13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 2,265 holding rows worth $11,721,693,000.
- Accession
- 0001085146-17-002410
- Filer
- CIK 1462245
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A combination report, 2,265 entries on the cover page, a total value of $11,721,693,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,721,693,000 with VALUE read as thousands by filing date, 13F file number 028-13510. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filer12th Street Asset Management Company, LLC028-16737
- reports for this filerAFFINITY INVESTMENT ADVISORS, LLC028-14467
- reports for this filerALLIANCEBERNSTEIN L.P.028-10562
- reports for this filerAllianz Global Investors U.S. LLC028-13991
- reports for this filerACR Alpine Capital Research, LLC028-14059
- reports for this filerALTA CAPITAL MANAGEMENT LLC/028-05119
- reports for this filerAMI ASSET MANAGEMENT CORP028-11962
- reports for this filerANCHOR CAPITAL ADVISORS LLC028-01880
- reports for this filerAperio Group, LLC028-11964
- reports for this filerApex Capital Management028-11050
- reports for this filerAPPLETON PARTNERS INC/MA028-06694
- reports for this filerAristotle Capital Management, LLC028-02634
- reports for this filerAshfield Capital Partners, LLC028-12481
- reports for this filerAstor Investment Management LLC028-16121
- reports for this filerATALANTA SOSNOFF CAPITAL, LLC028-01162
- reports for this filerATLANTA CAPITAL MANAGEMENT CO L L C028-05936
- reports for this filerBAHL & GAYNOR INC028-02825
- reports for this filerBELMONT ASSET MANAGEMENT 028-10518
- reports for this filerBlackRock Investment Management, LLC028-12016
- reports for this filerBRANDES INVESTMENT PARTNERS, LP028-05620
- reports for this filerBRC Investment Management LLC028-11434
- reports for this filerBrookmont Capital Management028-14438
- reports for this filerBROWN ADVISORY INC028-13997
- reports for this filerCS MCKEE LP028-01203
- reports for this filerCAMBIAR INVESTORS LLC028-01398
- reports for this filerCAMPBELL NEWMAN ASSET MANAGEMENT INC028-02903
- reports for this filerCAPITAL GROUP COMPANIES INC028-00218
- reports for this filerCapital Innovations LLC028-15733
- reports for this filerCapital Wealth Planning, LLC028-15439
- reports for this filerCOHEN & STEERS CAPITAL MANAGEMENT INC028-02405
- reports for this filerCOLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC028-10477
- reports for this filerCONGRESS ASSET MANAGEMENT CO /MA028-03434
- reports for this filerCORBYN INVESTMENT MANAGEMENT INC/MD028-04242
- reports for this filerCUMBERLAND ADVISORS INC028-11051
- reports for this filerDF DENT & CO INC028-03691
- reports for this filerDana Investment Advisors, Inc.028-13023
- reports for this filerDAVIS SELECTED ADVISERS028-04121
- reports for this filerMACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST028-05267
- reports for this filerDENVER INVESTMENT ADVISORS LLC028-05416
- reports for this filerDSM CAPITAL PARTNERS LLC028-10309
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- reports for this filerEAGLE GLOBAL ADVISORS LLC028-06213
- reports for this filerEARNEST PARTNERS LLC028-05269
- reports for this filerEATON VANCE MANAGEMENT028-04139
- reports for this filerEnergy Income Partners, LLC028-12170
- reports for this filerJFB Holdings Corp028-10606
- reports for this filerFAYEZ SAROFIM & CO028-10991
- reports for this filerFEDERATED INVESTORS INC /PA/028-04375
- reports for this filerFRANKLIN RESOURCES INC028-00734
- reports for this filerFRED ALGER MANAGEMENT INC028-00869
- reports for this filerGLENMEDE TRUST CO NA028-00126
- reports for this filerGlovista Investments LLC028-14929
- reports for this filerGranite Investment Partners, LLC028-14862
- reports for this filerGW&K Investment Management, LLC028-04145
- reports for this filerHAHN CAPITAL MANAGEMENT LLC028-10195
- reports for this filerHARDING LOEVNER LP028-04434
- reports for this filerHARRIS ASSOCIATES L P028-02013
- reports for this filerHaverford Financial Services, Inc.028-11678
- reports for this filerHAYS ADVISORY LLC028-10649
- reports for this filerHEITMAN LLC028-12002
- reports for this filerHGK ASSET MANAGEMENT INC028-01321
- reports for this filerHORIZON ASSET MANAGEMENT LLC028-06986
- reports for this filerHorizon Investment Services, LLC028-12835
- reports for this filerInvesco Ltd.028-11246
- reports for this filerISTHMUS PARTNERS, LLC028-16855
- reports for this filerJPMORGAN CHASE & CO028-00694
- reports for this filerKarpus Management, Inc.028-11445
- reports for this filerKAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC028-05792
- reports for this filerKENNEDY CAPITAL MANAGEMENT, INC.028-03133
- reports for this filerLadenburg Thalmann Asset Management028-13809
- reports for this filerLaffer Investments028-10975
- reports for this filerLATEEF INVESTMENT MANAGEMENT, L.P.028-05358
- reports for this filerLattice Strategies LLC028-15118
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerCLEARBRIDGE, LLC028-01701
- reports for this filerLOGAN CAPITAL MANAGEMENT INC028-05837
- reports for this filerLOOMIS SAYLES & CO L P028-00398
- reports for this filerLORD, ABBETT & CO. LLC028-00413
- reports for this filerMD SASS INVESTORS SERVICES INC028-04057
- reports for this filerMADISON INVESTMENT HOLDINGS INC028-03477
- reports for this filerMASSACHUSETTS FINANCIAL SERVICES CO /MA/028-04968
- reports for this filerMILES CAPITAL, INC.028-10636
- reports for this filerMILLER HOWARD INVESTMENTS INC /NY028-03692
- reports for this filerMONTAG & CALDWELL, LLC028-00288
- reports for this filerNEUBERGER BERMAN LLC028-00454
- reports for this filerNEW AMSTERDAM PARTNERS LLC/NY028-05406
- reports for this filerNEWGATE CAPITAL MANAGEMENT LLC028-03871
- reports for this filerNATIXIS028-12482
- reports for this filerNORTHERN TRUST CORP028-00290
- reports for this filerNUANCE INVESTMENTS, LLC028-13833
- reports for this filerNuveen Asset Management, LLC028-14498
- reports for this filerNWQ INVESTMENT MANAGEMENT COMPANY, LLC028-01474
- reports for this filerO'SHAUGHNESSY ASSET MANAGEMENT, LLC028-12966
- reports for this filerOAK ASSOCIATES LTD /OH/028-02338
- reports for this filerOAK RIDGE INVESTMENTS LLC028-06668
- reports for this filerOFI SteelPath, Inc.028-15436
- reports for this filerPACIFIC INVESTMENT MANAGEMENT CO LLC028-10952
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- reports for this filerADDITIONAL MANAGERS DO NOT FIT TEMPLATE
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 |
|---|---|---|---|---|---|---|
