13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 7,205 holding rows worth $462,336,453,000.
- Accession
- 0001140361-17-007005
- Filer
- CIK 70858
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 17,965 entries on the cover page, a total value of $462,336,453,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $462,336,453,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerBlue Ridge Investments, L.L.C.028-16009
- included managerEQUITY FINANCE DELAWARE, LLC028-16012
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
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 |
|---|---|---|---|---|---|---|
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 658,000 | $788,000 | thousands by filing date | principal |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 29,392 | $787,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 15,837 | $787,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 12,000 | $785,000 | thousands by filing date | call |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 67,264 | $785,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 28,675 | $783,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 29,852 | $782,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 33,822 | $781,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 750,000 | $781,000 | thousands by filing date | principal |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 32,584 | $780,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 109,755 | $780,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 12,600 | $777,000 | thousands by filing date | call |
| DBX ETF TR | 233051408 | FUND | 30,731 | $774,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 23,798 | $773,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 52,387 | $772,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 316,747 | $772,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 25,000 | $768,000 | thousands by filing date | put |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 199,085 | $767,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 153,800 | $767,000 | thousands by filing date | call |
| SPARTAN MTRS INC | 846819100 | COM | 82,873 | $767,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 82,347 | $767,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 130,600 | $765,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 38,903 | $764,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 95,123 | $764,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 42,057 | $764,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 22,729 | $763,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 39,150 | $762,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 53,568 | $760,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 50,000 | $759,000 | thousands by filing date | put |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 23,212 | $759,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 38,322 | $759,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 30,214 | $758,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 8,057 | $757,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 67,624 | $755,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 70,020 | $755,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 68,424 | $754,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 10,095 | $753,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 26,495 | $752,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 139,618 | $752,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 77,483 | $751,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 11,200 | $750,000 | thousands by filing date | call |
| HARVEST CAP CR CORP | 41753F109 | COM | 54,556 | $750,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 65,714 | $747,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 24,269 | $747,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 27,208 | $744,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 38,100 | $743,000 | thousands by filing date | put |
| NANOMETRICS | 630077105 | COM | 29,611 | $742,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 31,249 | $742,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 29,299 | $740,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 54,105 | $740,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 119,272 | $739,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 42,636 | $738,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 38,866 | $738,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 17,158 | $737,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 50,672 | $735,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 100,000 | $733,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L811 | COM | 33,601 | $733,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 149,122 | $731,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 27,411 | $728,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 73,158 | $726,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 86,304 | $725,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 28,745 | $723,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 42,119 | $723,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 33,919 | $723,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 11,700 | $722,000 | thousands by filing date | call |
| MINDBODY INC | 60255W105 | COM CL A | 33,895 | $722,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 26,774 | $720,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 28,026 | $717,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 8,670 | $715,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 38,976 | $715,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 2,800 | $714,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 14,266 | $713,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 18,142 | $713,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 55,816 | $712,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 72,734 | $712,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 17,500 | $711,000 | thousands by filing date | put |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 58,665 | $710,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 38,556 | $710,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 50,000 | $710,000 | thousands by filing date | call |
| LHC GROUP | 50187A107 | COM | 15,504 | $709,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 142,703 | $709,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 107,320 | $709,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 23,143 | $709,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 39,175 | $707,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 36,358 | $707,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 49,343 | $706,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 29,342 | $705,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 11,369 | $704,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 22,662 | $703,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 125,005 | $700,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 61,200 | $700,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 46,926 | $700,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 96,262 | $700,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 23,583 | $699,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 570,000 | $699,000 | thousands by filing date | principal |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 166,292 | $698,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 106,568 | $698,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 37,318 | $697,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 44,205 | $696,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 73,608 | $695,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 19,879 | $693,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 8,571 | $692,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 51,700 | $691,000 | thousands by filing date | put |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 24,684 | $690,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 16,035 | $688,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 50,547 | $686,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 8,495 | $686,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 45,042 | $683,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 47,278 | $682,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 40,333 | $681,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 12,525 | $680,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 27,812 | $678,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 107,614 | $678,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 24,466 | $676,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 29,497 | $676,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 51,495 | $675,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 7,173 | $675,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 114,698 | $674,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 152,131 | $674,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 5,000 | $672,000 | thousands by filing date | put |
