13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 2,305 holding rows worth $16,921,070,000.
- Accession
- 0001085146-20-000828
- Filer
- CIK 1462245
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 2,305 entries on the cover page, a total value of $16,921,070,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $16,921,070,000 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 HERMES, INC.028-04375
- reports for this filerFRANKLIN RESOURCES INC028-00734
- reports for this filerFRED ALGER MANAGEMENT, LLC028-00869
- 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 filerNUANCE INVESTMENTS, LLC028-13833
- reports for this filerNuveen Asset Management, LLC028-14498
- reports for this filerNWQ INVESTMENT MANAGEMENT COMPANY, LLC028-01474
- reports for this filerO'SHAUGHNESSY ASSET MANAGEMENT, LLC028-12966
- reports for this filerOAK RIDGE INVESTMENTS LLC028-06668
- 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 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 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 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 |
|---|---|---|---|---|---|---|
| MACYS INC COM | 55616P104 | Stock | 10,730 | $179,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 12,200 | $177,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 13,007 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 11,421 | $173,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 61,809 | $172,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 10,469 | $171,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 10,130 | $171,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 18,539 | $170,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 63,500 | $169,000 | thousands by filing date | put |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 51,758 | $169,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 14,941 | $167,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 10,197 | $166,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,999 | $165,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,232 | $164,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 13,470 | $163,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 26,948 | $163,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 28,000 | $160,000 | thousands by filing date | put |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 12,504 | $160,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 109,400 | $159,000 | thousands by filing date | call |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 13,005 | $159,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 17,171 | $158,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 37,998 | $157,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 17,416 | $157,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 14,000 | $157,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 16,800 | $157,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 14,036 | $155,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 33,815 | $155,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 35,804 | $154,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 54,100 | $151,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 22,068 | $151,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 10,205 | $151,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 46,800 | $150,000 | thousands by filing date | put |
| TANZANIAN GOLD CORP | 87601A107 | COM | 245,000 | $150,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 22,224 | $146,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 10,687 | $144,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 47,800 | $143,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 13,018 | $143,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 10,561 | $143,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 14,190 | $142,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 198,175 | $142,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 10,404 | $141,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 30,165 | $140,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,527 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,528 | $139,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 11,803 | $139,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 84,879 | $139,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 16,600 | $138,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 19,900 | $137,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,700 | $135,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 10,524 | $135,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 16,463 | $134,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 6,300 | $131,000 | thousands by filing date | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 14,976 | $131,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 35,900 | $131,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,530 | $125,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 16,054 | $125,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 34,625 | $125,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 7,251 | $124,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 22,881 | $124,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 12,352 | $124,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 4,716 | $123,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 10,350 | $123,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 12,261 | $123,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 63,145 | $120,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,000 | $119,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 132,002 | $118,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 59,635 | $113,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 14,668 | $113,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 16,560 | $112,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 16,600 | $108,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 12,503 | $106,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 19,037 | $106,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,110 | $103,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 2,290 | $103,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 16,930 | $103,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 35,136 | $101,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 54,200 | $101,000 | thousands by filing date | call |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 23,615 | $100,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 32,000 | $99,000 | thousands by filing date | put |
| Proshares VIX Short-Term | 74347W171 | Equity | 8,000 | $99,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 12,489 | $97,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 16,250 | $94,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 10,000 | $93,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 18,108 | $92,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 132,328 | $91,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 3,000 | $90,000 | thousands by filing date | call |
| NOODLES & CO | 65540B105 | COM CL A | 15,890 | $88,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 35,200 | $85,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,000 | $85,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 10,000 | $85,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 10,846 | $84,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,800 | $83,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 29,500 | $81,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 34,200 | $80,000 | thousands by filing date | call |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 10,000 | $80,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 31,100 | $80,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 29,000 | $79,000 | thousands by filing date | call |
