13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-15, with 7,083 holding rows worth $501,823,794,000.
- Accession
- 0001140361-17-020524
- Filer
- CIK 70858
- Filed
- 2017-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 17,722 entries on the cover page, a total value of $501,823,794,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $501,823,794,000 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 |
|---|---|---|---|---|---|---|
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 8,062 | $399,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 23,399 | $399,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAB1 | PRFD 6.625%12/3 | 400,167 | $399,000 | thousands by filing date | principal |
| DHI GROUP INC | 23331S100 | COM | 100,639 | $398,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 126,276 | $398,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 36,654 | $398,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 39,800 | $398,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 19,766 | $397,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 29,899 | $396,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 26,601 | $396,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 7,890 | $395,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 22,407 | $395,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 6,695 | $395,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 29,847 | $394,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 35,355 | $393,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 49,487 | $393,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 21,034 | $391,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 25,846 | $391,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 28,256 | $391,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 40,953 | $391,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 18,054 | $391,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 94,960 | $390,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 7,463 | $390,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 46,452 | $390,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 129,643 | $390,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 7,334 | $390,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 18,308 | $387,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 16,199 | $387,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 52,889 | $387,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 30,897 | $387,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 15,842 | $386,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 375,000 | $385,000 | thousands by filing date | principal |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 7,741 | $383,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 75,341 | $380,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 28,741 | $378,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 4,379 | $377,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 5,600 | $376,000 | thousands by filing date | put |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 14,676 | $376,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 12,199 | $376,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 39,021 | $373,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 30,267 | $373,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 83,907 | $371,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 19,368 | $371,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 13,973 | $370,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 9,858 | $369,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X160 | S&P INTL DIVID | 8,527 | $369,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 15,200 | $368,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 8,700 | $367,000 | thousands by filing date | call |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 110,277 | $365,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 22,045 | $364,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 22,772 | $362,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 16,500 | $361,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 225,314 | $361,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 3,589 | $359,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 13,000 | $356,000 | thousands by filing date | call |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 11,000 | $356,000 | thousands by filing date | put |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 60,000 | $356,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 21,277 | $356,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 7,694 | $355,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 15,693 | $354,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 69,765 | $354,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 29,296 | $354,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 35,158 | $352,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 4,634 | $352,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 13,753 | $351,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 16,079 | $351,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 6,566 | $351,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 93,448 | $350,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 57,685 | $349,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 31,397 | $349,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 50,423 | $348,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 26,256 | $348,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 16,458 | $347,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 22,614 | $347,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 13,116 | $346,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 70,240 | $345,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 25,000 | $344,000 | thousands by filing date | call |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 49,374 | $344,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 8,176 | $344,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 9,300 | $344,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 31,166 | $343,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 24,269 | $342,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 340,000 | $341,000 | thousands by filing date | principal |
| TALEND S A | 874224207 | ADS | 11,369 | $339,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 35,100 | $338,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 12,677 | $338,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 55,018 | $338,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 21,814 | $338,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 23,859 | $337,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 19,658 | $335,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 373,000 | $334,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 10,526 | $333,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 4,254 | $330,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 9,400 | $328,000 | thousands by filing date | call |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 4,563 | $327,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 40,679 | $326,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 143,544 | $326,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 96,155 | $326,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 166,927 | $326,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 8,090 | $324,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 9,129 | $323,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 12,321 | $323,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 19,842 | $323,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 5,580 | $321,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 25,289 | $321,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 59,002 | $320,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 4,490 | $318,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 90,400 | $317,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 9,137 | $317,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 32,753 | $317,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 14,512 | $316,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 9,417 | $316,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 42,213 | $316,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAA3 | NOTE 8.250%12/3 | 300,000 | $315,000 | thousands by filing date | principal |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 25,570 | $315,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 29,769 | $314,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 7,701 | $311,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 28,811 | $311,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 25,728 | $310,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 27,100 | $308,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 22,770 | $308,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 26,213 | $307,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 39,458 | $307,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 14,652 | $306,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 12,714 | $306,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 37,531 | $305,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 19,642 | $305,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 28,906 | $305,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 17,606 | $304,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 7,490 | $304,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 108,147 | $304,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 321,000 | $301,000 | thousands by filing date | principal |
| CAPITALA FIN CORP | 14054R106 | COM | 20,869 | $300,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 32,246 | $300,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 7,382 | $299,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 6,884 | $299,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 78,356 | $299,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 16,209 | $298,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 684 | $296,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 71 | $296,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 9,435 | $296,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,000 | $295,000 | thousands by filing date | call |
