13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-13, with 2,395 holding rows worth $16,802,182,000.
- Accession
- 0001085146-19-002247
- Filer
- CIK 1462245
- Filed
- 2019-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A combination report, 2,395 entries on the cover page, a total value of $16,802,182,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $16,802,182,000 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 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 filerHGK ASSET MANAGEMENT INC028-01321
- reports for this filerHORIZON KINETICS 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 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 |
|---|---|---|---|---|---|---|
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 15,350 | $219,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 3,006 | $218,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 10,827 | $218,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,047 | $218,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 17,875 | $218,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 10,824 | $218,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 6,245 | $218,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 9,044 | $217,000 | thousands by filing date | |
| BANK OZK LITTLE ROCK ARK COM | 06417N103 | Stock | 7,042 | $216,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 14,218 | $216,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 13,432 | $216,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 11,256 | $215,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 5,140 | $215,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 2,614 | $214,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 3,425 | $214,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 2,218 | $213,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 11,243 | $213,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 4,091 | $213,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 14,015 | $212,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 2,203 | $211,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 19,000 | $211,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 245,000 | $211,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 7,710 | $211,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 13,421 | $210,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 15,745 | $210,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 3,863 | $210,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 5,856 | $209,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 2,787 | $209,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 1,965 | $209,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 1,336 | $209,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 18,254 | $209,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 3,214 | $208,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 94,700 | $208,000 | thousands by filing date | put |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 5,793 | $208,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 2,808 | $208,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 12,926 | $208,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 1,837 | $208,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 16,806 | $208,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 2,987 | $208,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 1,732 | $207,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 5,070 | $207,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 3,994 | $207,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 5,247 | $206,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 5,236 | $206,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 14,326 | $206,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 444,448 | $206,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 11,180 | $205,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 5,945 | $205,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 10,931 | $205,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 7,083 | $204,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 15,901 | $204,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 44,582 | $204,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 10,940 | $204,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 12,244 | $203,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 3,350 | $203,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 17,780 | $201,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 1,367 | $201,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,177 | $201,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 5,964 | $200,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 10,310 | $199,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 10,855 | $196,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 11,461 | $195,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 17,507 | $195,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 8,844 | $195,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 18,028 | $194,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 28,000 | $193,000 | thousands by filing date | put |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 12,206 | $193,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,152 | $193,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 20,993 | $192,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 15,146 | $192,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 13,135 | $192,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 10,800 | $191,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 12,608 | $190,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 32,980 | $190,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 21,031 | $185,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 37,875 | $185,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 14,594 | $185,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 14,398 | $183,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 10,870 | $180,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 13,583 | $178,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 11,915 | $175,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 19,118 | $175,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 13,953 | $174,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 11,897 | $172,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 14,000 | $172,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 14,424 | $171,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 10,159 | $170,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,550 | $168,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 23,489 | $168,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 14,131 | $168,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 10,828 | $166,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 13,007 | $166,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 11,779 | $165,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 56,418 | $165,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 13,437 | $163,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 11,082 | $163,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 11,230 | $163,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 20,560 | $162,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 11,405 | $161,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 25,050 | $160,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 15,774 | $156,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 10,197 | $155,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 60,987 | $154,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,753 | $153,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 10,000 | $151,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 10,968 | $150,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 15,472 | $149,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 17,090 | $149,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 10,687 | $149,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 12,556 | $148,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 12,247 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 11,738 | $147,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 10,561 | $147,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 13,018 | $146,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5,800 | $145,000 | thousands by filing date | put |
