13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 8,115 holding rows worth $220,519,201,000.
- Accession
- 0000950123-19-001793
- Filer
- CIK 1610520
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, 14,003 entries on the cover page, a total value of $220,519,201,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $220,518,266,000 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 |
|---|---|---|---|---|---|---|
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 145,287 | $3,504,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 220,600 | $3,499,000 | thousands by filing date | call |
| RADIAN GROUP INC COM | 750236101 | Stock | 213,404 | $3,492,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 49,731 | $3,490,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 472,197 | $3,490,000 | thousands by filing date | |
| EVERFORTH INC COM | 00191U102 | Stock | 64,022 | $3,489,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 3,500,000 | $3,485,000 | thousands by filing date | principal |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 182,356 | $3,481,000 | thousands by filing date | |
| ANAPLAN INC | 03272L108 | COM | 131,053 | $3,478,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 49,001 | $3,470,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 279,019 | $3,465,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 435,333 | $3,452,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 26,318 | $3,451,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 38,647 | $3,451,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 174,505 | $3,448,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 48,000 | $3,446,000 | thousands by filing date | call |
| INVITAE CORP | 46185L103 | COM | 311,187 | $3,442,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 273,583 | $3,431,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 276,398 | $3,428,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 122,144 | $3,421,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 190,827 | $3,414,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 79,117 | $3,397,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 329,834 | $3,397,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 65,585 | $3,386,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 100,300 | $3,385,000 | thousands by filing date | put |
| BEST BUY INC COM | 086516101 | Stock | 63,915 | $3,385,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 585,215 | $3,383,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 135,917 | $3,382,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 162,931 | $3,381,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 49,904 | $3,374,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 23,376 | $3,367,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 232,800 | $3,366,000 | thousands by filing date | call |
| BRP INC COM SUN VTG | 05577W200 | Stock | 129,918 | $3,365,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 18,355 | $3,364,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 233,800 | $3,353,000 | thousands by filing date | call |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 131,696 | $3,352,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 66,228 | $3,350,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 77,400 | $3,350,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 93,929 | $3,328,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 111,269 | $3,321,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 183,093 | $3,318,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 161,172 | $3,315,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 50,424 | $3,306,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 181,882 | $3,305,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 84,807 | $3,303,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 97,635 | $3,301,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 119,105 | $3,301,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 73,630 | $3,299,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 83,943 | $3,283,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 81,192 | $3,271,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 727,741 | $3,268,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 47,968 | $3,266,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 70,000 | $3,263,000 | thousands by filing date | put |
| Anglogold Ashanti Plc | 035128206 | Common | 259,779 | $3,261,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 98,700 | $3,256,000 | thousands by filing date | call |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 231,621 | $3,247,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 534,038 | $3,247,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 384,067 | $3,245,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 202,927 | $3,241,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 43,469 | $3,241,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 910,000 | $3,240,000 | thousands by filing date | put |
| STAMPS COM INC | 852857200 | COM NEW | 20,796 | $3,237,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 69,139 | $3,235,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 41,115 | $3,234,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 254,246 | $3,234,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 85,066 | $3,230,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 265,000 | $3,228,000 | thousands by filing date | put |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 225,756 | $3,219,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 5,145 | $3,207,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 24,600 | $3,200,000 | thousands by filing date | call |
| ZOETIS INC CL A | 98978V103 | Stock | 37,400 | $3,199,000 | thousands by filing date | put |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 120,479 | $3,199,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 69,429 | $3,196,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 31,192 | $3,195,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 60,000 | $3,192,000 | thousands by filing date | put |
| NISOURCE INC COM | 65473P105 | Stock | 125,834 | $3,191,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 206,053 | $3,190,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 163,313 | $3,188,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 196,177 | $3,187,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 114,968 | $3,186,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 87,095 | $3,184,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 102,429 | $3,182,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 72,419 | $3,180,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 280,713 | $3,178,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 169,176 | $3,172,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 50,000 | $3,166,000 | thousands by filing date | call |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 126,687 | $3,163,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 117,560 | $3,151,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 138,386 | $3,140,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 509,521 | $3,139,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 250,000 | $3,138,000 | thousands by filing date | call |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 30,639 | $3,137,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 61,391 | $3,136,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 90,000 | $3,136,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 122,237 | $3,124,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 69,807 | $3,116,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 204,869 | $3,110,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 202,563 | $3,108,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 130,897 | $3,107,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 36,200 | $3,106,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 138,472 | $3,105,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 39,379 | $3,103,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 66,428 | $3,101,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 48,261 | $3,098,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 85,646 | $3,097,000 | thousands by filing date | |
