13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-14, with 7,055 holding rows worth $502,995,362,000.
- Accession
- 0001140361-17-031754
- Filer
- CIK 70858
- Filed
- 2017-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 19,612 entries on the cover page, a total value of $502,995,362,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $502,995,362,000 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 |
|---|---|---|---|---|---|---|
| NEWMONT CORP | 651639106 | COM | 27,900 | $904,000 | thousands by filing date | call |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 120,202 | $903,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 18,339 | $902,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 48,443 | $902,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 8,898 | $902,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 25,062 | $902,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 17,273 | $901,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 16,902 | $899,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 12,822 | $899,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 36,629 | $897,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 16,400 | $894,000 | thousands by filing date | call |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 48,818 | $889,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 46,493 | $886,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 22,771 | $886,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 29,100 | $884,000 | thousands by filing date | put |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 89,647 | $884,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 23,324 | $882,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 22,270 | $881,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 49,737 | $880,000 | thousands by filing date | |
| UNISYS CORP | 909214BS6 | NOTE 5.500% 3/0 | 575,000 | $877,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 48,035 | $875,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 47,600 | $873,000 | thousands by filing date | call |
| MTGE INVT CORP COM | 55378A105 | REIT | 46,451 | $873,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 10,846 | $872,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 31,806 | $871,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 24,110 | $871,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 56,654 | $870,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 26,872 | $870,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 16,585 | $868,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 29,900 | $868,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 27,018 | $865,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 55,097 | $862,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 66,685 | $861,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 119,519 | $861,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 20,206 | $861,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 67,789 | $860,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 24,896 | $850,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 88,636 | $850,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 13,831 | $850,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 92,214 | $847,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 70,000 | $844,000 | thousands by filing date | put |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 70,000 | $844,000 | thousands by filing date | call |
| NATERA INC COM | 632307104 | Stock | 77,630 | $844,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 21,557 | $844,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 59,571 | $843,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 49,121 | $843,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 76,596 | $842,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 38,900 | $841,000 | thousands by filing date | put |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 32,301 | $841,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 67,071 | $840,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 42,197 | $840,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 85,983 | $840,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 16,000 | $837,000 | thousands by filing date | call |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 82,758 | $837,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 34,611 | $836,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 14,981 | $835,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 30,896 | $835,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 34,579 | $834,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 33,800 | $829,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 178,952 | $829,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 21,558 | $828,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 47,600 | $823,000 | thousands by filing date | call |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 48,624 | $821,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 20,961 | $818,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 74,293 | $817,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 82,203 | $813,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 877,904 | $813,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 689,000 | $813,000 | thousands by filing date | principal |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 50,054 | $812,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 71,282 | $810,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 102,274 | $810,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 48,081 | $808,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 37,238 | $808,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 44,605 | $807,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 21,351 | $806,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 113,709 | $805,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 36,800 | $805,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 53,922 | $804,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 7,275 | $804,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 72,643 | $804,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 122,200 | $803,000 | thousands by filing date | put |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 23,266 | $802,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 57,098 | $802,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 129,108 | $801,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 28,650 | $800,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 26,444 | $799,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 543 | $798,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 38,656 | $798,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 26,764 | $797,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 49,014 | $796,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 41,540 | $796,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 114,800 | $793,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 57,767 | $792,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 58,895 | $792,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 20,000 | $790,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 12,600 | $789,000 | thousands by filing date | call |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 90,133 | $789,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 10,000 | $786,000 | thousands by filing date | call |
| EP ENERGY CORP | 268785102 | CL A | 214,740 | $786,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 47,047 | $785,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 25,185 | $784,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 64,291 | $782,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 90,326 | $781,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 66,123 | $775,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 26,629 | $773,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 682,000 | $773,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 10,037 | $770,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 20,239 | $768,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 15,414 | $766,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 74,428 | $765,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 21,071 | $765,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 9,922 | $763,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 6,288 | $762,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 11,722 | $760,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 18,223 | $759,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 75,311 | $756,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 52,107 | $755,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 50,000 | $755,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 11,800 | $754,000 | thousands by filing date | call |
