678,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 98,110 | $5,674,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 83,165 | $5,667,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 72,647 | $5,666,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 197,380 | $5,665,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 348,915 | $5,656,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 268,918 | $5,642,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 73,321 | $5,640,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 148,184 | $5,636,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 301,160 | $5,632,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 167,228 | $5,631,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 94,900 | $5,628,000 | thousands by filing date | put |
| TESARO INC | 881569107 | COM | 40,200 | $5,622,000 | thousands by filing date | put |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 278,633 | $5,612,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 207,770 | $5,610,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 77,700 | $5,607,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 131,155 | $5,602,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 87,380 | $5,601,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 98,002 | $5,591,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 428,995 | $5,581,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 436,889 | $5,575,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 34,444 | $5,555,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 94,739 | $5,550,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 431,380 | $5,543,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 37,200 | $5,541,000 | thousands by filing date | call |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 423,153 | $5,539,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 62,300 | $5,529,000 | thousands by filing date | put |
| ENOVIS CORP | 194014106 | COMMON STOCK | 140,221 | $5,521,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 115,200 | $5,510,000 | thousands by filing date | put |
| WELBILT INC | 949090104 | COM | 292,068 | $5,506,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 166,642 | $5,482,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 231,653 | $5,479,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 321,960 | $5,477,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 45,000 | $5,475,000 | thousands by filing date | put |
| VIACOM INC | 92553P201 | CL B | 162,900 | $5,469,000 | thousands by filing date | call |
| JUNIPER NETWORKS INC | 48203R104 | COM | 196,015 | $5,464,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 212,296 | $5,460,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 189,933 | $5,457,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 62,730 | $5,441,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 306,031 | $5,438,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 67,726 | $5,433,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 358,545 | $5,428,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 163,828 | $5,427,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 81,423 | $5,412,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,085,000 | $5,392,000 | thousands by filing date | put |
| FIRSTENERGY CORP | 337932107 | COM | 184,807 | $5,388,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 842,842 | $5,385,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 426,170 | $5,374,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 38,113 | $5,372,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 217,822 | $5,371,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,386,607 | $5,366,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 198,479 | $5,351,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 46,268 | $5,351,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 102,020 | $5,335,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 593,229 | $5,334,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 50,000 | $5,331,000 | thousands by filing date | put |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 50,000 | $5,331,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 1,089,986 | $5,330,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 1,026,427 | $5,328,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 38,000 | $5,325,000 | thousands by filing date | call |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 253,677 | $5,315,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 65,846 | $5,312,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 9,307 | $5,310,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 80,170 | $5,308,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 149,156 | $5,307,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 56,097 | $5,303,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 114,242 | $5,278,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 3,735,000 | $5,278,000 | thousands by filing date | principal |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 103,527 | $5,275,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 92,955 | $5,273,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 66,067 | $5,269,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 200,224 | $5,262,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 350,000 | $5,257,000 | thousands by filing date | call |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 60,126 | $5,255,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 46,117 | $5,250,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 63,028 | $5,228,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 312,345 | $5,228,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 290,632 | $5,223,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 3,157,140 | $5,209,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 66,464 | $5,207,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 70,100 | $5,197,000 | thousands by filing date | call |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 331,669 | $5,184,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 262,371 | $5,182,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 164,350 | $5,179,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 359,954 | $5,172,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 257,292 | $5,166,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 64,425 | $5,160,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 76,812 | $5,147,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 66,543 | $5,144,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 42,298 | $5,142,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 233,501 | $5,136,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 532,972 | $5,127,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 341,386 | $5,118,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 113,741 | $5,115,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 625,744 | $5,099,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 1,145,618 | $5,098,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 132,615 | $5,094,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 169,389 | $5,092,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 156,264 | $5,079,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 46,200 | $5,073,000 | thousands by filing date | call |
| VIACOM INC | 92553P201 | CL B | 150,600 | $5,056,000 | thousands by filing date | put |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 398,050 | $5,052,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 85,000 | $5,051,000 | thousands by filing date | put |
| CABELAS INC | 126804301 | COM | 85,000 | $5,051,000 | thousands by filing date | call |
| PACWEST BANCORP DEL | 695263103 | COM | 108,122 | $5,049,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 233,592 | $5,048,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 119,600 | $5,042,000 | thousands by filing date | call |
| AGCO CORP | 001084102 | COM | 74,680 | $5,033,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 274,281 | $5,031,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 645,614 | $5,029,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 80,000 | $5,027,000 | thousands by filing date | put |
