13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-09, with 2,300 holding rows worth $13,872,938,000.
- Accession
- 0001085146-18-002549
- Filer
- CIK 1462245
- Filed
- 2018-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, 2,300 entries on the cover page, a total value of $13,872,938,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $13,872,938,000 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 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 filerAristotle Capital Management, LLC028-02634
- reports for this filerAshfield Capital Partners, LLC028-12481
- 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 filerBrookmont Capital Management028-14438
- reports for this filerBROWN ADVISORY INC028-13997
- reports for this filerCAMBIAR INVESTORS LLC028-01398
- reports for this filerCAMPBELL NEWMAN ASSET MANAGEMENT INC028-02903
- reports for this filerCapital Innovations LLC028-15733
- reports for this filerCOLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC028-10477
- reports for this filerCONGRESS ASSET MANAGEMENT CO /MA028-03434
- 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 filerDSM CAPITAL PARTNERS LLC028-10309
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- 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 filerGW&K Investment Management, LLC028-04145
- reports for this filerHARDING LOEVNER LP028-04434
- reports for this filerHARRIS ASSOCIATES L P028-02013
- reports for this filerHAYS ADVISORY LLC028-10649
- reports for this filerHGK ASSET MANAGEMENT INC028-01321
- 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 filerLaffer Investments028-10975
- reports for this filerLATEEF INVESTMENT MANAGEMENT, L.P.028-05358
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerCLEARBRIDGE, LLC028-01701
- 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 filerMILLER HOWARD INVESTMENTS INC /NY028-03692
- reports for this filerMONTAG & CALDWELL, LLC028-00288
- reports for this filerNEUBERGER BERMAN LLC028-00454
- reports for this filerNEWGATE CAPITAL MANAGEMENT LLC028-03871
- reports for this filerNATIXIS ADVISORS, L.P.028-05788
- 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 filerOAK RIDGE INVESTMENTS LLC028-06668
- reports for this filerO'SHAUGHNESSY ASSET MANAGEMENT, LLC028-12966
- reports for this filerPACIFIC INVESTMENT MANAGEMENT CO LLC028-10952
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- reports for this filerPOLEN CAPITAL MANAGEMENT LLC028-03687
- reports for this filerPRINCIPAL GLOBAL INVESTORS028-01549
- reports for this filerPZENA INVESTMENT MANAGEMENT LLC028-03791
- reports for this filerREINHART PARTNERS, INC.028-04879
- reports for this filerRENAISSANCE GROUP LLC028-04884
- reports for this filerRichard Bernstein Advisors LLC028-14643
- reports for this filerRIVERBRIDGE PARTNERS LLC028-05655
- reports for this filerBoston Partners028-12484
- reports for this filerSANTA BARBARA ASSET MANAGEMENT, LLC028-05621
- reports for this filerSCHAFER CULLEN CAPITAL MANAGEMENT INC028-04691
- reports for this filerSelect Equity Group, L.P.028-16000
- reports for this filerSHELTON CAPITAL MANAGEMENT028-05709
- reports for this filerSOUTHERNSUN ASSET MANAGEMENT, LLC028-03489
- reports for this filerSTRATEGY ASSET MANAGERS LLC028-10030
- reports for this filerSYSTEMATIC FINANCIAL MANAGEMENT LP028-05015
- reports for this filerTCW INVESTMENT MANAGEMENT Co LLC028-06683
- reports for this filerLONDON CO OF VIRGINIA028-10665
- reports for this filerTHOMAS WHITE INTERNATIONAL LTD028-05601
- reports for this filerTHOMPSON SIEGEL & WALMSLEY LLC028-04041
- reports for this filerTHORNBURG INVESTMENT MANAGEMENT INC028-06605
- reports for this filerTODD ASSET MANAGEMENT LLC028-04171
- reports for this filerTRILLIUM ASSET MANAGEMENT, LLC028-03125
- reports for this filerTURNER INVESTMENTS LLC028-02924
- reports for this filerVANGUARD GROUP INC028-06408
- reports for this filerVICTORY CAPITAL MANAGEMENT INC028-06354
- reports for this filerVOYA INVESTMENT MANAGEMENT LLC028-07292
- 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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 11,995 | $150,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 12,988 | $148,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 12,970 | $147,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 13,078 | $146,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 14,019 | $146,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 13,882 | $145,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 34,000 | $143,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 61,650 | $143,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 24,720 | $143,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 35,047 | $141,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14,696 | $140,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 18,811 | $140,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 12,587 | $140,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,873 | $139,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,753 | $138,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 12,528 | $137,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 31,053 | $136,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 12,629 | $136,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 61,801 | $136,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 14,413 | $135,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 20,694 | $135,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 11,124 | $134,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,412 | $131,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 10,902 | $130,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 13,441 | $129,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 20,500 | $127,000 | thousands by filing date | call |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 15,688 | $126,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 17,120 | $126,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 83,700 | $126,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,700 | $125,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 23,303 | $125,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 13,994 | $123,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 10,231 | $123,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 10,000 | $120,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,797 | $120,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 13,610 | $118,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 18,517 | $116,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 20,149 | $115,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 16,600 | $115,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 10,500 | $114,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 11,289 | $112,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 20,000 | $112,000 | thousands by filing date | call |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,106 | $110,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 16,504 | $109,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 10,305 | $108,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 14,840 | $108,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 42,900 | $103,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 78,200 | $103,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 18,677 | $103,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,000 | $102,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 55,000 | $102,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 59,000 | $101,000 | thousands by filing date | put |
| SUNRUN INC | 86771W105 | COM | 8,040 | $100,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 29,915 | $100,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,530 | $99,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 12,674 | $98,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 50,885 | $98,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 10,000 | $98,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,400 | $97,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 43,500 | $97,000 | thousands by filing date | put |
| ANTARES PHARMA INC | 036642106 | COM | 28,735 | $97,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 12,855 | $97,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 92,500 | $96,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 187,584 | $96,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 20,769 | $94,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 16,800 | $94,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 10,000 | $92,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 10,456 | $91,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 13,233 | $90,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 26,026 | $90,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 16,515 | $90,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 16,368 | $89,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 245,000 | $89,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 17,500 | $88,000 | thousands by filing date | call |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 23,493 | $88,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 11,937 | $87,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 41,400 | $87,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 35,000 | $86,000 | thousands by filing date | call |
| VIRNETX HLDG CORP | 92823T108 | COM | 18,500 | $86,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 15,350 | $85,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 84,000 | $84,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 54,500 | $84,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 35,700 | $84,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 33,500 | $82,000 | thousands by filing date | call |
| GROUPON INC | 399473107 | COMMON STOCK | 21,585 | $82,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,382 | $82,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 15,150 | $81,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 10,760 | $78,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 49,800 | $77,000 | thousands by filing date | put |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 70,205 | $75,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 15,700 | $74,000 | thousands by filing date | call |
| INUVO INC | 46122W204 | COM NEW | 117,184 | $73,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 100,000 | $73,000 | thousands by filing date | put |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 129,733 | $73,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 11,491 | $70,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 10,500 | $69,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 16,000 | $69,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 25,281 | $68,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 12,789 | $67,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 28,200 | $66,000 | thousands by filing date | put |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 34,100 | $66,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 14,600 | $65,000 | thousands by filing date | call |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 82,100 | $64,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $63,000 | thousands by filing date | put |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,005 | $63,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,900 | $63,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 24,558 | $61,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,905 | $60,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 12,929 | $59,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 38,400 | $58,000 | thousands by filing date | put |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,000 | $58,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 15,238 | $57,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 11,280 | $57,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 13,850 | $56,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 26,101 | $56,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 29,200 | $55,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 4,400 | $54,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 76,259 | $54,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 18,800 | $53,000 | thousands by filing date | call |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 12,678 | $53,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 14,498 | $53,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 34,780 | $51,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 15,025 | $50,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 23,028 | $50,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 31,100 | $50,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 18,000 | $49,000 | thousands by filing date | call |