| INVESCO TR II ETF S&P 500 EMERGING MKTS LOW VOLATILITY | 46138E297 | ETF | 136,019 | $3,094,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 26,650 | $3,093,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 51,803 | $3,092,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 157,400 | $3,090,000 | thousands by filing date | put |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 125,000 | $3,089,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 128,651 | $3,085,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 87,140 | $3,082,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 30,000 | $3,076,000 | thousands by filing date | put |
| APTARGROUP INC COM | 038336103 | Stock | 32,689 | $3,075,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 95,319 | $3,069,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 141,988 | $3,060,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 120,207 | $3,060,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 75,643 | $3,056,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 104,975 | $3,051,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 52,836 | $3,050,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 44,400 | $3,049,000 | thousands by filing date | call |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 70,373 | $3,048,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 66,100 | $3,045,000 | thousands by filing date | call |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 60,827 | $3,036,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 84,001 | $3,033,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 129,258 | $3,027,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 40,956 | $3,027,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 208,071 | $3,027,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 103,477 | $3,022,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 65,000 | $3,021,000 | thousands by filing date | put |
| CARNIVAL PLC ADS | 14365C103 | ADR | 61,916 | $3,017,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 70,000 | $3,013,000 | thousands by filing date | put |
| QUAKER HOUGHTON | 747316107 | COM | 16,939 | $3,010,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 74,002 | $3,001,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 410,439 | $2,996,000 | thousands by filing date | |
| ABRDN PRECIOUS METALS BASKET | 003263100 | PHYSCL PRECS MET | 47,411 | $2,995,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 60,961 | $2,995,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 50,643 | $2,993,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 60,223 | $2,990,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 266,276 | $2,988,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 161,453 | $2,979,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 36,358 | $2,975,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 202,031 | $2,970,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 214,248 | $2,968,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 202,735 | $2,966,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 157,560 | $2,959,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 79,337 | $2,953,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 356,821 | $2,948,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 69,159 | $2,941,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 590,162 | $2,939,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 47,016 | $2,936,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 49,346 | $2,935,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 231,613 | $2,930,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 416,500 | $2,928,000 | thousands by filing date | put |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 520,630 | $2,926,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 125,000 | $2,924,000 | thousands by filing date | call |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 30,000 | $2,921,000 | thousands by filing date | put |
| EASTGROUP PPTYS INC | 277276101 | COM | 31,793 | $2,916,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 100,722 | $2,913,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E396 | S&P 500 CONC ETF | 94,530 | $2,907,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 29,617 | $2,903,000 | thousands by filing date | |
| TRIP COM GROUP LTD | 22943FAM2 | DBCV 1.250% 9/1 | 3,000,000 | $2,901,000 | thousands by filing date | principal |
| RH | 74967X103 | COM | 24,200 | $2,900,000 | thousands by filing date | call |
| CAREDX INC | 14167L103 | COM | 115,288 | $2,899,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 100,000 | $2,897,000 | thousands by filing date | call |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 49,686 | $2,896,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 122,973 | $2,891,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 38,788 | $2,882,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 178,111 | $2,867,000 | thousands by filing date | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 63,544 | $2,863,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 83,397 | $2,862,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 359,085 | $2,855,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 100,326 | $2,853,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 406,579 | $2,851,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 25,574 | $2,850,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 135,486 | $2,848,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 164,672 | $2,842,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 99,920 | $2,840,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 90,831 | $2,838,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 75,864 | $2,831,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 108,700 | $2,825,000 | thousands by filing date | call |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 61,270 | $2,825,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 25,141 | $2,819,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 26,804 | $2,819,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 107,733 | $2,817,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 280,302 | $2,817,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 27,318 | $2,814,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 252,537 | $2,813,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 129,076 | $2,810,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 56,893 | $2,807,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 280,500 | $2,802,000 | thousands by filing date | put |
| ENERSYS COM | 29275Y102 | Stock | 35,989 | $2,793,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 204,601 | $2,793,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 63,699 | $2,787,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 108,040 | $2,787,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 45,200 | $2,787,000 | thousands by filing date | call |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 3,056,000 | $2,787,000 | thousands by filing date | principal |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 463,701 | $2,782,000 | thousands by filing date | |
