13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 7,213 holding rows worth $629,639,130,000.
- Accession
- 0001140361-17-042540
- Filer
- CIK 70858
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 18,522 entries on the cover page, a total value of $629,639,130,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $629,639,130,000 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 |
|---|---|---|---|---|---|---|
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 37,058 | $1,004,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 16,000 | $1,002,000 | thousands by filing date | call |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 63,948 | $1,002,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 23,000 | $1,002,000 | thousands by filing date | put |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 23,760 | $1,001,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 70,000 | $1,001,000 | thousands by filing date | put |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 70,000 | $1,001,000 | thousands by filing date | call |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 116,070 | $999,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 25,702 | $998,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 10,700 | $996,000 | thousands by filing date | call |
| NEWLINK GENETICS CORP | 651511107 | COM | 97,700 | $995,000 | thousands by filing date | call |
| RESMED INC COM | 761152107 | Stock | 12,900 | $993,000 | thousands by filing date | call |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 67,934 | $990,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 10,708 | $988,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 65,963 | $984,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 30,339 | $983,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 19,995 | $982,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 13,500 | $979,000 | thousands by filing date | put |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 76,140 | $979,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 58,875 | $979,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 35,116 | $979,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 80,807 | $975,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 144,087 | $974,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 62,195 | $973,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 20,000 | $972,000 | thousands by filing date | call |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 68,273 | $971,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 33,778 | $970,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 71,036 | $969,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 49,463 | $966,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 92,978 | $966,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 11,188 | $965,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 14,528 | $963,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 53,901 | $963,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 366,118 | $963,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 78,852 | $963,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 50,000 | $962,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 15,003 | $961,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 97,500 | $960,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 29,073 | $959,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 34,228 | $959,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 1,089,684 | $958,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 70,088 | $955,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 31,430 | $953,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 50,000 | $953,000 | thousands by filing date | put |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 24,896 | $952,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 70,156 | $951,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 41,346 | $951,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 164,264 | $951,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 46,224 | $950,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 10,611 | $949,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 833,000 | $947,000 | thousands by filing date | principal |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 220,000 | $946,000 | thousands by filing date | call |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 2,600 | $945,000 | thousands by filing date | put |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 12,573 | $944,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 37,501 | $943,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 98,176 | $942,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 30,000 | $941,000 | thousands by filing date | call |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 25,000 | $939,000 | thousands by filing date | put |
| KIMBALL INTL INC | 494274103 | CL B | 47,415 | $938,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 907,215 | $934,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 66,732 | $933,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 23,434 | $932,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 952,000 | $931,000 | thousands by filing date | principal |
| HERON THERAPEUTICS INC | 427746102 | COM | 57,635 | $930,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 127,513 | $930,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 12,785 | $930,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 30,571 | $929,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 37,916 | $929,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 30,761 | $925,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 46,300 | $924,000 | thousands by filing date | put |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 151,200 | $924,000 | thousands by filing date | call |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 63,315 | $923,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 521,260 | $923,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 281,802 | $919,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 189,075 | $918,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 52,294 | $915,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 112,000 | $912,000 | thousands by filing date | put |
| MARATHON PETE CORP COM | 56585A102 | Stock | 16,200 | $908,000 | thousands by filing date | put |
| ADIENT PLC | G0084W101 | ORD SHS | 10,800 | $907,000 | thousands by filing date | call |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 33,931 | $904,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 45,537 | $902,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 12,924 | $900,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 10,992 | $896,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 23,491 | $895,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 18,366 | $895,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 31,165 | $894,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 169,651 | $894,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 25,015 | $894,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 133,424 | $893,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 115,900 | $892,000 | thousands by filing date | call |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 10,000 | $892,000 | thousands by filing date | call |
| TICC CAPITAL CORP | 87244T109 | COM | 130,099 | $891,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 12,600 | $888,000 | thousands by filing date | call |
| CONSOLIDATED EDISON INC | 209115104 | COM | 11,000 | $887,000 | thousands by filing date | call |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 142,153 | $887,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 52,428 | $883,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 48,271 | $883,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 8,289 | $882,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 31,472 | $882,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 65,000 | $881,000 | thousands by filing date | put |
| MARATHON OIL CORP | 565849106 | COM | 65,000 | $881,000 | thousands by filing date | call |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 22,329 | $880,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 68,097 | $880,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 80,264 | $879,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 61,606 | $879,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 15,685 | $873,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 574,000 | $869,000 | thousands by filing date | principal |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 55,127 | $868,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 33,829 | $868,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 120,758 | $867,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 25,330 | $867,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 20,300 | $862,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 93,264 | $862,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 22,463 | $859,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 78,446 | $859,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 57,090 | $859,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 98,816 | $857,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 17,556 | $855,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 239,633 | $851,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 10,000 | $849,000 | thousands by filing date | call |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 128,700 | $849,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 20,900 | $849,000 | thousands by filing date | call |