| LANDSTAR SYS INC COM | 515098101 | Stock | 34,500 | $47,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 12,411 | $47,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 17,000 | $47,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 48,188 | $47,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 31,000 | $46,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 16,000 | $46,000 | thousands by filing date | call |
| EVINE LIVE INC | 300487105 | CL A | 39,000 | $45,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 11,171 | $44,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,527 | $44,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,191 | $44,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,766 | $41,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 44,200 | $40,000 | thousands by filing date | put |
| UnitedHealth Group Inc | 91324P102 | COM | 14,300 | $39,000 | thousands by filing date | put |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 12,950 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 37,500 | $38,000 | thousands by filing date | put |
| 180 DEGREE CAP CORP | 68235B109 | COM | 17,300 | $38,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 45,200 | $36,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 32,356 | $36,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 20,000 | $36,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 35,000 | $35,000 | thousands by filing date | call |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,500 | $35,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 32,940 | $35,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 16,246 | $34,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 23,726 | $34,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,000 | $33,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 18,741 | $32,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $32,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 11,433 | $32,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,005 | $32,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 12,083 | $28,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 14,734 | $28,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 25,001 | $26,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 50,000 | $25,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 15,600 | $24,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 1,300 | $23,000 | thousands by filing date | put |
| SYMANTEC CORP | 871503108 | COM | 25,000 | $23,000 | thousands by filing date | call |
| GRUBHUB INC | 400110102 | COM | 500 | $22,000 | thousands by filing date | call |
| VERMILLION INC | 92407M206 | COM NEW | 30,000 | $21,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 10,000 | $20,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 19,000 | $20,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 20,000 | $20,000 | thousands by filing date | principal |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 1,000 | $19,000 | thousands by filing date | call |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 50,415 | $19,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 81,556 | $18,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 12,000 | $18,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 9,700 | $17,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,500 | $17,000 | thousands by filing date | call |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 10,000 | $17,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 80,000 | $16,000 | thousands by filing date | put |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 91,500 | $16,000 | thousands by filing date | put |
| NEKTAR THERAPEUTICS | 640268108 | COM | 1,200 | $16,000 | thousands by filing date | call |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 11,067 | $16,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,000 | $15,000 | thousands by filing date | call |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 32,000 | $15,000 | thousands by filing date | put |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 15,100 | $15,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 15,000 | $15,000 | thousands by filing date | principal |
| Salesforce.com, Inc | 79466L302 | COM | 1,500 | $14,000 | thousands by filing date | call |
| Tesla Motors, Inc | 88160R101 | COM | 3,900 | $14,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,000 | $14,000 | thousands by filing date | call |
| JUNIPER NETWORKS INC | 48203R104 | COM | 2,500 | $14,000 | thousands by filing date | call |
| VIACOM INC | 92553P201 | CL B | 5,000 | $14,000 | thousands by filing date | call |
| SWITCH INC | 87105L104 | CL A | 50,000 | $14,000 | thousands by filing date | call |
| SENESTECH INC | 81720R109 | COM | 20,937 | $14,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,000 | $13,000 | thousands by filing date | call |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 8,000 | $13,000 | thousands by filing date | put |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 1,164 | $13,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 2,000 | $13,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 15,000 | $12,000 | thousands by filing date | call |
| IBIO INC | 451033203 | COM NEW | 13,502 | $12,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 10,000 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 46,700 | $11,000 | thousands by filing date | put |
| CLOUDERA INC | 18914U100 | COM | 10,000 | $11,000 | thousands by filing date | call |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $11,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 3,500 | $10,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 1,500 | $10,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 32,600 | $10,000 | thousands by filing date | call |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,900 | $10,000 | thousands by filing date | call |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,000 | $10,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 17,000 | $10,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 10,000 | $10,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 8,100 | $9,000 | thousands by filing date | put |
| Altria Group Inc | 02209S103 | COM | 24,500 | $8,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 1,500 | $8,000 | thousands by filing date | call |
| UR-ENERGY INC | 91688R108 | COM | 10,000 | $8,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 80,000 | $8,000 | thousands by filing date | call |
