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 |
|---|---|---|---|---|---|---|
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 15,498 | $406,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 17,850 | $405,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 25,305 | $405,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 5,291 | $405,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 8,445 | $404,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 8,040 | $403,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 44,602 | $403,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 51,283 | $402,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 25,029 | $401,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 350,000 | $401,000 | thousands by filing date | principal |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 46,588 | $400,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 40,800 | $400,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 498,351 | $399,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 41,417 | $395,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 7,240 | $393,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 9,918 | $392,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 50,175 | $391,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 15,407 | $390,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 35,304 | $390,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 32,732 | $390,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 5,600 | $389,000 | thousands by filing date | put |
| HENNESSY ADVISORS INC | 425885100 | COM | 25,632 | $389,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 28,378 | $388,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 405,000 | $388,000 | thousands by filing date | principal |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 28,245 | $387,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 32,837 | $386,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 4,700 | $386,000 | thousands by filing date | put |
| SOCIETAL CDMO INC | 75629F109 | COM | 54,835 | $385,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 13,417 | $384,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 4,789 | $383,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 4,800 | $382,000 | thousands by filing date | put |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 83,089 | $382,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X160 | S&P INTL DIVID | 8,744 | $382,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 7,289 | $381,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 41,423 | $381,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 25,946 | $380,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 12,074 | $379,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 120,296 | $379,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 14,699 | $379,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 9,969 | $378,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 27,753 | $378,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 26,817 | $377,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 17,955 | $375,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 25,751 | $373,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 22,255 | $373,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 3,100 | $372,000 | thousands by filing date | call |
| TALEND S A | 874224207 | ADS | 10,666 | $371,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 104,701 | $370,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 27,120 | $369,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 255,914 | $368,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 26,269 | $367,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 135,044 | $367,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 38,884 | $366,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 139,304 | $366,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 70,324 | $363,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 14,522 | $362,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 141,393 | $361,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 43,813 | $361,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 21,178 | $360,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 13,366 | $359,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 1,994 | $359,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 85,440 | $357,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 14,956 | $357,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 113,411 | $357,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 4,508 | $356,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 19,759 | $355,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 25,716 | $354,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 81,959 | $353,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 31,690 | $352,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 72,511 | $351,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 26,812 | $350,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 34,434 | $349,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 27,055 | $349,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 11,195 | $348,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 10,724 | $347,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 202,895 | $347,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 98,481 | $345,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 353,000 | $345,000 | thousands by filing date | principal |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 245,393 | $343,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 12,985 | $342,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 27,066 | $342,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 13,450 | $340,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 118,808 | $340,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 18,584 | $338,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 34,263 | $337,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 27,570 | $337,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 43,024 | $336,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 12,755 | $335,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 12,778 | $335,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 29,897 | $332,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 4,490 | $332,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 10,745 | $331,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 18,934 | $330,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 17,857 | $329,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 289,000 | $329,000 | thousands by filing date | principal |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 18,383 | $328,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 24,640 | $328,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 21,615 | $327,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 2,600 | $326,000 | thousands by filing date | put |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 31,699 | $325,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 13,081 | $325,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 8,023 | $325,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 7,386 | $325,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 13,231 | $323,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 15,888 | $322,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 28,527 | $322,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 54,740 | $321,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 29,576 | $321,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 48,186 | $319,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 52,556 | $318,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 12,727 | $317,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 279,000 | $317,000 | thousands by filing date | principal |
