13F-HR filed by RAYMOND JAMES & ASSOCIATES
RAYMOND JAMES & ASSOCIATES filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 3,397 holding rows worth $49,937,988,000.
- Accession
- 0001084208-17-000008
- Filer
- CIK 1084208
- Filed
- 2017-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 3,522 entries on the cover page, a total value of $49,937,988,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $49,937,988,000 with VALUE read as thousands by filing date, 13F file number 028-04393. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 12,317 | $214,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,515 | $213,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 10,479 | $213,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 9,568 | $213,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 608,091 | $213,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 5,146 | $213,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 3,356 | $212,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 13,446 | $212,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 46,000 | $212,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 22,272 | $212,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 22,600 | $211,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 4,894 | $211,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 3,060 | $211,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 5,873 | $210,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 5,235 | $210,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 57,000 | $210,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 4,357 | $210,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 17,020 | $208,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 25,918 | $208,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 15,141 | $208,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 4,881 | $208,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 8,491 | $207,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 47,271 | $207,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 6,664 | $207,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 4,419 | $206,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 16,200 | $206,000 | thousands by filing date | call |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 10,990 | $206,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 2,776 | $205,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 15,916 | $205,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 23,242 | $205,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 4,848 | $205,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 20,372 | $204,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 33,140 | $204,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 12,963 | $204,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 11,287 | $204,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 5,429 | $204,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 4,165 | $203,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 9,253 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 3,111 | $203,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 4,125 | $203,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 11,740 | $203,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 53,800 | $202,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 5,362 | $201,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 4,675 | $201,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 15,345 | $201,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 19,610 | $201,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 2,792 | $201,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 12,848 | $200,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 20,115 | $200,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 17,993 | $198,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 119,500 | $197,000 | thousands by filing date | call |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 32,342 | $197,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 13,959 | $196,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 29,746 | $196,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 18,991 | $195,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 16,450 | $194,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 66,000 | $194,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 46,280 | $194,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 81,200 | $193,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 14,504 | $192,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 18,191 | $192,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 120,600 | $191,000 | thousands by filing date | call |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 14,200 | $189,000 | thousands by filing date | call |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 26,689 | $189,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 13,993 | $189,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 16,825 | $188,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 10,358 | $188,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 50,745 | $188,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 13,914 | $187,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 34,854 | $186,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 17,055 | $186,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,697 | $186,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 15,774 | $184,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 137,461 | $184,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 10,074 | $184,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 32,560 | $183,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 40,674 | $183,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 19,500 | $182,000 | thousands by filing date | call |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 19,459 | $182,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 21,703 | $181,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 27,800 | $181,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 76,052 | $181,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 18,915 | $180,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 41,883 | $180,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 10,200 | $179,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,344 | $178,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 17,250 | $178,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 58,600 | $176,000 | thousands by filing date | put |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 12,683 | $176,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 12,368 | $176,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 13,222 | $174,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 12,552 | $173,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 12,687 | $173,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 181,700 | $172,000 | thousands by filing date | call |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 42,788 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 11,800 | $171,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 58,500 | $170,000 | thousands by filing date | call |