| DBX ETF TR | 233051481 | XTRA RU 1000 ETF | 97,049 | $2,782,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 54,327 | $2,780,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 186,510 | $2,774,000 | thousands by filing date | |
| LIVERAMP HLDGS INC COM | 53815P108 | Stock | 71,817 | $2,774,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 48,396 | $2,774,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 70,000 | $2,772,000 | thousands by filing date | put |
| SONOCO PRODS CO | 835495102 | COM | 52,160 | $2,771,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 78,486 | $2,770,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 88,733 | $2,760,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 66,782 | $2,759,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 250,000 | $2,755,000 | thousands by filing date | put |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 122,828 | $2,749,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 245,223 | $2,747,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 230,158 | $2,745,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 870,888 | $2,744,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 203,642 | $2,741,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 122,919 | $2,740,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 83,425 | $2,740,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 3,000,000 | $2,726,000 | thousands by filing date | principal |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 31,665 | $2,725,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 53,215 | $2,724,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 124,209 | $2,724,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 127,490 | $2,718,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 102,718 | $2,713,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 73,684 | $2,711,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 18,741 | $2,710,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 381,028 | $2,710,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 192,299 | $2,709,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 35,344 | $2,708,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 91,801 | $2,706,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 23,715 | $2,702,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 49,211 | $2,701,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 19,387 | $2,698,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 75,527 | $2,696,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 392,152 | $2,694,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 315,678 | $2,693,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 46,902 | $2,691,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 88,810 | $2,687,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 137,459 | $2,687,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 106,143 | $2,677,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 735,321 | $2,677,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 138,894 | $2,674,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 143,917 | $2,668,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 190,759 | $2,663,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 235,330 | $2,662,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 40,042 | $2,660,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 50,000 | $2,660,000 | thousands by filing date | call |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 181,396 | $2,654,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 98,357 | $2,653,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 94,940 | $2,648,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 203,457 | $2,644,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 69,294 | $2,643,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 57,480 | $2,642,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 178,116 | $2,641,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 95,892 | $2,641,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAC7 | BOND | 1,092,000 | $2,638,000 | thousands by filing date | principal |
| Southern Company | 842587107 | COM | 60,000 | $2,635,000 | thousands by filing date | call |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 43,760 | $2,634,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 61,754 | $2,623,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 246,196 | $2,622,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 49,263 | $2,621,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 237,395 | $2,619,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 297,166 | $2,618,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E107 | EQUAL WEGT 0-30 | 81,844 | $2,618,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 61,002 | $2,616,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 105,415 | $2,615,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 626,873 | $2,614,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,319,535 | $2,613,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 400,211 | $2,606,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 100,561 | $2,605,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 62,600 | $2,604,000 | thousands by filing date | call |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 39,103 | $2,601,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 13,800 | $2,599,000 | thousands by filing date | call |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 67,847 | $2,598,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 46,674 | $2,597,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 23,900 | $2,595,000 | thousands by filing date | call |
| GLAUKOS CORP COM | 377322102 | Stock | 46,185 | $2,594,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 230,586 | $2,594,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 210,066 | $2,590,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 159,867 | $2,588,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 100,800 | $2,588,000 | thousands by filing date | call |
| ARROW ELECTRS INC | 042735100 | COM | 37,436 | $2,582,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 92,414 | $2,580,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 33,645 | $2,574,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 156,164 | $2,574,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 180,500 | $2,572,000 | thousands by filing date | call |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 41,321 | $2,565,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 110,976 | $2,562,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 179,848 | $2,562,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 280,241 | $2,561,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 22,761 | $2,560,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 105,485 | $2,559,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 99,400 | $2,552,000 | thousands by filing date | put |
| Eaton Vance Floating Rate | 27831H100 | ETF | 298,050 | $2,551,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 12,316 | $2,550,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 79,999 | $2,550,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 261,784 | $2,547,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 84,188 | $2,546,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 52,337 | $2,541,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 9,700 | $2,540,000 | thousands by filing date | call |