| UBS GROUP AG SHS | H42097107 | Stock | 12,173 | $145,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 20,018 | $145,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 32,000 | $144,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,774 | $143,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 13,441 | $141,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 20,200 | $140,000 | thousands by filing date | call |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 24,193 | $137,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 15,170 | $137,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 13,005 | $135,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,527 | $135,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 14,190 | $133,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 24,144 | $132,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 10,524 | $131,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 59,073 | $130,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 24,900 | $129,000 | thousands by filing date | call |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,492 | $129,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 16,999 | $128,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 14,600 | $127,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 10,850 | $126,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 15,247 | $125,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 15,890 | $125,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 56,600 | $124,000 | thousands by filing date | put |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 16,454 | $124,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 46,263 | $123,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 82,400 | $122,000 | thousands by filing date | put |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 15,594 | $121,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 42,000 | $121,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 12,875 | $121,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 17,921 | $117,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 12,265 | $117,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 10,085 | $115,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 22,637 | $115,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 24,352 | $115,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 8,222 | $113,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 13,448 | $110,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 57,500 | $109,000 | thousands by filing date | call |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 11,234 | $108,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 10,097 | $107,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 130,002 | $107,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 19,037 | $106,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,858 | $105,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 275,212 | $104,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 61,452 | $104,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 16,243 | $103,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 51,900 | $99,000 | thousands by filing date | call |
| ID SYSTEMS INC | 449489103 | COM | 16,600 | $98,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,530 | $97,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 16,529 | $97,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 16,800 | $97,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 14,871 | $96,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 55,000 | $96,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 132,353 | $96,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 13,535 | $95,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 75,657 | $93,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 29,900 | $93,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 8,709 | $91,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 14,815 | $90,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 14,750 | $89,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,350 | $88,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 26,736 | $88,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 12,120 | $87,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 10,000 | $87,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 16,848 | $84,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 14,570 | $81,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 20,610 | $80,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 10,000 | $80,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 17,000 | $80,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 16,177 | $79,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 47,775 | $79,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 112,788 | $79,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 12,760 | $72,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,000 | $72,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 14,108 | $71,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 91,500 | $70,000 | thousands by filing date | put |
| CONFORMIS INC | 20717E101 | COM | 15,940 | $70,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,361 | $69,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 39,070 | $68,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 205,300 | $66,000 | thousands by filing date | put |
| AGENUS INC | 00847G705 | COM NEW | 22,101 | $66,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,211 | $65,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 21,300 | $64,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 22,474 | $64,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 10,633 | $64,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 22,084 | $64,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 21,053 | $60,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 33,487 | $60,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 77,000 | $60,000 | thousands by filing date | principal |
| SAP SE SPON ADR | 803054204 | ADR | 21,900 | $59,000 | thousands by filing date | put |
| ENERGOUS CORP | 29272C103 | COM | 12,844 | $56,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 90,000 | $55,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 13,613 | $54,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 28,050 | $53,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 37,538 | $52,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 11,526 | $52,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 15,281 | $52,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,629 | $49,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 42,900 | $47,000 | thousands by filing date | put |
| ACCURAY INC DEL | 004397105 | COM | 12,000 | $47,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 11,450 | $47,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 62,000 | $47,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 31,100 | $47,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 11,800 | $46,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 73,200 | $44,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 6,200 | $43,000 | thousands by filing date | call |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,000 | $43,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 20,841 | $43,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 12,800 | $42,000 | thousands by filing date | call |
| VIACOM INC | 92553P201 | CL B | 23,000 | $41,000 | thousands by filing date | call |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,266 | $41,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 8,810 | $41,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 17,400 | $40,000 | thousands by filing date | call |
| BEYOND MEAT INC | 08862E109 | COM | 31,900 | $40,000 | thousands by filing date | put |
| NIO INC SPON ADS | 62914V106 | ADR | 14,722 | $39,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,027 | $37,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 11,497 | $37,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,930 | $35,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 31,700 | $34,000 | thousands by filing date | put |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 15,025 | $34,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 13,903 | $34,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,500 | $34,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,500 | $33,000 | thousands by filing date | call |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 12,298 | $33,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 37,450 | $33,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 10,001 | $31,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 11,912 | $31,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 10,746 | $31,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 15,200 | $30,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 54,200 | $29,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 12,000 | $29,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 4,600 | $28,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,515 | $27,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,465 | $27,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 30,000 | $27,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 13,731 | $27,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 15,000 | $26,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 25,001 | $25,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 13,937 | $25,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 12,000 | $24,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 13,734 | $24,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 17,357 | $24,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 21,000 | $23,000 | thousands by filing date | call |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 17,000 | $23,000 | thousands by filing date | call |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 29,200 | $23,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 20,000 | $22,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 10,000 | $21,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 19,218 | $21,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 11,456 | $21,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 29,613 | $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 |
