13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-15, with 2,321 holding rows worth $14,971,440,000.
- Accession
- 0001085146-19-001645
- Filer
- CIK 1462245
- Filed
- 2019-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A combination report, 2,321 entries on the cover page, a total value of $14,971,440,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,971,440,000 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 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 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 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 filerM.D. SASS INVESTORS SERVICES, INC.028-04057
- 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 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 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 filerREAVES W H & CO INC028-01347
- reports for this filerWakefield Asset Management LLLP028-18951
- reports for this filerWCM INVESTMENT MANAGEMENT, LLC028-07104
- reports for this filerWEDGEWOOD PARTNERS INC028-05973
- reports for this filerWellesley Asset Management028-14868
- reports for this filerWestEnd Advisors, LLC028-11741
- reports for this filerWinslow Capital Management, LLC028-03676
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 |
|---|---|---|---|---|---|---|
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 17,890 | $161,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 13,007 | $161,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 6,000 | $160,000 | thousands by filing date | call |
| SONOS INC | 83570H108 | COM | 15,600 | $160,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 10,070 | $159,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 12,020 | $159,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 10,687 | $159,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 23,300 | $158,000 | thousands by filing date | put |
| Golden Entertainment Inc | 381013101 | Common Stock | 11,210 | $158,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 11,450 | $156,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,048 | $156,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 44,952 | $153,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 13,350 | $152,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 28,718 | $151,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 10,197 | $149,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 10,136 | $148,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 14,025 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,753 | $147,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 10,971 | $146,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 16,250 | $146,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 10,141 | $143,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 10,561 | $139,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 40,520 | $138,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 6,306 | $136,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 15,260 | $136,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 10,524 | $135,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,486 | $135,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 13,441 | $135,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 12,455 | $134,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 16,600 | $133,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 13,005 | $132,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 16,687 | $132,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 14,828 | $132,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 23,800 | $131,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 14,558 | $129,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 10,524 | $128,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 13,078 | $127,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 10,827 | $127,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 75,657 | $125,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 178,190 | $123,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 29,802 | $123,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 115,002 | $122,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 14,378 | $120,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 34,900 | $119,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 12,510 | $118,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 10,000 | $117,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 11,487 | $117,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 43,475 | $115,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 3,251 | $113,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,515 | $112,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 11,137 | $111,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 12,199 | $110,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 15,890 | $108,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 10,850 | $108,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 13,294 | $106,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,700 | $103,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,530 | $103,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,796 | $103,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 15,976 | $103,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 72,000 | $103,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,046 | $103,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 11,609 | $101,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 34,940 | $101,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 15,150 | $100,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 15,789 | $100,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,076 | $99,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 12,582 | $99,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 16,600 | $98,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 55,000 | $97,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 14,694 | $97,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 29,900 | $97,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 40,000 | $96,000 | thousands by filing date | call |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 10,000 | $96,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 23,000 | $95,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 10,000 | $95,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 15,342 | $93,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 15,650 | $93,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 16,594 | $91,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 16,800 | $91,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,861 | $90,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 29,235 | $89,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 10,764 | $84,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 12,120 | $83,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 10,518 | $81,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 17,000 | $80,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 16,000 | $79,000 | thousands by filing date | put |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 10,664 | $79,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 15,281 | $78,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 26,101 | $78,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 22,660 | $77,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,344 | $77,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 12,337 | $76,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 11,760 | $73,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 10,940 | $73,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 11,500 | $73,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 55,500 | $72,000 | thousands by filing date | put |