| ORCHID IS CAP INC | 68571X103 | COM | 83,387 | $849,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 9,639 | $849,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 21,140 | $848,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 66,606 | $845,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 67,432 | $842,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 566 | $838,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 22,600 | $837,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 70,215 | $833,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 205,676 | $833,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 27,258 | $833,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 6,300 | $831,000 | thousands by filing date | call |
| GOPRO INC | 38268T103 | CL A | 75,000 | $826,000 | thousands by filing date | put |
| PERFICIENT INC | 71375U101 | COM | 41,970 | $825,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 5,500 | $820,000 | thousands by filing date | call |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 35,933 | $818,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 114,705 | $815,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 87,056 | $812,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 46,801 | $812,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 70,503 | $811,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 86,838 | $811,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 13,462 | $811,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 811,000 | $811,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 668,000 | $809,000 | thousands by filing date | principal |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 28,026 | $808,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 48,833 | $806,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 49,000 | $805,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 28,700 | $803,000 | thousands by filing date | call |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 79,627 | $802,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 35,800 | $800,000 | thousands by filing date | put |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 10,000 | $799,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 9,896 | $798,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 80,848 | $796,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 100,878 | $796,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 93,805 | $795,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 49,189 | $793,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 23,100 | $791,000 | thousands by filing date | put |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 49,768 | $786,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 62,493 | $785,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 43,161 | $783,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 42,009 | $783,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 24,835 | $782,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 9,297 | $782,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 57,337 | $780,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 49,969 | $780,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 44,604 | $775,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 50,746 | $774,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 12,057 | $773,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 27,888 | $772,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 12,000 | $771,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 52,914 | $771,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 44,892 | $770,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 102,000 | $769,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 39,596 | $768,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 8,907 | $768,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 61,413 | $765,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 169,633 | $765,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 77,700 | $765,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 17,426 | $761,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 7,471 | $761,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 323,941 | $761,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 17,242 | $760,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 36,957 | $759,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 63,864 | $759,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 25,269 | $758,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 92,193 | $757,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 46,079 | $757,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 971,000 | $757,000 | thousands by filing date | principal |
| CUMMINS INC COM | 231021106 | Stock | 4,500 | $756,000 | thousands by filing date | call |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 49,500 | $755,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 15,002 | $754,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 35,339 | $752,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 13,880 | $751,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 28,648 | $750,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 16,800 | $748,000 | thousands by filing date | put |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 16,800 | $748,000 | thousands by filing date | call |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 39,646 | $748,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 20,000 | $747,000 | thousands by filing date | call |
| BJS RESTAURANTS INC | 09180C106 | COM | 24,515 | $747,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 133,600 | $747,000 | thousands by filing date | call |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 51,016 | $746,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 23,784 | $742,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 14,790 | $742,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 43,673 | $742,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 70,147 | $741,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 41,593 | $740,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 138,285 | $740,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 56,465 | $739,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 58,801 | $739,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 38,579 | $738,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 19,237 | $737,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 71,783 | $736,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 78,623 | $735,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 34,599 | $734,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 55,791 | $734,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 16,000 | $730,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 13,170 | $729,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 70,442 | $729,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 54,556 | $729,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 19,876 | $729,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 85,123 | $729,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 65,031 | $729,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 55,000 | $728,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 86,521 | $726,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 129,231 | $726,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 37,735 | $725,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 17,538 | $725,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 7,032 | $721,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 28,622 | $720,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 13,900 | $719,000 | thousands by filing date | call |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 34,329 | $719,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 28,165 | $717,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 5,700 | $716,000 | thousands by filing date | put |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 5,000 | $715,000 | thousands by filing date | put |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 53,292 | $714,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 13,955 | $714,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 34,378 | $713,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 68,000 | $713,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 106,842 | $712,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 