| IMMUCELL CORP | 452525306 | COM PAR | 14,974 | $77,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 16,053 | $73,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 14,108 | $71,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 10,850 | $71,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 10,500 | $70,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,273 | $69,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 57,452 | $69,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 6,500 | $68,000 | thousands by filing date | call |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 29,900 | $68,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 22,000 | $66,000 | thousands by filing date | call |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 73,400 | $66,000 | thousands by filing date | put |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 10,140 | $65,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 36,000 | $64,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 13,950 | $64,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 14,655 | $63,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 65,644 | $60,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 10,000 | $60,000 | thousands by filing date | call |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 77,000 | $60,000 | thousands by filing date | principal |
| MARCHEX INC | 56624R108 | CMN | 15,708 | $59,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,200 | $56,000 | thousands by filing date | call |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 40,000 | $56,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 75,657 | $55,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 21,500 | $53,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 900 | $53,000 | thousands by filing date | call |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 25,000 | $53,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 600 | $52,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 10,867 | $51,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 275,412 | $51,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 52,000 | $51,000 | thousands by filing date | call |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 12,843 | $49,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 11,345 | $45,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,500 | $45,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 16,500 | $44,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 13,963 | $43,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 20,700 | $42,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 10,911 | $42,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 10,771 | $41,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,800 | $41,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 29,050 | $40,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 55,000 | $39,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 108,000 | $39,000 | thousands by filing date | call |
| RTI BIOLOGICS INC | 74975N105 | COM | 14,200 | $39,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 61,000 | $39,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,500 | $37,000 | thousands by filing date | put |
| Charles Schwab Corp | 808513105 | COM | 25,000 | $33,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 13,527 | $33,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 10,000 | $32,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 8,977 | $31,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 39,800 | $30,000 | thousands by filing date | put |
| Deere & Company | 244199105 | COM | 17,000 | $29,000 | thousands by filing date | put |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 12,500 | $29,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 10,709 | $28,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 16,384 | $27,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 12,000 | $27,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 14,816 | $27,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,200 | $26,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 54,200 | $26,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 500 | $25,000 | thousands by filing date | put |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 11,871 | $25,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 11,818 | $25,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 25,000 | $25,000 | thousands by filing date | principal |
| VERMILLION INC | 92407M206 | COM NEW | 30,000 | $24,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 1,600 | $22,000 | thousands by filing date | put |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $22,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,410 | $22,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 10,000 | $22,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 3,000 | $21,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 23,800 | $21,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 18,520 | $21,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 16,530 | $21,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 17,500 | $20,000 | thousands by filing date | call |
| COVIA HLDGS CORP | 22305A103 | COM | 10,421 | $20,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 15,000 | $19,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 17,043 | $19,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 15,300 | $18,000 | thousands by filing date | call |
| HEXO CORP | 428304109 | COM | 10,240 | $18,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 15,090 | $18,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 32,000 | $17,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 35,000 | $17,000 | thousands by filing date | call |
| VBI VACCINES INC | 91822J103 | COM NEW | 12,800 | $17,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 13,734 | $17,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 11,700 | $16,000 | thousands by filing date | call |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 6,000 | $15,000 | thousands by filing date | put |
| LYFT INC | 55087P104 | CL A COM | 1,700 | $15,000 | thousands by filing date | put |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 10,520 | $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 |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 39,266 | $15,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 11,497 | $15,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,000 | $14,000 | thousands by filing date | call |
| MasterCard, Inc | 57636Q104 | COM | 7,500 | $14,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 1,000 | $13,000 | thousands by filing date | call |
| FEDEX CORP COM | 31428X106 | Stock | 2,000 | $13,000 | thousands by filing date | call |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 15,200 | $13,000 | thousands by filing date | call |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 33,500 | $13,000 | thousands by filing date | call |
| GULF RESOURCES INC | 40251W309 | COM | 25,001 | $13,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 14,000 | $13,000 | thousands by filing date | principal |
| Pfizer Inc. | 717081103 | COM | 26,000 | $12,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,352 | $12,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 11,340 | $12,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 5,400 | $11,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 12,200 | $11,000 | thousands by filing date | call |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 400 | $10,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 8,000 | $10,000 | thousands by filing date | call |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 600 | $10,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 500 | $10,000 | thousands by filing date | call |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 41,000 | $10,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 31,000 | $9,000 | thousands by filing date | call |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 6,000 | $9,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 33,000 | $9,000 | thousands by filing date | call |