| M B T FINANCIAL CORP | 578877102 | Stock | 77,709 | $754,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 59,850 | $753,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 69,422 | $753,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 51,244 | $751,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 34,473 | $750,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 20,818 | $749,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 40,420 | $748,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 69,060 | $746,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 8,803 | $746,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 15,809 | $742,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 67,820 | $742,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 121,851 | $741,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 38,395 | $739,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 70,453 | $737,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 39,872 | $736,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 45,000 | $736,000 | thousands by filing date | put |
| WESTERN DIGITAL CORP | 958102105 | COM | 8,300 | $735,000 | thousands by filing date | call |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 22,814 | $735,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 46,182 | $734,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 21,864 | $733,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 199,542 | $732,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 50,000 | $732,000 | thousands by filing date | put |
| VONAGE HLDGS CORP | 92886T201 | COM | 112,000 | $732,000 | thousands by filing date | put |
| TICC CAPITAL CORP | 87244T109 | COM | 115,496 | $732,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 74,814 | $731,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 24,700 | $729,000 | thousands by filing date | call |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 49,810 | $727,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 55,041 | $725,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 26,000 | $725,000 | thousands by filing date | call |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 85,707 | $724,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 54,568 | $723,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 41,141 | $722,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 148,895 | $722,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 63,800 | $722,000 | thousands by filing date | call |
| NETAPP INC COM | 64110D104 | Stock | 18,000 | $721,000 | thousands by filing date | put |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 77,626 | $720,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 88,400 | $720,000 | thousands by filing date | call |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 52,561 | $720,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 90,736 | $720,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 100,000 | $718,000 | thousands by filing date | put |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 74,534 | $716,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 40,037 | $716,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 20,529 | $715,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 92,399 | $715,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 54,556 | $715,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 18,500 | $713,000 | thousands by filing date | put |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 34,134 | $711,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 46,262 | $710,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 33,006 | $708,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 40,003 | $706,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 5,700 | $704,000 | thousands by filing date | put |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 645,000 | $703,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 6,090 | $702,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 45,588 | $702,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 61,100 | $701,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 112,530 | $700,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 46,943 | $700,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 24,879 | $700,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 56,937 | $699,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 9,500 | $698,000 | thousands by filing date | put |
| PENNEY J C INC | 708160106 | COM | 150,000 | $698,000 | thousands by filing date | call |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 43,147 | $696,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 8,368 | $692,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 49,639 | $692,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 28,280 | $689,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 95,212 | $688,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 39,182 | $687,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 213,478 | $685,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 71,078 | $685,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 11,160 | $683,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 648,000 | $682,000 | thousands by filing date | principal |
| WEIS MKTS INC COM | 948849104 | Stock | 13,971 | $681,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 412,018 | $681,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 20,113 | $681,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 76,230 | $681,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 40,000 | $680,000 | thousands by filing date | call |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 39,671 | $680,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 94,432 | $679,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 1,881,477 | $679,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 28,497 | $679,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 50,514 | $678,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 8,913 | $678,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 74,078 | $677,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 58,000 | $676,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 37,308 | $676,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 5,000 | $675,000 | thousands by filing date | put |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 16,570 | $675,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 31,212 | $675,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 27,850 | $674,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 75,174 | $674,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 18,513 | $671,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 27,503 | $671,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 38,896 | $670,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 37,284 | $670,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 66,120 | $668,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 921,000 | $668,000 | thousands by filing date | principal |
| CORVEL CORP COM | 221006109 | Stock | 14,022 | $665,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 14,352 | $665,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 10,904 | $664,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 8,864 | $663,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 55,687 | $662,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 64,268 | $662,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 55,000 | $662,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 109,996 | $660,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 5,200 | $659,000 | thousands by filing date | call |
| Biglari Holdings | 08986r101 | COM | 1,646 | $658,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 35,485 | $658,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 21,535 | $657,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 35,594 | $655,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 58,642 | $652,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 38,086 | $651,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 54,951 | $649,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 18,097 | $648,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 25,814 | $648,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 30,000 | $646,000 | thousands by filing date | call |
| Wilshire US REIT ETF | 18383M472 | ETF | 13,728 | $646,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 67,075 | $645,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 56,322 | $645,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 43,950 | $644,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 17,600 | $644,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 27,100 | $643,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 17,784 | $641,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 297,182 | $639,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 66,100 | $638,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 16,072 | $637,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 49,508 | $636,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 498,000 | $636,000 | thousands by filing date | principal |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 11,726 | $635,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 12,610 | $633,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 21,700 | $632,000 | thousands by filing date | put |