| MIMECAST LIMITED | G14838109 | ORD SHS | 13,111 | $294,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 5,463 | $293,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 46,484 | $292,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 42,484 | $292,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 5,038 | $291,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 22,133 | $290,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 7,667 | $289,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 15,000 | $289,000 | thousands by filing date | put |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 15,000 | $289,000 | thousands by filing date | call |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 8,210 | $287,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 34,534 | $287,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 10,165 | $286,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 43,277 | $286,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 36,347 | $286,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 294,000 | $286,000 | thousands by filing date | principal |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,000 | $285,000 | thousands by filing date | put |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 15,340 | $285,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 11,419 | $284,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 42,897 | $283,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 5,653 | $283,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 32,000 | $282,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 115,163 | $282,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 11,700 | $281,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 11,700 | $281,000 | thousands by filing date | call |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 18,440 | $281,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 5,974 | $280,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 16,886 | $280,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 26,262 | $280,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 35,290 | $279,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 57,132 | $278,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 19,692 | $277,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 67,458 | $276,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 6,536 | $275,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 31,643 | $274,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 62,960 | $274,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 131,604 | $273,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 17,832 | $272,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,884 | $272,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 9,289 | $272,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 3,235 | $272,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 20,580 | $272,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 13,200 | $270,000 | thousands by filing date | call |
| SERES THERAPEUTICS INC | 81750R102 | COM | 23,948 | $270,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 141,768 | $269,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 158,432 | $269,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 6,400 | $268,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 5,197 | $268,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 32,523 | $266,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 35,524 | $266,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 12,831 | $265,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 17,612 | $264,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 2,777 | $264,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 13,153 | $264,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 7,141 | $263,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 9,000 | $262,000 | thousands by filing date | call |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 14,090 | $262,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 8,639 | $261,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 11,402 | $261,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 50,262 | $260,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 8,477 | $260,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 99,911 | $260,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 11,929 | $259,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 10,350 | $259,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 30,500 | $259,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 16,170 | $258,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 39,176 | $257,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 12,500 | $256,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 57,875 | $256,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 7,071 | $256,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 20,398 | $256,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 16,865 | $254,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 7,633 | $254,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 17,059 | $253,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 9,899 | $253,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 25,877 | $253,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 30,317 | $252,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 17,840 | $251,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 6,505 | $251,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 14,561 | $250,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 5,027 | $249,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 42,018 | $249,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 13,520 | $248,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 27,594 | $248,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 19,800 | $248,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 7,631 | $248,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 10,000 | $246,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 19,484 | $246,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 9,853 | $246,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 10,210 | $245,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,515 | $245,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 17,628 | $244,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 21,423 | $242,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 17,385 | $242,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 34,977 | $240,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 32,540 | $240,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 2,346 | $240,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 28,585 | $239,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 36,557 | $239,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 8,944 | $238,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 6,955 | $236,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 22,311 | $235,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 14,737 | $234,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 16,891 | $234,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 7,280 | $233,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,400 | $233,000 | thousands by filing date | call |
| NEOPHOTONICS CORP | 64051T100 | COM | 25,981 | $233,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 4,960 | $233,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 179,816 | $233,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 16,523 | $232,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 20,308 | $231,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 16,400 | $231,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 5,027 | $230,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 39,981 | $229,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 6,279 | $229,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 21,696 | $228,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 20,000 | $228,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 14,519 | $227,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 11,404 | $227,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 3,404 | $226,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 21,153 | $225,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 23,703 | $224,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 17,311 | $224,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 8,311 | $224,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 15,765 | $224,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 14,998 | $223,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 28,594 | $223,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,001 | $222,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 21,915 | $222,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 17,540 | $220,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 9,355 | $220,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 119,316 | $219,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 33,707 | $218,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 5,158 | $218,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 5,634 | $218,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 5,039 | $217,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 19,601 | $217,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 1,359 | $215,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 6,132 | $214,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 11,093 | $214,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 9,373 | $212,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 21,331 | $212,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 15,837 | $211,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 19,461 | $211,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 5,416 | $211,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 25,418 | $210,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 25,029 | $210,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 20,426 | $210,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 19,937 | $210,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 3,500 | $209,000 | thousands by filing date | call |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 43,016 | $209,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 14,022 | $208,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 4,400 | $208,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 17,867 | $208,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 34,900 | $207,000 | thousands by filing date | put |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 6,198 | $206,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 13,200 | $206,000 | thousands by filing date | put |
| TCW CONV SECS FD INC | 872340104 | COM | 38,237 | $206,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 8,133 | $206,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 10,900 | $206,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 15,770 | $206,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 8,373 | $205,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 42,816 | $205,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 4,630 | $203,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 47,293 | $203,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 16,821 | $203,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 11,479 | $203,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 79,758 | $203,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 9,482 | $203,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 28,767 | $201,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 40,693 | $201,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 13,870 | $201,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 7,584 | $201,000 | thousands by filing date | |
| JANUS VELOCITY TAIL RISK HEDGED LARGE CAP ETF | 47103U704 | ETF | 6,877 | $201,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 10,378 | $200,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 6,180 | $200,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 13,850 | $200,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 13,106 | $199,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 5,351 | $199,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 15,196 | $199,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 41,364 | $199,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 6,529 | $198,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 7,500 | $198,000 | thousands by filing date | call |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 10,529 | $197,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 11,862 | $196,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 18,829 | $195,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 15,000 | $194,000 | thousands by filing date | call |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 4,803 | $194,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 13,348 | $193,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 6,640 | $193,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 3,535 | $193,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 4,148 | $192,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 11,486 | $192,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 7,644 | $192,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 7,584 | $192,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 16,245 | $191,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 312,126 | $191,000 | thousands by filing date | principal |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 21,976 | $191,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A110 | *W EXP 10/11/202 | 29,439 | $191,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 11,000 | $190,000 | thousands by filing date | put |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 9,600 | $190,000 | thousands by filing date | call |