| Honeywell Technologies | 438516106 | COM | 8,500 | $8,000 | thousands by filing date | put |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 2,700 | $8,000 | thousands by filing date | call |
| STITCH FIX INC | 860897107 | COM CL A | 9,100 | $8,000 | thousands by filing date | call |
| RAYTHEON CO | 755111507 | COM NEW | 1,200 | $8,000 | thousands by filing date | put |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 18,000 | $8,000 | thousands by filing date | put |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 300 | $7,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 3,700 | $7,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 1,500 | $7,000 | thousands by filing date | put |
| NOKIA CORP | 654902204 | SPONSORED ADR | 20,000 | $7,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 2,500 | $7,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 33,300 | $7,000 | thousands by filing date | call |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 35,000 | $7,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,500 | $6,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 8,000 | $6,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 800 | $6,000 | thousands by filing date | call |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 1,000 | $6,000 | thousands by filing date | put |
| EAGLE BANCORPORATION INC | 268948106 | COM | 4,000 | $6,000 | thousands by filing date | put |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 2,500 | $5,000 | thousands by filing date | call |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 10,000 | $5,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 1,200 | $5,000 | thousands by filing date | call |
| SONOS INC | 83570H108 | COM | 31,000 | $5,000 | thousands by filing date | call |
| RPC INC | 749660106 | COMMON STOCK | 12,600 | $5,000 | thousands by filing date | call |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 19,800 | $5,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 12,000 | $5,000 | thousands by filing date | call |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 30,000 | $5,000 | thousands by filing date | call |
| Broadcom Inc. | 11135F101 | COM | 2,500 | $4,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 1,500 | $4,000 | thousands by filing date | put |
| TILRAY INC | 88688T100 | COM CL 2 | 3,000 | $4,000 | thousands by filing date | call |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,200 | $4,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 10,000 | $4,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 300 | $3,000 | thousands by filing date | put |
| ISHARES TR | 464287457 | COM | 5,000 | $3,000 | thousands by filing date | call |
| MONGODB INC CL A | 60937P106 | Stock | 300 | $3,000 | thousands by filing date | put |
| DOCUSIGN INC COM | 256163106 | Stock | 2,100 | $3,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 10,000 | $3,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 500 | $3,000 | thousands by filing date | call |
| Proshares VIX Short-Term | 74347W171 | Equity | 10,000 | $3,000 | thousands by filing date | call |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 13,400 | $3,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 2,000 | $2,000 | thousands by filing date | put |
| McDonalds Corporation | 580135101 | COM | 500 | $2,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 200 | $2,000 | thousands by filing date | call |
| Qualcomm Incorporated | 747525103 | COM | 1,000 | $2,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 300 | $2,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 80,400 | $2,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 2,500 | $2,000 | thousands by filing date | put |
| Walmart Inc. | 931142103 | COM | 43,500 | $2,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 4,000 | $2,000 | thousands by filing date | call |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 500 | $2,000 | thousands by filing date | call |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 19,000 | $2,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 200 | $2,000 | thousands by filing date | call |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 300 | $2,000 | thousands by filing date | put |
| GREEN PLAINS INC | 393222104 | COM | 300 | $2,000 | thousands by filing date | call |
| FIBROGEN INC | 31572Q808 | COM | 200 | $2,000 | thousands by filing date | call |
| IBIO INC | 451033203 | COM NEW | 10,002 | $2,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,000 | $1,000 | thousands by filing date | call |
| Lockheed Martin Corporation | 539830109 | COM | 200 | $1,000 | thousands by filing date | call |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 100 | $1,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F676 | COM | 1,000 | $1,000 | thousands by filing date | put |
| EXXON MOBIL CORP | 30231G102 | COM | 700 | $1,000 | thousands by filing date | put |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,000 | $1,000 | thousands by filing date | put |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 500 | $1,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 200 | $1,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,700 | $1,000 | thousands by filing date | put |
| LENNAR CORP CL A | 526057104 | Stock | 2,000 | $1,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 300 | $1,000 | thousands by filing date | put |
| XILINX INC | 983919101 | COM | 300 | $1,000 | thousands by filing date | call |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 10,000 | $1,000 | thousands by filing date | put |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| iShares Russell 2000 ETF | 464287655 | SHS | 6,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| McDonalds Corporation | 580135101 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PepsiCo,Inc. | 713448108 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Procter & Gamble Co | 742718109 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Uber Technologies | 90353T100 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 8,200 | $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. |
| PINTEREST INC CL A | 72352L106 | Stock | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MORNINGSTAR INC COM | 617700109 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EDISON INTL COM | 281020107 | Stock | 2,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BOX INC CL A | 10316T104 | Stock | 5,600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KRAFT HEINZ CO COM | 500754106 | Stock | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BLOCK INC CL A | 852234103 | Stock | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PPG INDS INC COM | 693506107 | Stock | 0 | $0 | thousands by filing date | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| VENTAS INC COM | 92276F100 | REIT | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HORMEL FOODS CORP COM | 440452100 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NUTANIX INC CL A | 67059N108 | Stock | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| 3M CO COM | 88579Y101 | Stock | 1,500 | $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. |
| LINDE PLC | G5494J103 | SHS | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 200 | $0 | thousands by filing date | callValue 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. |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-000828 | this filing | 2020-02-14 | acceptance time not in the bulk data set |