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 95,000 | $113,000 | thousands by filing date | principal |
| MCDERMOTT INTL INC | 580037109 | COM | 15,396 | $113,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 109,000 | $113,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D357 | VELOCITY SHS SHR | 10,000 | $113,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 12,616 | $112,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 12,451 | $112,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 13,922 | $111,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 58,400 | $111,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 20,900 | $111,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 66,994 | $111,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 11,480 | $111,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 10,000 | $110,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 113,000 | $110,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 111,000 | $109,000 | thousands by filing date | principal |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 71,200 | $108,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 107,000 | $107,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 88,000 | $106,000 | thousands by filing date | principal |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 30,000 | $104,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 108,000 | $104,000 | thousands by filing date | principal |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,220 | $103,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 115,000 | $103,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 113,000 | $103,000 | thousands by filing date | principal |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 14,303 | $102,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 95,000 | $101,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 79,000 | $100,000 | thousands by filing date | principal |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 12,361 | $99,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 97,000 | $99,000 | thousands by filing date | principal |
| LIBBEY INC | 529898108 | COM | 10,456 | $97,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 171,000 | $95,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 85,000 | $93,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 77,000 | $93,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 93,000 | $93,000 | thousands by filing date | principal |
| AH BELO CORP | 001282102 | COMMON STOCK | 20,000 | $92,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 55,000 | $91,000 | thousands by filing date | put |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 13,174 | $91,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 10,168 | $91,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 23,000 | $90,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 94,000 | $88,000 | thousands by filing date | principal |
| FITBIT INC | 33812L102 | CL A | 12,826 | $87,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 79,000 | $87,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 35,200 | $85,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 67,778 | $85,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 83,000 | $83,000 | thousands by filing date | principal |
| NIKE,Inc. Class B | 654106103 | COM | 93,000 | $80,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 43,100 | $79,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 245,000 | $78,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 32,550 | $78,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 37,200 | $77,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 10,250 | $76,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 40,200 | $75,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 12,500 | $75,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 15,200 | $75,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 25,720 | $75,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 9,500 | $74,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F676 | COM | 11,500 | $73,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 15,200 | $72,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 19,060 | $72,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 15,890 | $70,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 66,000 | $70,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 70,000 | $70,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 64,000 | $70,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 20,346 | $69,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 67,203 | $67,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 72,000 | $67,000 | thousands by filing date | principal |
| Costco Wholesale Corporation | 22160K105 | COM | 8,600 | $66,000 | thousands by filing date | call |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 62,000 | $66,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 13,674 | $64,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 164,966 | $64,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 5,800 | $63,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 63,000 | $63,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 5,100 | $61,000 | thousands by filing date | call |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 50,000 | $61,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 14,765 | $60,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 11,100 | $60,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 77,000 | $60,000 | thousands by filing date | principal |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,715 | $58,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 15,025 | $55,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 11,203 | $55,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 13,520 | $55,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 60,000 | $54,000 | thousands by filing date | principal |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 12,000 | $52,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,000 | $51,000 | thousands by filing date | call |