| SHILOH INDUSTRIES INC | 824543102 | COM | 97,099 | $671,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 48,251 | $669,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 30,900 | $669,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 40,236 | $668,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 15,240 | $668,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 82,827 | $667,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 71,489 | $667,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 93,757 | $664,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 12,646 | $661,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 655,000 | $660,000 | thousands by filing date | principal |
| WORKIVA INC COM CL A | 98139A105 | Stock | 48,171 | $657,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 20,451 | $656,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 415,249 | $656,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 100,000 | $655,000 | thousands by filing date | put |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 5,700 | $654,000 | thousands by filing date | call |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 4,134 | $654,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 14,933 | $653,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 58,905 | $650,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 91,708 | $648,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 41,427 | $648,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 28,861 | $647,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 106,442 | $645,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 137,197 | $642,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 62,181 | $640,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 53,821 | $639,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 79,465 | $639,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 19,045 | $638,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 40,888 | $636,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 410,201 | $636,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 12,522 | $635,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 28,364 | $635,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 25,887 | $635,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 12,600 | $634,000 | thousands by filing date | call |
| FS KKR CAPITAL CORP | 302635107 | COM | 61,444 | $633,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 35,106 | $631,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 19,500 | $630,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 11,800 | $630,000 | thousands by filing date | call |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 24,721 | $630,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 152,834 | $628,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 63,811 | $627,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 59,838 | $627,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 11,729 | $627,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 144,318 | $625,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 55,185 | $623,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 70,789 | $620,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 22,067 | $620,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 21,000 | $619,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 12,683 | $619,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 7,736 | $616,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 26,396 | $616,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 5,333 | $615,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 43,853 | $614,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 20,000 | $614,000 | thousands by filing date | call |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 49,069 | $614,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 81,282 | $613,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 20,426 | $613,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 3,653 | $612,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 5,100 | $612,000 | thousands by filing date | call |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 31,646 | $612,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 11,492 | $610,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 53,796 | $609,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 14,715 | $608,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 70,703 | $608,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 56,235 | $606,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 10,000 | $604,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 57,082 | $604,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 37,087 | $603,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 35,334 | $600,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 9,869 | $598,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 5,794 | $598,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 43,974 | $598,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 21,115 | $598,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 25,019 | $598,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 18,500 | $597,000 | thousands by filing date | put |
| TIER REIT COM | 88650V208 | COM NEW | 34,325 | $597,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 38,945 | $597,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 40,531 | $597,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 637,000 | $597,000 | thousands by filing date | principal |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 91,608 | $596,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 9,000 | $595,000 | thousands by filing date | put |
| WHITESTONE REIT | 966084204 | COM | 41,417 | $595,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 13,483 | $595,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 73,947 | $595,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 26,155 | $595,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 43,803 | $595,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 7,900 | $594,000 | thousands by filing date | call |
| CENTURY CASINOS INC | 156492100 | COM | 72,069 | $593,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 126,102 | $592,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 36,121 | $591,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 30,359 | $590,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 49,000 | $589,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 21,779 | $587,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 23,200 | $586,000 | thousands by filing date | put |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 19,083 | $580,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 81,680 | $580,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 180,000 | $580,000 | thousands by filing date | put |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 23,841 | $580,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 7,400 | $579,000 | thousands by filing date | put |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 44,771 | $579,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 6,496 | $577,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 11,784 | $577,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 14,050 | $577,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 108,630 | $576,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 36,065 | $576,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 46,280 | $570,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 586,000 | $570,000 | thousands by filing date | principal |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 7,791 | $569,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 14,541 | $569,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 17,976 | $568,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 43,207 | $567,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 27,978 | $567,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 4,696 | $566,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 8,400 | $564,000 | thousands by filing date | call |
| KMG CHEMICALS INC | 482564101 | COM | 14,464 | $563,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 33,124 | $560,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 11,569 | $559,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 7,984 | $558,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 29,828 | $558,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 98,526 | $556,000 | thousands by filing date | |
| GUGGENHEIM S&P 100 EQUAL WEIGHT ETF | 78355W478 | ETF | 20,000 | $556,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 23,648 | $555,000 | thousands by filing date | |