| NANOVIRICIDES INC | 630087203 | COM NEW | 21,429 | $8,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 34,000 | $7,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 15,500 | $7,000 | thousands by filing date | call |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 5,000 | $7,000 | thousands by filing date | call |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,100 | $7,000 | thousands by filing date | put |
| FASTENAL CO COM | 311900104 | Stock | 2,500 | $6,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,000 | $6,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 3,500 | $6,000 | thousands by filing date | call |
| Micron Technology,Inc. | 595112103 | COM | 2,000 | $5,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 5,500 | $5,000 | thousands by filing date | call |
| TELADOC HEALTH INC | 87918A105 | COM | 200 | $5,000 | thousands by filing date | call |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 15,000 | $5,000 | thousands by filing date | put |
| Home Depot, Inc | 437076102 | COM | 400 | $4,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 1,000 | $4,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 5,000 | $4,000 | thousands by filing date | put |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 13,000 | $4,000 | thousands by filing date | put |
| GRACO INC COM | 384109104 | Stock | 3,000 | $4,000 | thousands by filing date | call |
| FIRST SOLAR INC COM | 336433107 | Stock | 6,000 | $4,000 | thousands by filing date | call |
| PPG INDS INC COM | 693506107 | Stock | 1,500 | $4,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 5,000 | $4,000 | thousands by filing date | call |
| RAYTHEON CO | 755111507 | COM NEW | 1,000 | $4,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,000 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 15,000 | $4,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 10,000 | $3,000 | thousands by filing date | call |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 300 | $3,000 | thousands by filing date | call |
| HERBALIFE LTD | G4412G101 | COM SHS | 60 | $3,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 900 | $3,000 | thousands by filing date | call |
| CANOPY GROWTH CORP | 138035100 | COM | 3,000 | $3,000 | thousands by filing date | call |
| CLOUDERA INC | 18914U100 | COM | 218 | $3,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 17,000 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 10,000 | $3,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 1,000 | $2,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,600 | $2,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 2,000 | $2,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 12,400 | $2,000 | thousands by filing date | call |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 200 | $2,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 200 | $2,000 | thousands by filing date | call |
| OMEROS CORP | 682143102 | COM | 200 | $2,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 500 | $2,000 | thousands by filing date | call |
| PATRICK INDS INC | 703343103 | COM | 2,000 | $2,000 | thousands by filing date | call |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 500 | $2,000 | thousands by filing date | call |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 100 | $2,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | call |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 54,600 | $2,000 | thousands by filing date | call |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,000 | $2,000 | thousands by filing date | call |
| Honeywell Technologies | 438516106 | COM | 500 | $1,000 | thousands by filing date | put |
| Morgan Stanley | 617446448 | COM | 4,000 | $1,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 1,000 | $1,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 15,000 | $1,000 | thousands by filing date | call |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 9,000 | $1,000 | thousands by filing date | call |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 300 | $1,000 | thousands by filing date | call |
| IDEXX LABS INC COM | 45168D104 | Stock | 300 | $1,000 | thousands by filing date | call |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 200 | $1,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,000 | $1,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 2,000 | $1,000 | thousands by filing date | call |
| SNAP INC | 83304A106 | CL A | 400 | $1,000 | thousands by filing date | call |
| NOVOCURE LTD | G6674U108 | ORD SHS | 100 | $1,000 | thousands by filing date | call |
| SHAKE SHACK INC | 819047101 | CL A | 700 | $1,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 200 | $1,000 | thousands by filing date | call |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 2,000 | $1,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 1,500 | $1,000 | thousands by filing date | call |
| ALLERGAN PLC | G0177J108 | SHS | 900 | $1,000 | thousands by filing date | call |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 400 | $1,000 | thousands by filing date | call |
| GROUPON INC | 399473107 | COMMON STOCK | 60,000 | $1,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 1,500 | $1,000 | thousands by filing date | call |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 500 | $1,000 | thousands by filing date | call |
| TTOO | 89853L104 | Stock | 1,000 | $1,000 | thousands by filing date | call |
| Danaher Corporation | 235851102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Deere & Company | 244199105 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Starbucks Corporation | 855244109 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 4,600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 3,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NUTANIX INC CL A | 67059N108 | Stock | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OPKO HEALTH INC | 68375N103 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HERBALIFE LTD | G4412G101 | COM SHS | 10,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| HANESBRANDS INC | 410345102 | COM | 3,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ARISTA NETWORKS INC | 040413106 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TILRAY INC | 88688T100 | COM CL 2 | 1,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 523 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 1,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-18-002549 | this filing | 2018-11-09 | acceptance time not in the bulk data set |