| EVERCORE INC CLASS A | 29977A105 | Stock | 35,490 | $2,540,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 123,084 | $2,539,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 100,000 | $2,537,000 | thousands by filing date | put |
| IDACORP INC | 451107106 | COM | 27,247 | $2,536,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 197,011 | $2,536,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 34,700 | $2,530,000 | thousands by filing date | call |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 150,863 | $2,530,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 71,570 | $2,529,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 228,016 | $2,528,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 177,310 | $2,526,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22542d316 | COM | 26,462 | $2,525,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 90,332 | $2,523,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 123,261 | $2,523,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 55,100 | $2,518,000 | thousands by filing date | call |
| DENNYS CORP | 24869P104 | COM | 155,334 | $2,518,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 201,477 | $2,515,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 61,971 | $2,513,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 39,384 | $2,513,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 52,003 | $2,512,000 | thousands by filing date | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 93,111 | $2,509,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 49,428 | $2,508,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 66,501 | $2,507,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 95,400 | $2,499,000 | thousands by filing date | call |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 93,510 | $2,499,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 173,900 | $2,494,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 60,510 | $2,491,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 189,698 | $2,489,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 77,782 | $2,488,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 154,687 | $2,487,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 40,400 | $2,487,000 | thousands by filing date | put |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 301,042 | $2,487,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 58,594 | $2,484,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 86,040 | $2,484,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 144,225 | $2,481,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 2,362,745 | $2,481,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 156,008 | $2,474,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 23,715 | $2,470,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 59,604 | $2,469,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 101,344 | $2,467,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 49,606 | $2,463,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 87,154 | $2,460,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 37,719 | $2,455,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 157,305 | $2,451,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 307,152 | $2,448,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 185,100 | $2,445,000 | thousands by filing date | call |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 194,941 | $2,445,000 | thousands by filing date | |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 58,238 | $2,445,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 60,400 | $2,438,000 | thousands by filing date | call |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 272,820 | $2,434,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 46,506 | $2,428,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 190,540 | $2,424,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 244,740 | $2,423,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 63,304 | $2,422,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 57,372 | $2,421,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 97,498 | $2,415,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 38,651 | $2,410,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 140,251 | $2,404,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 71,470 | $2,402,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 40,300 | $2,399,000 | thousands by filing date | put |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 339,892 | $2,399,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 292,046 | $2,398,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 166,628 | $2,389,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 269,494 | $2,385,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 185,305 | $2,385,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 100,187 | $2,379,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 83,656 | $2,379,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 65,742 | $2,379,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 488,933 | $2,376,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 64,200 | $2,373,000 | thousands by filing date | call |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 183,317 | $2,368,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 55,923 | $2,363,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 108,766 | $2,363,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 37,000 | $2,361,000 | thousands by filing date | call |
| TRINSEO S A | L9340P101 | SHS | 51,544 | $2,360,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 90,978 | $2,357,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 181,488 | $2,352,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 94,766 | $2,351,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 204,465 | $2,351,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 77,800 | $2,350,000 | thousands by filing date | put |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 25,155 | $2,348,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 74,168 | $2,345,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 128,559 | $2,345,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 59,744 | $2,343,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 67,500 | $2,340,000 | thousands by filing date | put |
| AAON INC | 000360206 | COM PAR $0.004 | 66,609 | $2,336,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 105,623 | $2,333,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 383,710 | $2,329,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 147,212 | $2,326,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 324,314 | $2,326,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 252,019 | $2,321,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 44,600 | $2,321,000 | thousands by filing date | call |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 12,470 | $2,316,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 198,479 | $2,313,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 224,408 | $2,311,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 81,442 | $2,311,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 93,507 | $2,310,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 667,482 | $2,309,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 148,960 | $2,306,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 34,500 | $2,303,000 | thousands by filing date | call |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 38,659 | $2,301,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 331,227 | $2,299,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 102,574 | $2,296,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 47,578 | $2,294,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 243,783 | $2,294,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 99,089 | $2,288,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 132,476 | $2,286,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 179,273 | $2,284,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 151,545 | $2,280,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 29,254 | $2,279,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 100,000 | $2,269,000 | thousands by filing date | put |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 100,000 | $2,269,000 | thousands by filing date | call |