| NEW SR INVT GROUP INC | 648691103 | COM | 31,227 | $315,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 8,113 | $315,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 56,510 | $311,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 11,779 | $310,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 33,264 | $309,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 26,613 | $309,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 64,400 | $309,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 108,264 | $308,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 10,483 | $307,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 152,738 | $306,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 4,460 | $305,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,671 | $304,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,993 | $304,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 3,700 | $304,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 5,124 | $303,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 53,632 | $303,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 5,038 | $302,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 17,400 | $302,000 | thousands by filing date | put |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 12,410 | $302,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 78,534 | $302,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 81,226 | $301,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 18,746 | $301,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 47,324 | $299,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 13,185 | $299,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 37,200 | $299,000 | thousands by filing date | put |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 37,200 | $299,000 | thousands by filing date | call |
| DYNEGY INC NEW DEL | 26817R108 | COM | 36,044 | $298,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 24,040 | $297,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 16,891 | $297,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 3,285 | $296,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 100,000 | $295,000 | thousands by filing date | put |
| LENNAR CORP CL B | 526057302 | Stock | 6,558 | $295,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 33,102 | $292,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 22,540 | $292,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 5,739 | $291,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 33,588 | $291,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 5,060 | $291,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 85,103 | $289,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 45,486 | $288,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 16,446 | $288,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 71,510 | $288,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 11,615 | $287,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 7,658 | $287,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 11,202 | $287,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 26,026 | $287,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 438,959 | $286,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 15,249 | $286,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 8,148 | $285,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 11,929 | $285,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 7,115 | $283,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 11,191 | $281,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 28,668 | $281,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 10,000 | $280,000 | thousands by filing date | call |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 14,177 | $280,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 250,000 | $278,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 258,000 | $277,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 411,648 | $276,000 | thousands by filing date | principal |
| CYS INVTS INC | 12673A108 | COM | 32,922 | $276,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 32,000 | $274,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 26,055 | $274,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 4,595 | $274,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 12,100 | $273,000 | thousands by filing date | call |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 27,110 | $273,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097BB6 | NOTE 8.625%12/3 | 250,000 | $273,000 | thousands by filing date | principal |
| CAPITALA FIN CORP | 14054R106 | COM | 20,869 | $272,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 19,100 | $271,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 26,736 | $271,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 7,142 | $271,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 23,981 | $271,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 10,811 | $271,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 10,464 | $270,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280BC2 | NOTE 6.875%12/3 | 250,000 | $270,000 | thousands by filing date | principal |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 10,449 | $269,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 35,407 | $269,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 13,948 | $269,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 5,513 | $268,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 35,923 | $268,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 20,398 | $268,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 58,200 | $267,000 | thousands by filing date | call |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 52,358 | $267,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 280,000 | $267,000 | thousands by filing date | principal |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 16,238 | $263,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 14,130 | $263,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 34,269 | $263,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 51,936 | $260,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 10,000 | $260,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 8,119 | $259,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 30,139 | $258,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 35,365 | $257,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 27,329 | $257,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 13,225 | $257,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 8,418 | $256,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 17,166 | $256,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 120,747 | $256,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 248,334 | $256,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266S106 | COM | 52,778 | $256,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 103,833 | $256,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 79,758 | $255,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 13,106 | $255,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 7,398 | $254,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 13,618 | $254,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 61,044 | $254,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 300,000 | $254,000 | thousands by filing date | principal |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 7,498 | $253,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 14,613 | $253,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 9,965 | $250,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 16,420 | $250,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 8,364 | $250,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 20,461 | $249,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 20,876 | $249,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 26,285 | $249,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 6,249 | $248,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 4,000 | $247,000 | thousands by filing date | put |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 6,355 | $246,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 10,168 | $246,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,515 | $245,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 100,077 | $244,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 28,000 | $244,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 134,277 | $242,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 17,371 | $242,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 5,245 | $241,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 12,964 | $240,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 14,084 | $240,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 23,789 | $239,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 24,817 | $239,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 20,000 | $238,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 25,000 | $237,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 16,222 | $236,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 14,257 | $236,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 10,745 | $236,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 18,650 | $236,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 17,722 | $235,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 7,423 | $234,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 10,000 | $234,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 17,673 | $233,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 11,970 | $233,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 3,700 | $232,000 | thousands by filing date | call |