| OM ASSET MGMT PLC | G67506108 | SHS | 337,978 | $5,023,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 167,696 | $5,012,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 52,436 | $5,002,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 375,546 | $4,999,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 90,437 | $4,985,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 212,948 | $4,981,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 41,321 | $4,978,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 574,458 | $4,969,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 53,399 | $4,965,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 123,083 | $4,946,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 53,564 | $4,944,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 100,000 | $4,937,000 | thousands by filing date | call |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 456,222 | $4,927,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 386,212 | $4,924,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 180,289 | $4,909,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 5,048,000 | $4,909,000 | thousands by filing date | principal |
| CONTINENTAL RES INC | 212015101 | COM | 151,100 | $4,885,000 | thousands by filing date | call |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 232,786 | $4,877,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 197,327 | $4,866,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 25,310 | $4,864,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 409,627 | $4,862,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 482,905 | $4,858,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 61,530 | $4,836,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 104,545 | $4,835,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 38,024 | $4,832,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 112,449 | $4,832,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 66,992 | $4,831,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 155,292 | $4,822,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 47,219 | $4,821,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 22,600 | $4,819,000 | thousands by filing date | put |
| ANSYS INC COM | 03662Q105 | COM | 39,549 | $4,813,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 29,800 | $4,812,000 | thousands by filing date | call |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 64,400 | $4,806,000 | thousands by filing date | put |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 167,067 | $4,803,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 615,520 | $4,801,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 227,183 | $4,800,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 88,173 | $4,795,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 770,979 | $4,780,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 183,764 | $4,774,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 357,312 | $4,773,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 355,136 | $4,766,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 1,414,006 | $4,765,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 146,121 | $4,755,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 208,827 | $4,751,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 700,000 | $4,746,000 | thousands by filing date | put |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 39,039 | $4,739,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 8,300 | $4,735,000 | thousands by filing date | call |
| BANK HAWAII CORP | 062540109 | COM | 56,945 | $4,724,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 28,700 | $4,722,000 | thousands by filing date | put |
| WINNEBAGO INDS INC | 974637100 | COM | 134,869 | $4,721,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 158,569 | $4,721,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 195,921 | $4,702,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 530,940 | $4,699,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 118,162 | $4,695,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 357,671 | $4,689,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 485,000 | $4,685,000 | thousands by filing date | call |
| MICROSEMI CORP | 595137100 | COM | 99,900 | $4,675,000 | thousands by filing date | call |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 28,896 | $4,668,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 57,465 | $4,662,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 142,300 | $4,660,000 | thousands by filing date | put |
| TANGER INC | 875465106 | COM | 179,309 | $4,659,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 74,219 | $4,654,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 36,000 | $4,648,000 | thousands by filing date | put |
| SILVER STD RES INC | 82823L106 | COM | 478,104 | $4,643,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 90,088 | $4,640,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 278,041 | $4,630,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 51,674 | $4,624,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 143,000 | $4,623,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 1,757,274 | $4,622,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 130,000 | $4,614,000 | thousands by filing date | put |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 111,143 | $4,613,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 460,000 | $4,595,000 | thousands by filing date | put |
| DST SYS INC DEL | 233326107 | COM | 74,344 | $4,587,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 103,792 | $4,578,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 215,332 | $4,574,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 983,212 | $4,572,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 142,300 | $4,571,000 | thousands by filing date | put |
| TAHOE RES INC | 873868103 | COM | 529,936 | $4,568,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 85,332 | $4,563,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 560,000 | $4,558,000 | thousands by filing date | put |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 156,067 | $4,554,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 80,000 | $4,551,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 82,000 | $4,543,000 | thousands by filing date | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 242,980 | $4,543,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 824,424 | $4,543,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 275,397 | $4,536,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 502,577 | $4,528,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 160,000 | $4,520,000 | thousands by filing date | put |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 73,166 | $4,519,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 352,120 | $4,518,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 165,154 | $4,517,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 42,939 | $4,509,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 356,142 | $4,502,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 185,199 | $4,497,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 403,595 | $4,492,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 454,711 | $4,484,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 175,467 | $4,475,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 258,052 | $4,475,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 44,600 | $4,474,000 | thousands by filing date | put |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 254,118 | $4,473,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 3,620,000 | $4,471,000 | thousands by filing date | principal |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 35,687 | $4,462,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 242,846 | $4,458,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 130,999 | $4,456,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 252,488 | $4,444,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 114,390 | $4,438,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 42,846 | $4,436,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 297,159 | $4,431,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 374,812 | $4,430,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 152,055 | $4,426,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 108,204 | $4,415,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 177,353 | $4,407,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 74,073 | $4,404,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 138,710 | $4,401,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 109,551 | $4,399,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 22,700 | $4,398,000 | thousands by filing date | put |
| Intuitive Surgical,Inc. | 46120E602 | COM | 4,700 | $4,396,000 | thousands by filing date | call |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 78,690 | $4,394,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 51,607 | $4,390,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 165,835 | $4,390,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 82,773 | $4,389,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 23,934 | $4,378,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 54,904 | $4,371,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 34,000 | $4,366,000 | thousands by filing date | call |