| VITAL THERAPIES INC | 92847R104 | COM | 10,000 | $51,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 12,900 | $50,000 | thousands by filing date | call |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 16,246 | $50,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 11,083 | $49,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,000 | $48,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 12,287 | $46,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 47,000 | $45,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 61,000 | $45,000 | thousands by filing date | principal |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 16,556 | $45,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 80,600 | $44,000 | thousands by filing date | put |
| ANTARES PHARMA INC | 036642106 | COM | 13,100 | $44,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 47,034 | $44,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 31,227 | $43,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 135,020 | $43,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 16,237 | $42,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,266 | $42,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 7,300 | $40,000 | thousands by filing date | call |
| TREVENA INC | 89532E109 | COM | 15,005 | $38,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 10,685 | $36,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 12,552 | $35,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 67,188 | $35,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,600 | $34,000 | thousands by filing date | call |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 1,000 | $34,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 7,500 | $34,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 21,221 | $34,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 16,729 | $33,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 5,000 | $32,000 | thousands by filing date | call |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 20,215 | $32,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 25,219 | $31,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 17,300 | $30,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 36,300 | $29,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 22,100 | $29,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 13,350 | $29,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 6,500 | $27,000 | thousands by filing date | call |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 20,248 | $25,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 17,800 | $24,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 21,429 | $24,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 12,803 | $24,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,000 | $23,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 5,500 | $23,000 | thousands by filing date | call |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 25,300 | $23,000 | thousands by filing date | put |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 23,000 | $23,000 | thousands by filing date | principal |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 15,171 | $21,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,500 | $20,000 | thousands by filing date | call |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,531 | $19,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $19,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 19,000 | $18,000 | thousands by filing date | principal |
| TROVAGENE INC | 897238309 | COM | 25,500 | $18,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 27,000 | $17,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,500 | $16,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 4,200 | $15,000 | thousands by filing date | call |
| GOPRO INC | 38268T103 | CL A | 15,600 | $15,000 | thousands by filing date | call |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 11,000 | $15,000 | thousands by filing date | principal |
| EASTMAN CHEM CO COM | 277432100 | Stock | 2,000 | $14,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 12,000 | $14,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| TEXTRON INC COM | 883203101 | Stock | 9,500 | $13,000 | thousands by filing date | call |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,950 | $13,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 10,521 | $13,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,000 | $12,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 10,000 | $12,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,400 | $11,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 17,000 | $11,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 3,000 | $11,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 4,000 | $10,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 2,000 | $10,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 11,100 | $10,000 | thousands by filing date | call |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 15,350 | $10,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 27,540 | $10,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 1,000 | $8,000 | thousands by filing date | call |
| IDEX CORP COM | 45167R104 | Stock | 14,100 | $8,000 | thousands by filing date | put |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 3,100 | $8,000 | thousands by filing date | put |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 1,000 | $7,000 | thousands by filing date | call |
| HERBALIFE LTD | G4412G101 | COM SHS | 98 | $7,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 22,500 | $7,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 2,000 | $6,000 | thousands by filing date | call |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 1,200 | $6,000 | thousands by filing date | call |
| AFLAC INC COM | 001055102 | Stock | 2,000 | $6,000 | thousands by filing date | call |
| BLUEBIRD BIO INC | 09609G100 | COM | 800 | $6,000 | thousands by filing date | call |
| INGERSOLL-RAND PLC | G47791101 | SHS | 2,500 | $6,000 | thousands by filing date | call |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 1,000 | $6,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 15,800 | $6,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 8,000 | $5,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 1,500 | $5,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 6,200 | $5,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 5,000 | $5,000 | thousands by filing date | call |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 1,200 | $5,000 | thousands by filing date | call |
| SEACOR HOLDINGS INC | 811904101 | COM | 20,000 | $5,000 | thousands by filing date | put |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 32,071 | $5,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,000 | $4,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 2,500 | $4,000 | thousands by filing date | call |