| ENERPLUS CORP | 292766102 | COM | 17,022 | $168,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 58,845 | $168,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 15,700 | $168,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 12,137 | $165,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 72,000 | $164,000 | thousands by filing date | call |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 112,199 | $163,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 19,261 | $162,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 12,711 | $162,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 20,806 | $161,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 20,900 | $161,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 93,600 | $160,000 | thousands by filing date | call |
| PANDORA MEDIA INC | 698354107 | COM | 20,735 | $160,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 13,309 | $159,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 283,500 | $156,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,394 | $156,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 40,159 | $155,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,109 | $154,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 14,661 | $154,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 22,426 | $154,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 33,440 | $152,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,408 | $150,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 34,487 | $149,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 23,795 | $149,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 20,642 | $149,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 12,400 | $149,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 56,992 | $148,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 63,300 | $148,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 10,345 | $145,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 10,511 | $144,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 22,771 | $143,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 19,000 | $143,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 15,200 | $143,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 16,709 | $143,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 13,251 | $142,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 16,026 | $142,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 14,300 | $141,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 13,291 | $141,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 14,032 | $141,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,300 | $139,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 10,161 | $138,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 81,459 | $138,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 12,845 | $136,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 10,400 | $136,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 211,900 | $135,000 | thousands by filing date | call |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 89,443 | $135,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 10,584 | $134,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 10,112 | $134,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 10,936 | $134,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 17,148 | $132,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 10,713 | $131,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 10,500 | $130,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 16,600 | $129,000 | thousands by filing date | call |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 73,513 | $129,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 38,700 | $128,000 | thousands by filing date | call |
| BEST INC | 08653C106 | SPONSORED ADS | 10,665 | $128,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 12,852 | $127,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 12,682 | $126,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 86,833 | $126,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 14,000 | $125,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 42,000 | $124,000 | thousands by filing date | call |
| ALLSTATE CORP COM | 020002101 | Stock | 17,100 | $124,000 | thousands by filing date | call |
| GEE GROUP INC | 36165A102 | COM | 40,853 | $121,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 10,944 | $120,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 19,909 | $119,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,485 | $117,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 16,020 | $116,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 20,200 | $116,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 37,000 | $115,000 | thousands by filing date | call |
| CMB.TECH NV SHS | B38564108 | Stock | 13,900 | $113,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 24,860 | $113,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,568 | $112,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 16,944 | $109,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 12,310 | $108,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 15,608 | $107,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,596 | $106,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 32,679 | $106,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 13,500 | $104,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 62,300 | $103,000 | thousands by filing date | call |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 20,832 | $103,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 13,075 | $103,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 46,429 | $103,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 32,000 | $102,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 15,160 | $100,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 23,598 | $100,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 12,488 | $99,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 31,000 | $99,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 13,772 | $98,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 39,143 | $97,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 11,175 | $96,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 66,467 | $95,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 12,033 | $94,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 11,036 | $92,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 19,286 | $92,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 10,810 | $91,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 10,600 | $90,000 | thousands by filing date | call |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 10,281 | $90,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 12,241 | $89,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 14,625 | $89,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,991 | $85,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 17,975 | $84,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 16,100 | $84,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 30,100 | $83,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 14,400 | $83,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 50,500 | $82,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 22,400 | $80,000 | thousands by filing date | call |