| NIO INC SPON ADS | 62914V106 | ADR | 13,622 | $71,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 11,651 | $70,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,629 | $70,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 10,670 | $70,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 29,094 | $69,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 73,200 | $69,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,000 | $68,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 11,000 | $67,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 42,200 | $67,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 14,298 | $65,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 12,000 | $64,000 | thousands by filing date | call |
| ANAPLAN INC | 03272L108 | COM | 1,550 | $61,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 20,500 | $59,000 | thousands by filing date | call |
| ACCURAY INC DEL | 004397105 | COM | 12,273 | $59,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 14,640 | $59,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,985 | $58,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 11,072 | $58,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 11,774 | $57,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,354 | $57,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 31,100 | $55,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 10,010 | $53,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 13,900 | $53,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 90,000 | $53,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 48,500 | $51,000 | thousands by filing date | call |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,000 | $50,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 10,513 | $48,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 24,000 | $47,000 | thousands by filing date | call |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,766 | $46,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 10,800 | $44,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 3,900 | $44,000 | thousands by filing date | call |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,500 | $44,000 | thousands by filing date | call |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 33,000 | $42,000 | thousands by filing date | put |
| VIACOM INC | 92553P201 | CL B | 50,000 | $42,000 | thousands by filing date | call |
| LEGACY RESVS INC COM | 524706108 | Stock | 83,411 | $41,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 59,000 | $40,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 20,000 | $40,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 43,600 | $40,000 | thousands by filing date | put |
| CBS CORP NEW | 124857202 | CL B | 39,000 | $40,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 15,200 | $39,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 3,687 | $39,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 31,045 | $39,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 13,731 | $39,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 15,507 | $38,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 11,450 | $38,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 26,717 | $37,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 12,298 | $37,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 10,500 | $36,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y100 | COM | 13,898 | $36,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 30,000 | $35,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 28,000 | $34,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 10,000 | $34,000 | thousands by filing date | call |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 29,613 | $34,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 15,000 | $34,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 18,700 | $32,000 | thousands by filing date | call |
| ANAPLAN INC | 03272L108 | COM | 13,000 | $32,000 | thousands by filing date | put |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,500 | $32,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 33,866 | $32,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 17,300 | $32,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 10,202 | $30,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 131,700 | $30,000 | thousands by filing date | call |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,033 | $30,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 49,200 | $29,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,321 | $29,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 12,678 | $29,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 10,456 | $29,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 49,700 | $28,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 25,800 | $28,000 | thousands by filing date | call |
| OMNICOM GROUP INC COM | 681919106 | Stock | 30,000 | $28,000 | thousands by filing date | put |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,865 | $28,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 20,000 | $28,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 32,450 | $28,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 25,001 | $27,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,191 | $27,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 54,000 | $25,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 50,200 | $24,000 | thousands by filing date | put |
| ALBEMARLE CORP | 012653101 | COM | 7,000 | $24,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 5,300 | $23,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,227 | $23,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 29,200 | $23,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 103,012 | $23,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 34,985 | $21,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 13,734 | $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 |
| 22ND CENTY GROUP INC | 90137F103 | COM | 11,450 | $19,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 8,000 | $18,000 | thousands by filing date | put |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 11,171 | $18,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 12,000 | $18,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 40,000 | $18,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 10,250 | $17,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 13,937 | $17,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 2,800 | $16,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 30,800 | $16,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 12,100 | $16,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 25,000 | $16,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 8,000 | $15,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 15,000 | $15,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 500 | $14,000 | thousands by filing date | put |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 91,300 | $14,000 | thousands by filing date | put |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 23,500 | $14,000 | thousands by filing date | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 3,300 | $13,000 | thousands by filing date | call |
| Castle Brands Inc | 148435100 | COM | 19,000 | $13,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 13,500 | $13,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 14,000 | $13,000 | thousands by filing date | principal |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,000 | $12,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,900 | $12,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 1,000 | $11,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 13,000 | $11,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 4,200 | $11,000 | thousands by filing date | call |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 12,236 | $11,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 95,000 | $10,000 | thousands by filing date | call |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 10,000 | $9,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 3,000 | $9,000 | thousands by filing date | put |
| FEDEX CORP COM | 31428X106 | Stock | 3,300 | $9,000 | thousands by filing date | call |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 700 | $9,000 | thousands by filing date | put |