| FIRSTENERGY CORP | 337932107 | COM | 60,375 | $2,267,000 | thousands by filing date | call |
| CARBONITE INC | 141337105 | COM | 89,748 | $2,267,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 99,616 | $2,266,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 113,140 | $2,265,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 44,900 | $2,265,000 | thousands by filing date | call |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 178,138 | $2,263,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 25,000 | $2,258,000 | thousands by filing date | call |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 146,446 | $2,254,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 172,305 | $2,254,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 35,048 | $2,253,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 120,099 | $2,248,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 479,159 | $2,243,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 42,861 | $2,242,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 178,208 | $2,242,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 25,000 | $2,237,000 | thousands by filing date | put |
| PREMIER INC | 74051N102 | CL A | 59,918 | $2,237,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 210,650 | $2,233,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 346,156 | $2,233,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 209,146 | $2,232,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 150,000 | $2,231,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 58,650 | $2,230,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 110,619 | $2,221,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 142,338 | $2,221,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 27,935 | $2,221,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 296,111 | $2,221,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 41,508 | $2,215,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 224,365 | $2,212,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 62,500 | $2,209,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V324 | S&P500 EQL IND | 21,388 | $2,209,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 43,800 | $2,209,000 | thousands by filing date | put |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 158,870 | $2,205,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 100,000 | $2,205,000 | thousands by filing date | put |
| WILLIAMS COS INC COM | 969457100 | Stock | 100,000 | $2,205,000 | thousands by filing date | call |
| Blackrock 2022 Global In | 09258P104 | ETF | 264,311 | $2,199,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 76,000 | $2,198,000 | thousands by filing date | put |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,378,567 | $2,192,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 81,526 | $2,191,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 22,363 | $2,185,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 44,084 | $2,185,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 45,423 | $2,185,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 80,349 | $2,184,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 49,100 | $2,183,000 | thousands by filing date | put |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 49,100 | $2,183,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 55,087 | $2,182,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 56,955 | $2,181,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,282,980 | $2,181,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 88,000 | $2,180,000 | thousands by filing date | put |
| CNA FINL CORP | 126117100 | COM | 49,284 | $2,176,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 153,073 | $2,172,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 51,240 | $2,170,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 30,617 | $2,169,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 40,400 | $2,167,000 | thousands by filing date | put |
| FLOWSERVE CORP | 34354P105 | COM | 56,980 | $2,166,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 21,054 | $2,163,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 65,822 | $2,163,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 54,517 | $2,160,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 43,723 | $2,160,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 35,923 | $2,156,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 66,200 | $2,153,000 | thousands by filing date | call |
| STEPAN CO | 858586100 | COM | 29,075 | $2,152,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 43,079 | $2,151,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 36,518 | $2,150,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 88,539 | $2,149,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 12,500 | $2,148,000 | thousands by filing date | put |
| ENSIGN GROUP INC | 29358P101 | COM | 55,377 | $2,148,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 430,557 | $2,144,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 47,633 | $2,143,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 43,494 | $2,142,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 123,477 | $2,141,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,163,280 | $2,141,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 568,300 | $2,137,000 | thousands by filing date | call |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 145,643 | $2,137,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 66,241 | $2,130,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 95,864 | $2,129,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 52,337 | $2,127,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 34,516 | $2,127,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 51,701 | $2,125,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 51,000 | $2,119,000 | thousands by filing date | put |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 120,000 | $2,114,000 | thousands by filing date | put |
| CAREER EDUCATION CORP | 141665109 | COM | 185,030 | $2,113,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 51,000 | $2,111,000 | thousands by filing date | call |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 289,413 | $2,110,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 19,075 | $2,106,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 38,885 | $2,105,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 92,240 | $2,095,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 93,000 | $2,091,000 | thousands by filing date | put |
| AVIS BUDGET GROUP INC | 053774105 | COM | 93,000 | $2,091,000 | thousands by filing date | call |
| ARCOSA INC COM | 039653100 | Stock | 75,243 | $2,084,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,555,000 | $2,084,000 | thousands by filing date | call |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 25,528 | $2,083,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 44,507 | $2,079,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-001793 | this filing | 2019-02-14 | acceptance time not in the bulk data set |