| GNC HLDGS INC | 36191G107 | COM CL A | 75,000 | $632,000 | thousands by filing date | put |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 11,083 | $631,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 44,027 | $631,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 43,810 | $630,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 44,571 | $629,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 18,540 | $629,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 25,096 | $629,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 27,000 | $629,000 | thousands by filing date | call |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 51,388 | $628,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 133,617 | $628,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 14,748 | $627,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 62,143 | $626,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 39,639 | $623,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 141,453 | $622,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 13,500 | $621,000 | thousands by filing date | put |
| CSW INDUSTRIALS INC | 126402106 | COM | 16,049 | $621,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 33,200 | $621,000 | thousands by filing date | put |
| PHH CORP | 693320202 | COM NEW | 45,133 | $621,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 18,932 | $620,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 32,700 | $619,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 51,521 | $618,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 20,590 | $617,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 31,454 | $617,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 60,900 | $616,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 6,621 | $615,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 163,771 | $614,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 34,302 | $613,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 25,176 | $613,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 75,000 | $610,000 | thousands by filing date | put |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 56,271 | $610,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 7,826 | $610,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 34,799 | $610,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 22,354 | $610,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 34,007 | $609,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 7,130 | $609,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 27,991 | $608,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 36,511 | $607,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 21,570 | $604,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 87,916 | $602,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 23,811 | $601,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 36,657 | $600,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 534,000 | $599,000 | thousands by filing date | principal |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 121,491 | $598,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 58,561 | $597,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 153,800 | $595,000 | thousands by filing date | call |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 43,404 | $595,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 64,146 | $594,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 13,445 | $593,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 601,000 | $593,000 | thousands by filing date | principal |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 80,153 | $591,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 55,599 | $591,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 68,790 | $589,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 20,172 | $586,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 58,986 | $583,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 31,200 | $583,000 | thousands by filing date | call |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 108,116 | $583,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 24,024 | $582,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 117,316 | $579,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 12,499 | $577,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 22,106 | $575,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 235,808 | $574,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 42,876 | $574,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 43,050 | $573,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 74,758 | $572,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 22,247 | $570,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 35,273 | $570,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 10,207 | $569,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 16,205 | $568,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 34,055 | $568,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 17,242 | $567,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 72,852 | $567,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 35,890 | $564,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 13,522 | $564,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 42,802 | $564,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 37,533 | $564,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 11,404 | $563,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 145,190 | $562,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 4,400 | $560,000 | thousands by filing date | call |
| REV Group Inc | 749527107 | Common Stock | 20,173 | $559,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 67,038 | $557,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 116,874 | $555,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 16,063 | $555,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 13,400 | $554,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L852 | COM | 13,778 | $553,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 31,863 | $552,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 100,000 | $551,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 34,876 | $549,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 32,999 | $549,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 59,591 | $547,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 9,838 | $546,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 28,496 | $546,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 20,339 | $545,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 11,084 | $545,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 22,909 | $542,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 39,591 | $541,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 30,280 | $541,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 104,585 | $540,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 13,000 | $539,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 200,000 | $538,000 | thousands by filing date | put |
| OCWEN FINL CORP | 675746309 | COM NEW | 200,000 | $538,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 60,471 | $538,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 35,057 | $537,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 124,570 | $536,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 10,000 | $534,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 45,170 | $534,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 9,500 | $534,000 | thousands by filing date | call |
| LORAL SPACE & COM INC | 543881106 | COM | 12,859 | $534,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 4,996 | $533,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 19,794 | $532,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 10,803 | $531,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 158,578 | $528,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 13,129 | $527,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 30,000 | $527,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 67,141 | $524,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 72,940 | $524,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 131,380 | $524,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 22,153 | $523,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 9,587 | $523,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 34,074 | $523,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 6,000 | $521,000 | thousands by filing date | put |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 42,895 | $520,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 52,638 | $519,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 10,141 | $518,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 17,135 | $518,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 33,266 | $518,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 12,811 | $518,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 31,039 | $516,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 10,420 | $515,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 27,000 | $514,000 | thousands by filing date | put |