| Proshares Short S&P | 74347B425 | COM | 5,498 | $190,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 11,211 | $190,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 18,746 | $190,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 5,153 | $188,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 15,286 | $188,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 28,256 | $188,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 14,809 | $188,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 2,112 | $187,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 12,670 | $187,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 6,733 | $186,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 7,430 | $186,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 6,141 | $185,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 8,333 | $185,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 6,937 | $185,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 3,070 | $185,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 12,599 | $185,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 18,844 | $184,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 10,014 | $184,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 10,219 | $183,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 4,038 | $183,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 7,250 | $183,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 6,285 | $182,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 25,124 | $182,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 34,081 | $181,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 6,965 | $180,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 10,000 | $180,000 | thousands by filing date | call |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 6,740 | $179,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 2,506 | $179,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 34,464 | $179,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 6,414 | $178,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 7,573 | $178,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 22,821 | $177,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 40,154 | $176,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 17,566 | $175,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 26,590 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 12,017 | $174,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 19,162 | $174,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 1,500 | $173,000 | thousands by filing date | call |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 5,000 | $173,000 | thousands by filing date | put |
| NV5 HOLDINGS, INC | 62945V109 | COM | 4,590 | $173,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 5,070 | $173,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 2,755 | $173,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 57,000 | $173,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 5,436 | $171,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 27,985 | $170,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 4,629 | $170,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 32,625 | $169,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 25,012 | $169,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 15,761 | $168,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 6,889 | $168,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 18,684 | $167,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 5,640 | $167,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 124,000 | $167,000 | thousands by filing date | principal |
| CHINA CORD BLOOD CORP | G21107100 | COM | 25,000 | $167,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 12,312 | $167,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 47,708 | $167,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 13,429 | $167,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 95,850 | $166,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 8,359 | $165,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,000 | $165,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 14,076 | $164,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 3,254 | $164,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 11,671 | $164,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,000 | $163,000 | thousands by filing date | call |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 162,905 | $163,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,571 | $162,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 7,041 | $161,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 22,306 | $161,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 3,816 | $160,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 19,600 | $160,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 14,982 | $160,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 3,967 | $159,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 39,786 | $159,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 336,193 | $158,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 18,536 | $158,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 13,785 | $157,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 26,580 | $157,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 9,656 | $157,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 5,994 | $157,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 9,660 | $157,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 12,089 | $157,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 23,382 | $156,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 13,594 | $156,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 3,550 | $156,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 12,972 | $155,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 3,127 | $155,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 21,500 | $155,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 7,636 | $155,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 37,528 | $155,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 48,447 | $154,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 9,507 | $154,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 5,665 | $153,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 7,444 | $153,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 10,258 | $153,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT | 891160MJ9 | NOTE 3.625% 9/1 | 156,000 | $153,000 | thousands by filing date | principal |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 3,194 | $152,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 36,038 | $152,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 11,648 | $152,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 7,247 | $151,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 2,817 | $151,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 5,345 | $150,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 8,393 | $150,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 16,979 | $149,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 13,798 | $149,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 65,403 | $148,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 57,958 | $148,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 7,190 | $148,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 8,294 | $148,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 8,459 | $148,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 6,092 | $148,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 9,832 | $148,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 6,677 | $147,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 5,004 | $146,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 2,284 | $146,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 11,065 | $146,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 7,372 | $146,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 16,708 | $145,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 3,198 | $145,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 27,010 | $145,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B365 | S&P SMLCP HIG VO | 5,763 | $145,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 2,400 | $144,000 | thousands by filing date | put |
| SEASPAN CORP | Y75638109 | SHS | 20,822 | $144,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 72,699 | $144,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 17,110 | $144,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 1,350 | $143,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 2,189 | $143,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 7,342 | $143,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 12,770 | $142,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 1,673 | $142,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 2,921 | $142,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 3,756 | $141,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 96,379 | $141,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 3,561 | $141,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 3,844 | $141,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 867 | $141,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 280,029 | $140,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 46,368 | $140,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 42,366 | $140,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 2,228 | $139,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 29,558 | $139,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 44,960 | $139,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 10,400 | $139,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 18,318 | $138,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 7,050 | $138,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 2,900 | $137,000 | thousands by filing date | call |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 5,239 | $137,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 2,489 | $137,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 10,250 | $137,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 11,595 | $136,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,913 | $136,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 4,750 | $136,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 3,524 | $136,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 8,000 | $135,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 5,144 | $135,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 8,101 | $134,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 10,612 | $134,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,650 | $134,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 66,918 | $134,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-020524 | this filing | 2017-05-15 | acceptance time not in the bulk data set |