| HRG GROUP INC COM | 40434J100 | Stock | 246,558 | $4,366,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 67,736 | $4,352,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 223,819 | $4,351,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 50,000 | $4,349,000 | thousands by filing date | put |
| OFS CAPITAL CORP | 67103B100 | COM | 303,804 | $4,348,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 242,700 | $4,344,000 | thousands by filing date | call |
| DAVITA INC COM | 23918K108 | Stock | 67,048 | $4,343,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 101,618 | $4,341,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 682,432 | $4,327,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 42,900 | $4,325,000 | thousands by filing date | put |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 155,242 | $4,325,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 54,897 | $4,322,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 76,300 | $4,319,000 | thousands by filing date | call |
| RH | 74967X103 | COM | 66,800 | $4,310,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 96,141 | $4,306,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 943,142 | $4,301,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 107,055 | $4,299,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 426,919 | $4,287,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 120,000 | $4,282,000 | thousands by filing date | put |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 594,006 | $4,277,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 44,516 | $4,273,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 102,473 | $4,267,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 93,303 | $4,261,000 | thousands by filing date | |
| ILG INC | 44967H101 | COM | 155,000 | $4,261,000 | thousands by filing date | put |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 55,260 | $4,259,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 62,267 | $4,259,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 65,950 | $4,248,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 239,652 | $4,242,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 302,389 | $4,233,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 89,840 | $4,232,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 244,769 | $4,220,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 112,520 | $4,219,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 38,231 | $4,219,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 292,387 | $4,219,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 186,100 | $4,215,000 | thousands by filing date | call |
| HALYARD HEALTH INC | 40650V100 | COM | 107,127 | $4,208,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 67,676 | $4,206,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 57,141 | $4,204,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 113,559 | $4,204,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 157,400 | $4,203,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 110,000 | $4,202,000 | thousands by filing date | put |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 76,773 | $4,199,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 66,784 | $4,194,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 65,197 | $4,189,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 29,600 | $4,187,000 | thousands by filing date | call |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 180,875 | $4,180,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 283,071 | $4,175,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 164,873 | $4,156,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 53,261 | $4,150,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 56,926 | $4,149,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 87,964 | $4,143,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 55,000 | $4,139,000 | thousands by filing date | call |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 167,993 | $4,139,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 98,501 | $4,135,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 147,594 | $4,133,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 410,934 | $4,126,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 193,411 | $4,124,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 428,158 | $4,123,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 367,764 | $4,119,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 76,180 | $4,116,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 274,202 | $4,116,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 208,600 | $4,116,000 | thousands by filing date | put |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 660,391 | $4,107,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 614,711 | $4,088,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 75,000 | $4,088,000 | thousands by filing date | put |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 43,480 | $4,083,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 126,849 | $4,083,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 95,992 | $4,076,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 64,932 | $4,073,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 455,544 | $4,072,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 45,000 | $4,070,000 | thousands by filing date | call |
| CANTEL MEDICAL CORP | 138098108 | COM | 52,209 | $4,067,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 110,000 | $4,066,000 | thousands by filing date | put |
| LITHIA MTRS INC COM | 536797103 | Stock | 43,008 | $4,053,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 313,828 | $4,052,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 75,000 | $4,040,000 | thousands by filing date | put |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 349,645 | $4,038,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 122,100 | $4,032,000 | thousands by filing date | put |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 169,906 | $4,032,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 400,000 | $4,028,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 210,100 | $4,026,000 | thousands by filing date | put |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 355,352 | $4,026,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 91,184 | $4,016,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 147,230 | $4,014,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 95,192 | $4,011,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 15,185 | $4,003,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 84,663 | $4,002,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 85,253 | $4,002,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 35,800 | $3,988,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 119,000 | $3,972,000 | thousands by filing date | put |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 89,628 | $3,965,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 95,919 | $3,953,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 78,087 | $3,945,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 59,548 | $3,944,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 258,363 | $3,940,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 66,136 | $3,930,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 257,013 | $3,928,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 288,569 | $3,922,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 19,723 | $3,918,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 961,770 | $3,915,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 140,000 | $3,914,000 | thousands by filing date | put |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 208,209 | $3,910,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 50,000 | $3,909,000 | thousands by filing date | call |
| WABTEC COM | 929740108 | Stock | 42,647 | $3,903,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 45,000 | $3,903,000 | thousands by filing date | put |