| TRUBRIDGE INC | 205306103 | COM | 15,682 | $514,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 6,761 | $513,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 17,390 | $512,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 69,365 | $511,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 7,872 | $509,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 16,900 | $508,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 27,479 | $506,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 10,500 | $503,000 | thousands by filing date | put |
| MERCADOLIBREINC | 58733R102 | STOK | 2,000 | $502,000 | thousands by filing date | call |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 12,545 | $502,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 22,772 | $501,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 33,373 | $500,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 3,095 | $500,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 16,974 | $500,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 67,062 | $499,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 47,300 | $498,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 31,864 | $496,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 60,000 | $494,000 | thousands by filing date | call |
| FTD COS INC | 30281V108 | COM | 24,744 | $494,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 6,002 | $493,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 95,090 | $493,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 32,254 | $492,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 39,608 | $492,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 78,708 | $491,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 110,245 | $490,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 68,739 | $487,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 25,088 | $486,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 29,762 | $484,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 41,301 | $483,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 56,628 | $482,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 8,400 | $481,000 | thousands by filing date | call |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 17,390 | $481,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 122,700 | $480,000 | thousands by filing date | call |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 27,946 | $479,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 19,432 | $479,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 55,758 | $477,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 38,510 | $472,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 731 | $471,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,000 | $469,000 | thousands by filing date | call |
| Enzo Biochem Inc | 294100102 | Common Stock | 42,525 | $469,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 22,667 | $468,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 127,511 | $468,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 29,865 | $468,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 7,786 | $466,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 181,000 | $466,000 | thousands by filing date | principal |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 24,956 | $466,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 57,789 | $466,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 55,000 | $464,000 | thousands by filing date | call |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 17,117 | $464,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 36,121 | $463,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 20,098 | $463,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 30,702 | $463,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 77,028 | $461,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 25,619 | $461,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 112,900 | $460,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 100,668 | $460,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 39,291 | $460,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 12,500 | $458,000 | thousands by filing date | put |
| LOGITECH INTL S A SHS | H50430232 | Stock | 12,500 | $458,000 | thousands by filing date | call |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 169,478 | $458,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 98,192 | $458,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 42,153 | $457,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 9,515 | $456,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 66,430 | $455,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 63,623 | $452,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 15,034 | $452,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 27,154 | $451,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 32,700 | $451,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 22,263 | $450,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 20,450 | $449,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 10,000 | $448,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 22,465 | $448,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 15,199 | $447,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 10,235 | $446,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 38,460 | $446,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 32,082 | $446,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 11,390 | $444,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 18,994 | $443,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 96,496 | $442,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 29,305 | $442,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 22,232 | $440,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 321,000 | $439,000 | thousands by filing date | principal |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 42,857 | $438,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 23,162 | $436,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 45,819 | $436,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 20,732 | $434,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 6,757 | $434,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 36,290 | $433,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 7,742 | $433,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 12,300 | $430,000 | thousands by filing date | put |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 26,458 | $430,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 6,426 | $430,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 45,868 | $429,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 7,365 | $429,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 32,951 | $429,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 17,396 | $427,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 7,908 | $426,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 37,619 | $426,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 70,607 | $424,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 24,888 | $423,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 7,186 | $423,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 30,772 | $423,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 7,432 | $423,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 22,709 | $422,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 44,984 | $421,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 28,382 | $419,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 36,317 | $419,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 11,705 | $418,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 53,606 | $418,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 103,735 | $416,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 23,186 | $415,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 52,958 | $415,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 27,496 | $415,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 27,729 | $414,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 40,593 | $413,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 35,800 | $412,000 | thousands by filing date | put |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 29,641 | $409,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 14,798 | $408,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 7,610 | $408,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 19,183 | $408,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 55,891 | $407,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 28,433 | $407,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-031754 | this filing | 2017-08-14 | acceptance time not in the bulk data set |