| IBIO INC | 451033203 | COM NEW | 10,002 | $9,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 4,400 | $8,000 | thousands by filing date | call |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 26,000 | $8,000 | thousands by filing date | put |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 11,067 | $8,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 30,000 | $8,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 2,500 | $7,000 | thousands by filing date | call |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 4,000 | $7,000 | thousands by filing date | call |
| ETSY INC | 29786A106 | COM | 500 | $7,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 2,800 | $6,000 | thousands by filing date | call |
| Comcast Corp | 20030N101 | COM | 13,000 | $6,000 | thousands by filing date | put |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 8,000 | $6,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 12,000 | $6,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 50,000 | $6,000 | thousands by filing date | call |
| NANOVIRICIDES INC | 630087203 | COM NEW | 21,429 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 11,000 | $6,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 5,000 | $5,000 | thousands by filing date | put |
| BLOOM ENERGY CORP | 093712107 | COM | 5,500 | $5,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 400 | $5,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 300 | $5,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 9,000 | $5,000 | thousands by filing date | put |
| CENTENE CORP DEL COM | 15135B101 | Stock | 9,700 | $5,000 | thousands by filing date | call |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $5,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 13,222 | $5,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 500 | $4,000 | thousands by filing date | put |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 4,000 | $4,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $4,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 1,500 | $4,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 2,500 | $4,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 2,000 | $4,000 | thousands by filing date | call |
| CLOUDERA INC | 18914U100 | COM | 10,800 | $4,000 | thousands by filing date | call |
| IJH | 464287507 | COM | 700 | $3,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 6,000 | $3,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 5,000 | $3,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 900 | $3,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,500 | $3,000 | thousands by filing date | call |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 48,000 | $3,000 | thousands by filing date | call |
| APHRIA INC | 03765K104 | COM | 2,000 | $3,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 5,800 | $2,000 | thousands by filing date | call |
| NIKE,Inc. Class B | 654106103 | COM | 20,000 | $2,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 3,000 | $2,000 | thousands by filing date | put |
| BECTON DICKINSON & CO | 075887109 | COM | 2,000 | $2,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 4,500 | $2,000 | thousands by filing date | call |
| BOX INC CL A | 10316T104 | Stock | 3,700 | $2,000 | thousands by filing date | call |
| DROPBOX INC CL A | 26210C104 | Stock | 6,400 | $2,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 20,000 | $2,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 300 | $2,000 | thousands by filing date | call |
| TELADOC HEALTH INC | 87918A105 | COM | 600 | $2,000 | thousands by filing date | call |
| EDITAS MEDICINE INC | 28106W103 | COM | 500 | $2,000 | thousands by filing date | call |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 1,000 | $2,000 | thousands by filing date | call |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 500 | $2,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 400 | $2,000 | thousands by filing date | call |
| NEKTAR THERAPEUTICS | 640268108 | COM | 4,800 | $2,000 | thousands by filing date | call |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 400 | $2,000 | thousands by filing date | call |
| Cigna Corporation | 125523100 | COM | 300 | $1,000 | thousands by filing date | put |
| Honeywell Technologies | 438516106 | COM | 500 | $1,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 200 | $1,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 500 | $1,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 1,000 | $1,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 200 | $1,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,000 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 500 | $1,000 | thousands by filing date | put |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 200 | $1,000 | thousands by filing date | call |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 500 | $1,000 | thousands by filing date | call |
| GLOBUS MED INC CL A | 379577208 | Stock | 200 | $1,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 500 | $1,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 200 | $1,000 | thousands by filing date | put |
| CAMECO CORP COM | 13321L108 | Stock | 3,000 | $1,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 300 | $1,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 200 | $1,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 500 | $1,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 30,000 | $1,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 500 | $1,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 3,000 | $1,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 1,000 | $1,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 1,000 | $1,000 | thousands by filing date | put |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 500 | $1,000 | thousands by filing date | call |
| CANOPY GROWTH CORP | 138035100 | COM | 500 | $1,000 | thousands by filing date | put |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 900 | $1,000 | thousands by filing date | put |
| HEXO CORP | 428304109 | COM | 700 | $1,000 | thousands by filing date | call |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 1,500 | $1,000 | thousands by filing date | call |
| American Express Company | 025816109 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| META PLATFORMS INC CL A | 30303M102 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NVIDIA Corp | 67066G104 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| United Parcel Service,Inc. Class B | 911312106 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PAN AMERN SILVER CORP | 697900108 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NEWELL BRANDS INC COM | 651229106 | Stock | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EXELIXIS INC COM | 30161Q104 | Stock | 300 | $0 | thousands by filing date | callValue 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 | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 4,600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 15,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DEXCOM INC COM | 252131107 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SABRE CORP COM | 78573M104 | Stock | 3,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 6,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SHAKE SHACK INC | 819047101 | CL A | 1,800 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SONOS INC | 83570H108 | COM | 2,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| UNDER ARMOUR INC | 904311107 | CL A | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WYNN RESORTS LTD | 983134107 | COM | 3,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 5,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| RAYTHEON CO | 755111507 | COM NEW | 1,000 | $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. |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ZUORA INC | 98983V106 | COMMON STOCK | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,500 | $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. |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-001645 | this filing | 2019-05-15 | acceptance time not in the bulk data set |