| INVESCO QQQ TR | 46090E103 | COM | 13,500 | $19,000 | thousands by filing date | put |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 14,400 | $19,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,300 | $18,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 12,000 | $18,000 | thousands by filing date | call |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 35,366 | $18,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 12,000 | $18,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,100 | $17,000 | thousands by filing date | put |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 8,000 | $16,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 30,800 | $16,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 25,000 | $16,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 16,000 | $14,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 15,000 | $14,000 | thousands by filing date | principal |
| ZAFGEN INC | 98885E103 | COM | 12,000 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 5,300 | $13,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 16,500 | $13,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 15,500 | $13,000 | thousands by filing date | call |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 70,000 | $13,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 10,200 | $13,000 | thousands by filing date | call |
| NEKTAR THERAPEUTICS | 640268108 | COM | 1,100 | $13,000 | thousands by filing date | call |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 11,238 | $13,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 3,000 | $13,000 | thousands by filing date | call |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 14,000 | $13,000 | thousands by filing date | principal |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 11,053 | $12,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 11,340 | $12,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 1,815 | $11,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 19,312 | $11,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,000 | $11,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,000 | $10,000 | thousands by filing date | call |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 12,236 | $10,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 12,400 | $10,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 500 | $9,000 | thousands by filing date | call |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 30,000 | $9,000 | thousands by filing date | call |
| Castle Brands Inc | 148435100 | COM | 19,000 | $9,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 4,500 | $7,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 400 | $7,000 | thousands by filing date | put |
| UNITED RENTALS INC COM | 911363109 | Stock | 500 | $7,000 | thousands by filing date | call |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 8,200 | $7,000 | thousands by filing date | put |
| FORTINET INC COM | 34959E109 | Stock | 19,800 | $7,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 200 | $7,000 | thousands by filing date | put |
| NIO INC SPON ADS | 62914V106 | ADR | 22,000 | $7,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 35,000 | $7,000 | thousands by filing date | call |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 11,000 | $7,000 | thousands by filing date | call |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 20,000 | $7,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 10,002 | $7,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,000 | $6,000 | thousands by filing date | call |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 200 | $6,000 | thousands by filing date | put |
| MONGODB INC CL A | 60937P106 | Stock | 200 | $6,000 | thousands by filing date | put |
| DOCUSIGN INC COM | 256163106 | Stock | 4,300 | $6,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 500 | $6,000 | thousands by filing date | call |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $6,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 11,067 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 10,000 | $5,000 | thousands by filing date | put |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 200 | $5,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 900 | $5,000 | thousands by filing date | call |
| SMITH A O CORP COM | 831865209 | Stock | 1,500 | $5,000 | thousands by filing date | put |
| SHAKE SHACK INC | 819047101 | CL A | 1,700 | $5,000 | thousands by filing date | put |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 120,000 | $5,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 13,142 | $5,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 29,042 | $5,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 12,500 | $5,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 200 | $4,000 | thousands by filing date | call |
| Medtronic Plc | G5960L103 | COM | 2,000 | $4,000 | thousands by filing date | call |
| Uber Technologies | 90353T100 | COM | 3,500 | $4,000 | thousands by filing date | call |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 2,500 | $4,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,000 | $4,000 | thousands by filing date | call |
| CROWN CASTLE INC COM | 22822V101 | REIT | 1,500 | $4,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,000 | $4,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 800 | $4,000 | thousands by filing date | put |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 7,500 | $4,000 | thousands by filing date | call |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 50,000 | $4,000 | thousands by filing date | call |
| NANOVIRICIDES INC | 630087203 | COM NEW | 21,429 | $4,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 30,000 | $4,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,000 | $3,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 1,400 | $3,000 | thousands by filing date | call |
| DOCUSIGN INC COM | 256163106 | Stock | 1,100 | $3,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 200 | $3,000 | thousands by filing date | put |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 10,000 | $3,000 | thousands by filing date | put |
| APHRIA INC | 03765K104 | COM | 8,500 | $3,000 | thousands by filing date | call |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,900 | $3,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 200 | $2,000 | thousands by filing date | call |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 100 | $2,000 | thousands by filing date | put |
| Altria Group Inc | 02209S103 | COM | 1,000 | $2,000 | thousands by filing date | put |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 1,000 | $2,000 | thousands by filing date | put |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 1,000 | $2,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 400 | $2,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 6,000 | $2,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 1,000 | $2,000 | thousands by filing date | put |
| PALO ALTO NETWORKS INC | 697435105 | COM | 100 | $2,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 200 | $2,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 1,200 | $2,000 | thousands by filing date | put |
| BECTON DICKINSON & CO | 075887109 | COM | 1,000 | $2,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 100 | $2,000 | thousands by filing date | put |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 4,000 | $2,000 | thousands by filing date | call |
| STITCH FIX INC | 860897107 | COM CL A | 300 | $2,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 700 | $2,000 | thousands by filing date | put |
| American Tower Corporation | 03027X100 | COM | 1,000 | $1,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 1,200 | $1,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 1,500 | $1,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 600 | $1,000 | thousands by filing date | put |
| TJX Companies Inc | 872540109 | COM | 500 | $1,000 | thousands by filing date | put |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 100 | $1,000 | thousands by filing date | put |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 300 | $1,000 | thousands by filing date | put |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 400 | $1,000 | thousands by filing date | call |
| TARGET CORP COM | 87612E106 | Stock | 200 | $1,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 2,500 | $1,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 200 | $1,000 | thousands by filing date | call |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $1,000 | thousands by filing date | call |
| HERON THERAPEUTICS INC | 427746102 | COM | 500 | $1,000 | thousands by filing date | call |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 2,000 | $1,000 | thousands by filing date | put |
| GAMESTOP CORP | 36467W109 | CL A | 25,000 | $1,000 | thousands by filing date | call |
| 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 | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OKTAINCCLASSA | 679295105 | STOK | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CORNING INC | 219350105 | COM | 1,000 | $0 | thousands by filing date | putValue 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. |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| OCCIDENTAL PETE CORP | 674599105 | COM | 200 | $0 | thousands by filing date | putValue 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. |
| GLOBUS MED INC CL A | 379577208 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TWILIO INC CL A | 90138F102 | Stock | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BOX INC CL A | 10316T104 | Stock | 3,700 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ROKU INC COM CL A | 77543R102 | Stock | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 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. |
| DISCOVERY INC | 25470F104 | COM SER A | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CLOUDERA INC | 18914U100 | COM | 16,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CZR | 127686103 | Stock | 10,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002247 | this filing | 2019-08-13 | acceptance time not in the bulk data set |