| Heritage Commerce Corp | 426927109 | Common Stock | 16,741 | $231,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 5,634 | $231,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 166,799 | $230,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 9,306 | $229,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 14,530 | $229,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 13,183 | $228,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 9,942 | $227,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 17,540 | $227,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 6,607 | $227,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 3,410 | $224,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 8,163 | $224,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 39,124 | $223,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 19,126 | $222,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 19,461 | $222,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 98,873 | $222,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 10,000 | $222,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 10,107 | $222,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 15,002 | $221,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 15,140 | $221,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 49,533 | $220,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 4,086 | $219,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 99,859 | $219,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 6,223 | $217,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 10,854 | $217,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 17,166 | $217,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 107,000 | $217,000 | thousands by filing date | principal |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 15,745 | $216,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,500 | $215,000 | thousands by filing date | put |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 14,022 | $215,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 16,076 | $215,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 21,673 | $215,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 126,814 | $214,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 11,479 | $214,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 4,282 | $214,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 1,100 | $212,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 10,831 | $211,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 20,792 | $210,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 9,872 | $209,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 4,318 | $207,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 14,076 | $207,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 32,123 | $204,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 9,682 | $204,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 11,211 | $204,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAB1 | PRFD 6.625%12/3 | 200,167 | $204,000 | thousands by filing date | principal |
| Proshares Short S&P | 74347B425 | COM | 6,069 | $203,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 41,516 | $202,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 13,155 | $202,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 13,678 | $202,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 20,499 | $202,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 26,500 | $202,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 13,547 | $202,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 74,954 | $201,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 3,056 | $201,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,310 | $200,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 71,889 | $199,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 12,462 | $199,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,400 | $198,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 2,400 | $198,000 | thousands by filing date | put |
| GAP INC COM | 364760108 | Stock | 9,000 | $198,000 | thousands by filing date | call |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 4,239 | $198,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 69,775 | $198,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 14,657 | $198,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 11,444 | $198,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741VUW0 | MTNF 2.00 | 200,000 | $198,000 | thousands by filing date | principal |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 48,315 | $197,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 3,932 | $197,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 3,448 | $197,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 33,170 | $196,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 20,486 | $196,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 11,766 | $196,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 122,549 | $195,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 3,736 | $194,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 96,190 | $194,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 179,000 | $194,000 | thousands by filing date | principal |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 8,432 | $194,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 6,640 | $194,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 6,735 | $194,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 11,700 | $193,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 11,700 | $193,000 | thousands by filing date | call |
| HIVE | 007786106 | Stock | 38,539 | $193,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 12,335 | $193,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 6,934 | $192,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 17,727 | $192,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 7,769 | $192,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 6,152 | $191,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 2,128 | $189,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 32,839 | $189,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 31,876 | $189,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 29,694 | $189,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,400 | $187,000 | thousands by filing date | put |
| SIERRA WIRELESS INC | 826516106 | COM | 6,677 | $187,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 8,657 | $186,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 55,236 | $186,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 12,308 | $185,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 27,456 | $185,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 6,250 | $185,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 4,811 | $185,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 11,486 | $184,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 7,761 | $184,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 12,303 | $183,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 15,442 | $182,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 14,674 | $182,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 20,728 | $182,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 31,077 | $182,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 6,088 | $182,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 2,100 | $181,000 | thousands by filing date | call |
| WELLTOWER INC COM | 95040Q104 | REIT | 2,400 | $180,000 | thousands by filing date | put |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 25,166 | $180,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 17,165 | $180,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 2,925 | $180,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 35,038 | $180,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 6,279 | $179,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 5,000 | $178,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 5,910 | $178,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 1,802 | $178,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 6,789 | $178,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 175,000 | $178,000 | thousands by filing date | principal |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 57,000 | $178,000 | thousands by filing date | principal |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 10,854 | $177,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 4,892 | $176,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 13,169 | $176,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 6,328 | $176,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 54,900 | $175,000 | thousands by filing date | call |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 20,315 | $175,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,000 | $175,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 2,500 | $174,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 11,000 | $173,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 8,924 | $173,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 44,376 | $173,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 3,948 | $172,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 15,453 | $172,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 6,678 | $171,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 6,205 | $170,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 8,945 | $170,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 31,901 | $169,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 29,503 | $169,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 14,403 | $168,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 11,030 | $168,000 | thousands by filing date | |