| MTGE INVT CORP COM | 55378A105 | REIT | 35,263 | $554,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 21,013 | $554,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 51,802 | $552,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 322,636 | $552,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 37,968 | $551,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 40,095 | $550,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 42,406 | $550,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 37,787 | $544,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 45,794 | $544,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 24,962 | $543,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 10,833 | $541,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 50,000 | $541,000 | thousands by filing date | call |
| CENTERSTATE BK CORP | 15201P109 | COM | 21,396 | $539,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 21,456 | $539,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 68,739 | $538,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 105,103 | $538,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 29,184 | $537,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 89,449 | $535,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 59,324 | $532,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 12,820 | $531,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 20,553 | $531,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 30,101 | $528,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 16,577 | $527,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 35,347 | $525,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 100,000 | $525,000 | thousands by filing date | put |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 6,090 | $524,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 22,803 | $523,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 371,028 | $523,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 43,160 | $522,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 52,247 | $522,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 24,541 | $522,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 8,469 | $518,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 44,293 | $518,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 12,394 | $517,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 16,936 | $516,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 6,832 | $515,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 14,363 | $514,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 55,542 | $514,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 45,216 | $513,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 34,628 | $513,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 43,490 | $513,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 48,569 | $511,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 35,291 | $511,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 45,817 | $511,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 88,477 | $511,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 14,595 | $510,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 13,400 | $510,000 | thousands by filing date | put |
| LIMONEIRA CO | 532746104 | COM | 23,613 | $508,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 60,000 | $508,000 | thousands by filing date | call |
| Biglari Holdings | 08986r101 | COM | 1,071 | $507,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 26,130 | $506,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 3,746 | $506,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 27,351 | $504,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 27,206 | $503,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 32,103 | $501,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 14,265 | $501,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 49,706 | $501,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 17,228 | $500,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 20,237 | $499,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 37,521 | $499,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 43,166 | $496,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 9,936 | $496,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 39,426 | $496,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 22,359 | $495,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 10,400 | $495,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 12,539 | $494,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 31,855 | $493,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 18,148 | $493,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 25,362 | $493,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 48,171 | $492,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 47,758 | $492,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 8,785 | $491,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 20,309 | $491,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 15,564 | $490,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 6,662 | $490,000 | thousands by filing date | |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 16,429 | $489,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 55,586 | $488,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 129,793 | $488,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 26,858 | $487,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 13,545 | $487,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 19,100 | $487,000 | thousands by filing date | put |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 34,694 | $486,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 4,562 | $485,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 10,813 | $485,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 134,709 | $483,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 45,436 | $482,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 44,378 | $482,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 42,648 | $477,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 7,646 | $477,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 14,028 | $477,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 50,993 | $476,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 14,000 | $474,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 8,212 | $472,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 23,054 | $471,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 32,510 | $471,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 38,815 | $469,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 9,734 | $469,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 117,429 | $468,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 14,398 | $465,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 30,032 | $465,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 25,377 | $465,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 16,600 | $465,000 | thousands by filing date | put |
| BLACKROCK MUN BD TR | 09249H104 | COM | 30,428 | $464,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 29,999 | $463,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 47,475 | $462,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 8,570 | $462,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 110,461 | $462,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 7,610 | $462,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 83,511 | $462,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 911 | $462,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 42,769 | $462,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 29,396 | $461,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 15,000 | $461,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 383,200 | $460,000 | thousands by filing date | call |
| PPL CORP COM | 69351T106 | Stock | 13,500 | $459,000 | thousands by filing date | put |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 13,201 | $459,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 15,147 | $459,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 80,660 | $459,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 65,394 | $459,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 53,459 | $456,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 41,136 | $456,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 68,622 | $455,000 | thousands by filing date | |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 494,000 | $455,000 | thousands by filing date | principal |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 22,667 | $453,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 335,675 | $453,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 69,586 | $452,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 11,304 | $451,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 38,233 | $451,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 54,241 | $449,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 58,136 | $448,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 172,361 | $448,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 37,100 | $447,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 96,338 | $447,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 51,898 | $445,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 36,183 | $445,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 17,159 | $445,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 386,250 | $444,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 20,580 | $444,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 34,971 | $443,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 19,716 | $441,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 8,890 | $441,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 15,389 | $440,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 124,268 | $440,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 49,842 | $440,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 31,605 | $439,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 198,423 | $438,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 11,853 | $437,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 21,500 | $436,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 34,685 | $436,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 111,857 | $436,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 102,474 | $436,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 49,883 | $434,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 53,105 | $434,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 79,271 | $434,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 15,000 | $433,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807108 | COM | 4,100 | $433,000 | thousands by filing date | call |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 22,414 | $432,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 16,767 | $432,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 33,248 | $431,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 45,819 | $431,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 106,354 | $431,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,600 | $430,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 12,466 | $430,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 32,832 | $430,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 24,142 | $429,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 59,699 | $428,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 26,806 | $428,000 | thousands by filing date | |
| WESTPAC BKG CORP NOTE | 961214DF7 | NOTE 4.322%11/2 | 427,000 | $428,000 | thousands by filing date | principal |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 5,872 | $427,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 37,213 | $424,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 31,303 | $423,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 29,290 | $423,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 5,750 | $423,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 27,270 | $423,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 31,039 | $422,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 12,460 | $422,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 26,363 | $420,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 50,900 | $420,000 | thousands by filing date | call |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 397,000 | $419,000 | thousands by filing date | principal |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 25,763 | $419,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 89,685 | $419,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 10,972 | $418,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 14,523 | $417,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 19,218 | $417,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 101,635 | $417,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 35,549 | $416,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 161,062 | $416,000 | thousands by filing date | |
| SOCIETE GENERALE | F849BQAA2 | DEBT 8.250%12/3 | 400,000 | $416,000 | thousands by filing date | principal |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 17,715 | $415,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 48,934 | $415,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 152,655 | $415,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 423,000 | $415,000 | thousands by filing date | principal |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 52,611 | $414,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 7,773 | $414,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 29,159 | $414,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 35,238 | $414,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 33,785 | $414,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 17,222 | $414,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 24,479 | $413,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 12,634 | $412,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 4,000 | $411,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 14,022 | $411,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 30,598 | $411,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 14,269 | $410,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2,900 | $409,000 | thousands by filing date | put |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 2,500 | $409,000 | thousands by filing date | call |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 8,481 | $407,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 90,000 | $407,000 | thousands by filing date | put |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 30,916 | $407,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 9,190 | $407,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 16,574 | $406,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 18,533 | $406,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 8,109 | $405,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 11,564 | $403,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 5,387 | $403,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164AB0 | NOTE 2.750%12/0 | 1,460,000 | $402,000 | thousands by filing date | principal |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 8,140 | $400,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 11,910 | $400,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 30,278 | $400,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 16,493 | $399,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 70,940 | $399,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 16,458 | $397,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 55,225 | $396,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 49,741 | $396,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 16,871 | $395,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 28,364 | $395,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 8,317 | $394,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 46,821 | $394,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 12,319 | $393,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 30,095 | $393,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 29,864 | $392,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 134,833 | $392,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 9,885 | $391,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 8,124 | $390,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 47,171 | $390,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 18,049 | $390,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 8,171 | $390,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 29,392 | $387,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 14,945 | $387,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 36,980 | $386,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 18,642 | $386,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 57,996 | $383,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 20,237 | $382,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 6,647 | $381,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 17,965 | $381,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 17,075 | $381,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 35,578 | $380,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 7,537 | $380,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 20,265 | $380,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 167,464 | $380,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 25,211 | $379,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 47,548 | $378,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 24,756 | $378,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 86,303 | $377,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 36,186 | $376,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAB1 | PRFD 6.625%12/3 | 400,167 | $375,000 | thousands by filing date | principal |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 45,914 | $374,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 29,294 | $374,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 37,595 | $373,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-007005 | this filing | 2017-02-14 | acceptance time not in the bulk data set |