| NOVAVAX INC | 670002104 | COMMON STOCK | 70,381 | $80,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 52,393 | $80,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 29,861 | $79,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 43,380 | $78,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 50,000 | $78,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 121,373 | $77,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 14,181 | $77,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 31,232 | $77,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 12,075 | $75,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 13,380 | $74,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 119,100 | $72,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 44,181 | $72,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 11,870 | $71,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 19,060 | $71,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 30,300 | $69,000 | thousands by filing date | call |
| HOLLYFRONTIER CORP | 436106108 | COM | 13,100 | $69,000 | thousands by filing date | call |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 12,001 | $68,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 12,989 | $68,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 60,000 | $68,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 14,000 | $64,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 11,204 | $64,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 12,000 | $62,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 21,199 | $61,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 11,315 | $61,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 10,043 | $60,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 17,120 | $59,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 18,000 | $59,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 47,700 | $57,000 | thousands by filing date | call |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 12,520 | $57,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 10,899 | $56,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 21,400 | $55,000 | thousands by filing date | call |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 330,800 | $55,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 17,638 | $55,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 19,450 | $54,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 12,300 | $53,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 12,000 | $52,000 | thousands by filing date | call |
| SYNCHRONYFINL | 87165B103 | STOK | 64,200 | $50,000 | thousands by filing date | call |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 23,300 | $49,000 | thousands by filing date | call |
| United Parcel Service,Inc. Class B | 911312106 | COM | 31,500 | $49,000 | thousands by filing date | call |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 42,792 | $49,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 12,500 | $48,000 | thousands by filing date | call |
| DRIVE SHACK INC | 262077100 | COM | 13,366 | $48,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 23,300 | $47,000 | thousands by filing date | call |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 26,566 | $47,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 123,000 | $45,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 13,000 | $45,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 20,277 | $45,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 23,200 | $43,000 | thousands by filing date | call |
| CA INC COM | 12673P105 | COM | 81,400 | $43,000 | thousands by filing date | call |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 12,164 | $43,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 24,200 | $42,000 | thousands by filing date | call |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 41,469 | $42,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 12,189 | $42,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 14,383 | $41,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 54,000 | $40,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,667 | $40,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 49,100 | $39,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 10,270 | $39,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 18,944 | $39,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 11,000 | $39,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 10,500 | $38,000 | thousands by filing date | call |
| TIME WARNER INC | 887317303 | COM NEW | 69,500 | $38,000 | thousands by filing date | call |
| U S GLOBAL INVS INC | 902952100 | CL A | 17,213 | $37,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,323 | $37,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 10,500 | $37,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 15,111 | $36,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 18,507 | $36,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,525 | $35,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 27,500 | $33,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 48,000 | $33,000 | thousands by filing date | put |
| SOLIGENIX INC | 834223307 | COM | 14,710 | $33,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,384 | $32,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 15,420 | $32,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 41,600 | $31,000 | thousands by filing date | call |
| BIOCEPT INC | 09072V204 | COM NEW | 25,000 | $31,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 25,000 | $31,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 20,000 | $31,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 11,200 | $30,000 | thousands by filing date | call |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 100,800 | $30,000 | thousands by filing date | call |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 16,000 | $30,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 16,114 | $29,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 20,800 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 15,600 | $29,000 | thousands by filing date | call |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 14,100 | $29,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 56,000 | $29,000 | thousands by filing date | call |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 25,000 | $29,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 83,500 | $27,000 | thousands by filing date | call |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 30,500 | $27,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 11,875 | $27,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 19,300 | $26,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 11,500 | $26,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 14,000 | $24,000 | thousands by filing date | call |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 33,200 | $24,000 | thousands by filing date | call |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 20,200 | $24,000 | thousands by filing date | call |
| GENERAL MILLS INC COM | 370334104 | Stock | 86,800 | $24,000 | thousands by filing date | call |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 11,000 | $24,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 10,850 | $24,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 32,000 | $24,000 | thousands by filing date | call |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 32,199 | $24,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 21,400 | $24,000 | thousands by filing date | call |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 25,089 | $24,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 11,700 | $23,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 57,291 | $23,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 18,700 | $23,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 12,900 | $22,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 16,736 | $22,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 46,100 | $21,000 | thousands by filing date | call |