| PROSHARES TR II | 74347W239 | ULTRA VIX ETF | 17,200 | $168,000 | thousands by filing date | put |
| JANUS VELOCITY TAIL RISK HEDGED LARGE CAP ETF | 47103U704 | ETF | 5,708 | $168,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 66,918 | $167,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 11,351 | $167,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 4,206 | $165,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 7,978 | $165,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 14,346 | $164,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 8,459 | $164,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 6,275 | $163,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,000 | $162,000 | thousands by filing date | put |
| ISHARES TR | 46429B408 | CMN | 4,510 | $162,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 85,199 | $162,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 11,789 | $162,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B365 | S&P SMLCP HIG VO | 6,599 | $161,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 7,428 | $160,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 47,132 | $160,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 14,639 | $160,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 3,544 | $159,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 20,481 | $159,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 137,000 | $159,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 18,477 | $159,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 13,349 | $159,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 17,110 | $159,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 6,216 | $159,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 31,490 | $158,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 8,332 | $158,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 5,222 | $158,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 3,619 | $158,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 10,793 | $157,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 4,279 | $157,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 3,881 | $157,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 1,340 | $157,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 11,109 | $156,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 5,026 | $155,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 10,258 | $155,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280BL2 | NOTE 6.000%12/3 | 150,000 | $155,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,172 | $155,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,000 | $154,000 | thousands by filing date | put |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 17,577 | $154,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 5,360 | $154,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,944 | $153,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 24,703 | $153,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 7,695 | $153,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 4,866 | $152,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 5,753 | $151,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 3,456 | $151,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 11,153 | $151,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 187,383 | $151,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 42,155 | $150,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 5,092 | $150,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 6,096 | $150,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 58,464 | $150,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,956 | $149,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 4,600 | $149,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 4,807 | $149,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 3,035 | $148,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 4,752 | $148,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 4,151 | $148,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 9,831 | $147,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 8,700 | $147,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 2,730 | $146,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 3,186 | $146,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 10,667 | $146,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 10,949 | $146,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 104,280 | $145,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 14,234 | $145,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 10,636 | $145,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 150,000 | $145,000 | thousands by filing date | principal |
| SEASPAN CORP | Y75638109 | SHS | 20,411 | $145,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 33,697 | $145,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 2,871 | $144,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 4,235 | $144,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 2,851 | $144,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 14,407 | $143,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 9,300 | $143,000 | thousands by filing date | call |
| SECUREWORKS CORP | 81374A105 | CL A | 15,367 | $143,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 6,448 | $143,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 8,783 | $143,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 4,300 | $142,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 3,722 | $142,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 38,365 | $142,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 9,370 | $141,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 4,511 | $141,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 12,286 | $140,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 5,137 | $140,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 9,597 | $140,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,804 | $139,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 6,263 | $139,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 20,626 | $139,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 4,374 | $139,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 54,578 | $138,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 6,509 | $138,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 34,080 | $138,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 778 | $138,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 10,208 | $138,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 13,615 | $138,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 6,714 | $137,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 5,000 | $137,000 | thousands by filing date | put |
| GUARANTY BANCORP | 40075T607 | COM | 5,025 | $137,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 4,321 | $137,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 8,144 | $136,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 6,434 | $134,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 4,822 | $134,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 29,543 | $134,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 2,713 | $134,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 10,937 | $134,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 3,567 | $134,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 73,487 | $133,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 2,349 | $133,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 8,861 | $132,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 2,948 | $132,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 16,355 | $132,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 2,102 | $132,000 | 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 |