| AEROVIRONMENT INC COM | 008073108 | Stock | 102,093 | $3,900,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 38,752 | $3,895,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 85,269 | $3,895,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 396,192 | $3,895,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 132,052 | $3,893,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 192,716 | $3,891,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 149,601 | $3,891,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 171,769 | $3,890,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 82,950 | $3,888,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 113,419 | $3,878,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 3,070 | $3,874,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 469,700 | $3,866,000 | thousands by filing date | call |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 191,195 | $3,851,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 57,131 | $3,845,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 195,399 | $3,843,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 249,231 | $3,840,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 6,444 | $3,833,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 111,015 | $3,832,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 407,633 | $3,831,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 41,948 | $3,831,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 376,489 | $3,829,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 105,472 | $3,824,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 286,728 | $3,817,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 45,051 | $3,814,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 79,849 | $3,813,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 33,800 | $3,810,000 | thousands by filing date | put |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 173,775 | $3,806,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 33,297 | $3,786,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 149,584 | $3,786,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 40,400 | $3,781,000 | thousands by filing date | call |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 34,541 | $3,779,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 100,000 | $3,776,000 | thousands by filing date | put |
| L BRANDS INC | 501797104 | COM | 70,000 | $3,772,000 | thousands by filing date | put |
| ASGN INC | 682159108 | COM | 69,588 | $3,768,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 99,200 | $3,765,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 216,392 | $3,757,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 145,457 | $3,757,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 180,117 | $3,754,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 215,499 | $3,752,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 131,963 | $3,748,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 96,460 | $3,745,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 173,353 | $3,745,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 60,251 | $3,739,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 309,863 | $3,734,000 | thousands by filing date | |
| XL GROUP LTD | G98294104 | COM | 84,925 | $3,720,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 800,000 | $3,720,000 | thousands by filing date | call |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 80,353 | $3,719,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 74,167 | $3,712,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 197,997 | $3,705,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 151,382 | $3,705,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,213,378 | $3,701,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 168,395 | $3,698,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 26,439 | $3,698,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 61,149 | $3,691,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 158,500 | $3,684,000 | thousands by filing date | call |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 226,226 | $3,677,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 349,200 | $3,674,000 | thousands by filing date | call |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 160,107 | $3,669,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 72,640 | $3,668,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 104,511 | $3,661,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 314,693 | $3,657,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 234,834 | $3,656,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 30,000 | $3,646,000 | thousands by filing date | put |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 294,063 | $3,626,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 33,022 | $3,625,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 69,298 | $3,625,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 114,791 | $3,621,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 95,802 | $3,621,000 | thousands by filing date | |
| FLIR SYS INC | 302445101 | COM | 104,097 | $3,608,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 238,699 | $3,607,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 118,295 | $3,596,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 126,006 | $3,586,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 8,600 | $3,578,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 141,962 | $3,573,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 94,600 | $3,569,000 | thousands by filing date | put |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 338,089 | $3,564,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 367,673 | $3,559,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 100,340 | $3,559,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 38,681 | $3,558,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 235,635 | $3,558,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 65,823 | $3,555,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 1,264,945 | $3,554,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 561,629 | $3,544,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 59,341 | $3,543,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 261,909 | $3,531,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 53,055 | $3,529,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 96,880 | $3,526,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 16,739 | $3,517,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 107,494 | $3,516,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 318,930 | $3,515,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 137,277 | $3,515,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 80,000 | $3,510,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 103,584 | $3,503,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 98,690 | $3,503,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 27,985 | $3,498,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 195,700 | $3,497,000 | thousands by filing date | call |
| GARRISON CAP INC | 366554103 | COM | 423,168 | $3,496,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 123,400 | $3,492,000 | thousands by filing date | call |
| TELEFLEX INCORPORATED | 879369106 | COM | 16,803 | $3,491,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 313,483 | $3,483,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 17,082 | $3,472,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 40,524 | $3,469,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 375,055 | $3,469,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 270,856 | $3,462,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 135,033 | $3,461,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 786,222 | $3,459,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 67,965 | $3,457,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 136,492 | $3,456,000 | thousands by filing date | |
| HARMONIC INC | 413160AB8 | NOTE 4.000%12/0 | 3,000,000 | $3,456,000 | thousands by filing date | principal |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 95,797 | $3,454,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 36,889 | $3,453,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 56,865 | $3,445,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 39,571 | $3,438,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 121,849 | $3,438,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 69,399 | $3,415,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 82,443 | $3,412,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 33,167 | $3,410,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 54,426 | $3,407,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 52,854 | $3,407,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 360,616 | $3,397,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 367,553 | $3,392,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 299,291 | $3,388,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 244,808 | $3,376,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 82,917 | $3,375,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 115,015 | $3,368,000 | 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 |