| Oracle Corporation | 68389X105 | COM | 3,000 | $4,000 | thousands by filing date | call |
| Qualcomm Incorporated | 747525103 | COM | 2,600 | $4,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 1,000 | $4,000 | thousands by filing date | call |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 2,000 | $4,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 500 | $4,000 | thousands by filing date | call |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 5,000 | $4,000 | thousands by filing date | call |
| U S SILICA HLDGS INC | 90346E103 | COM | 2,000 | $4,000 | thousands by filing date | call |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 600 | $4,000 | thousands by filing date | call |
| QORVO INC COM | 74736K101 | Stock | 1,500 | $3,000 | thousands by filing date | call |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 2,000 | $3,000 | thousands by filing date | put |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 10,300 | $3,000 | thousands by filing date | put |
| NVIDIA Corp | 67066G104 | COM | 1,300 | $2,000 | thousands by filing date | put |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 700 | $2,000 | thousands by filing date | call |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 200 | $2,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 1,800 | $2,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 6,000 | $2,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 2,000 | $2,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 2,500 | $2,000 | thousands by filing date | put |
| TWITTER INC | 90184L102 | COM | 21,000 | $2,000 | thousands by filing date | call |
| MOMO INC | 60879B107 | ADR | 7,000 | $2,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 200 | $2,000 | thousands by filing date | call |
| U S G CORP | 903293405 | COM NEW | 4,000 | $2,000 | thousands by filing date | put |
| DEPOMED INC | 249908104 | COM | 5,000 | $2,000 | thousands by filing date | call |
| Amazon.com, Inc | 023135106 | COM | 100 | $1,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 1,000 | $1,000 | thousands by filing date | put |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 5,000 | $1,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 100 | $1,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 5,000 | $1,000 | thousands by filing date | put |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 700 | $1,000 | thousands by filing date | call |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 200 | $1,000 | thousands by filing date | put |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 1,000 | $1,000 | thousands by filing date | call |
| INCYTE CORP COM | 45337C102 | Stock | 300 | $1,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 5,000 | $1,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 1,000 | $1,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 100 | $1,000 | thousands by filing date | call |
| OMEROS CORP | 682143102 | COM | 400 | $1,000 | thousands by filing date | call |
| BLACKROCK INC CL A COM | 09247X101 | COM | 500 | $1,000 | thousands by filing date | put |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,000 | $1,000 | thousands by filing date | call |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 100 | $1,000 | thousands by filing date | call |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 600 | $1,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 5,300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Caterpillar Inc. | 149123101 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Coca-Cola Company | 191216100 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Danaher Corporation | 235851102 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 3,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Home Depot, Inc | 437076102 | COM | 700 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| JPMorgan Chase & Co | 46625H100 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Lockheed Martin Corporation | 539830109 | COM | 2,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PepsiCo,Inc. | 713448108 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Schlumberger Limited | 806857108 | COM | 3,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Schlumberger Limited | 806857108 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPY | 78462F103 | SHS | 4,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Union Pacific Corporation | 907818108 | COM | 6,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F676 | COM | 3,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Visa Inc | 92826C839 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Walt Disney Co | 254687106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EXXON MOBIL CORP | 30231G102 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EXXON MOBIL CORP | 30231G102 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| RITEAID CORP | 767754104 | COM | 3,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ROYAL BK CDA COM | 780087102 | Stock | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 2,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| FORTINET INC COM | 34959E109 | Stock | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 7,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HORMEL FOODS CORP COM | 440452100 | Stock | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 7,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 7,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| GAMESTOP CORP | 36467W109 | CL A | 3,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OPKO HEALTH INC | 68375N103 | COM | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ZYNGA INC. | 98986T108 | CL A | 4,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| APACHE CORP | 037411105 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CANTEL MEDICAL CORP | 138098108 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 2,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BROADCOM LTD | Y09827109 | SHS | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| THERAPEUTICSMD INC | 88338N107 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 1,700 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| K2M GROUP HLDGS INC | 48273J107 | COM | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002410 | this filing | 2017-11-14 | acceptance time not in the bulk data set |