| Starbucks Corporation | 855244109 | COM | 90,300 | $21,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 38,000 | $21,000 | thousands by filing date | call |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 26,500 | $21,000 | thousands by filing date | call |
| HARTE-HANKS INC | 416196103 | COM | 20,000 | $21,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 12,200 | $21,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 94,500 | $19,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 75,700 | $19,000 | thousands by filing date | call |
| UMPQUA HOLDINGS | 904214103 | COM | 28,500 | $19,000 | thousands by filing date | call |
| ENSYNC INC. | 29359T102 | Common Stock | 36,000 | $19,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 21,900 | $18,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 26,600 | $18,000 | thousands by filing date | call |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 11,038 | $18,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 11,730 | $18,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 14,882 | $18,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 48,306 | $18,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 14,382 | $18,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 69,600 | $17,000 | thousands by filing date | call |
| COVANTA HLDG CORP | 22282E102 | COM | 26,500 | $17,000 | thousands by filing date | call |
| RANDGOLD RES LTD | 752344309 | ADR | 12,700 | $17,000 | thousands by filing date | call |
| TROVAGENE INC | 897238309 | COM | 23,000 | $17,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 12,722 | $17,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 184,400 | $16,000 | thousands by filing date | call |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 24,400 | $15,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 11,500 | $15,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 41,400 | $15,000 | thousands by filing date | put |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 119,300 | $15,000 | thousands by filing date | call |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 19,200 | $15,000 | thousands by filing date | call |
| Qualcomm Incorporated | 747525103 | COM | 60,500 | $14,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 17,500 | $14,000 | thousands by filing date | call |
| DOWDUPONT INC | 26078J100 | COM | 15,600 | $14,000 | thousands by filing date | call |
| BANK OF AMERICA CORP | 060505153 | CMN | 18,300 | $14,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 59,600 | $13,000 | thousands by filing date | call |
| VWO | 922042858 | SHS | 23,100 | $12,000 | thousands by filing date | call |
| SNAP INC | 83304A106 | CL A | 34,000 | $12,000 | thousands by filing date | call |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 20,000 | $11,000 | thousands by filing date | put |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 12,200 | $11,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 18,658 | $11,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 15,000 | $11,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 26,900 | $10,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 21,458 | $10,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 21,900 | $10,000 | thousands by filing date | call |
| ASANKO GOLD INC | 04341Y105 | COM | 10,940 | $10,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 39,400 | $9,000 | thousands by filing date | put |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 23,700 | $9,000 | thousands by filing date | call |
| CYRUSONE INC | 23283R100 | COM | 13,300 | $9,000 | thousands by filing date | call |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 28,513 | $9,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 21,065 | $9,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 26,000 | $8,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 82,200 | $8,000 | thousands by filing date | call |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 26,900 | $8,000 | thousands by filing date | call |
| EXELON CORP COM | 30161N101 | Stock | 62,300 | $8,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 15,000 | $8,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 25,300 | $8,000 | thousands by filing date | call |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 25,100 | $8,000 | thousands by filing date | call |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,000 | $8,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,500 | $8,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 16,750 | $8,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 25,300 | $7,000 | thousands by filing date | call |
| Southern Company | 842587107 | COM | 24,900 | $7,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 16,000 | $7,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 10,590 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 10,300 | $6,000 | thousands by filing date | call |
| OMEROS CORP | 682143102 | COM | 13,000 | $6,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 64,700 | $6,000 | thousands by filing date | call |
| Mondelez International,Inc. Class A | 609207105 | COM | 17,000 | $5,000 | thousands by filing date | call |
| WHITING PETE CORP NEW | 966387102 | COM | 115,900 | $5,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 18,700 | $4,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 18,500 | $4,000 | thousands by filing date | call |
| MARATHON OIL CORP | 565849106 | COM | 14,400 | $4,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 10,993 | $4,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 23,100 | $3,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 10,700 | $3,000 | thousands by filing date | call |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 34,100 | $3,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 12,900 | $3,000 | thousands by filing date | call |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 13,100 | $3,000 | thousands by filing date | call |
| ENCANA CORP | 292505104 | COM | 25,200 | $3,000 | thousands by filing date | call |
| Advanced Micro Devices,Inc. | 007903107 | COM | 11,000 | $2,000 | thousands by filing date | call |
| Comcast Corp | 20030N101 | COM | 11,100 | $2,000 | thousands by filing date | call |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 18,400 | $2,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 39,100 | $2,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 26,200 | $1,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 17,700 | $1,000 | thousands by filing date | call |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 12,700 | $1,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 15,900 | $1,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 10,900 | $1,000 | thousands by filing date | call |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 16,000 | $1,000 | thousands by filing date | call |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 14,000 | $1,000 | thousands by filing date | call |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 36,797 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001084208-17-000008 | this filing | 2017-11-13 | acceptance time not in the bulk data set |