70,217 | $711,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 22,857 | $709,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 138,227 | $709,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 48,068 | $709,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 15,264 | $707,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 41,438 | $706,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 46,380 | $705,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 15,000 | $705,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 15,850 | $703,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 18,357 | $702,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 126,210 | $701,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 51,777 | $701,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 69,045 | $701,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 29,023 | $701,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 64,845 | $698,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 19,457 | $697,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 14,088 | $694,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 40,358 | $694,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 57,454 | $693,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 42,362 | $691,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 121,391 | $691,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 152,885 | $691,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 153 | $690,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 52,044 | $690,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 43,777 | $689,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 52,411 | $688,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 200,000 | $688,000 | thousands by filing date | put |
| OCWEN FINL CORP | 675746309 | COM NEW | 200,000 | $688,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 228,395 | $687,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 9,400 | $685,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 11,303 | $685,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 5,000 | $683,000 | thousands by filing date | call |
| SLR INVESTMENT CORP | 83413U100 | COM | 31,533 | $682,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 31,516 | $681,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 53,877 | $680,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 28,436 | $680,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 44,207 | $678,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 31,948 | $677,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 39,224 | $677,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 39,248 | $673,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 55,231 | $671,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 11,479 | $671,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 46,860 | $670,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 132,706 | $670,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 27,586 | $669,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 12,279 | $668,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 49,197 | $668,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 47,988 | $668,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 29,778 | $668,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 175,000 | $667,000 | thousands by filing date | call |
| UNISYS CORP | 909214BS6 | NOTE 5.500% 3/0 | 575,000 | $665,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 17,244 | $664,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 13,387 | $662,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 93,249 | $662,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 73,669 | $661,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 300,000 | $660,000 | thousands by filing date | put |
| Wilshire US REIT ETF | 18383M472 | ETF | 14,232 | $660,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 20,490 | $659,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 71,139 | $658,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 12,800 | $657,000 | thousands by filing date | call |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 26,418 | $657,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 18,797 | $655,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 534,000 | $653,000 | thousands by filing date | principal |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 51,222 | $652,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 38,361 | $651,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 3,400 | $646,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 60,000 | $646,000 | thousands by filing date | call |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 123,507 | $646,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 5,500 | $645,000 | thousands by filing date | put |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 10,726 | $645,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 87,102 | $641,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 67,876 | $638,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 14,627 | $636,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 47,441 | $636,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 62,906 | $636,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 88,060 | $635,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 63,295 | $634,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 53,744 | $634,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 44,490 | $634,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 6,611 | $633,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 2,800 | $633,000 | thousands by filing date | call |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 33,648 | $633,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 32,656 | $633,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 56,906 | $632,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 34,998 | $630,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 62,171 | $630,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 37,159 | $628,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 102,775 | $628,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 484,000 | $628,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 24,344 | $624,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 6,800 | $623,000 | thousands by filing date | call |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 34,663 | $623,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 6,100 | $622,000 | thousands by filing date | call |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 80,269 | $622,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 103,193 | $620,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 46,145 | $618,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 10,661 | $617,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 21,987 | $616,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 10,858 | $615,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 80,844 | $615,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 45,000 | $614,000 | thousands by filing date | put |
| HARDINGE INC | 412324303 | COM | 40,143 | $613,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 22,295 | $612,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 50,631 | $609,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 74,687 | $608,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 248,282 | $608,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 15,943 | $606,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 10,248 | $606,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 15,314 | $605,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 3,628 | $605,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 10,300 | $603,000 | thousands by filing date | call |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 37,220 | $603,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 12,020 | $602,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 39,198 | $602,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 138,280 | $601,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 6,998 | $600,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 34,797 | $600,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 19,350 | $599,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 34,799 | $599,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 84,512 | $599,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 28,281 | $595,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 22,966 | $595,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 70,168 | $595,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 61,037 | $594,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 2,500 | $593,000 | thousands by filing date | put |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 35,420 | $592,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 22,932 | $590,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 16,528 | $589,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 18,872 | $586,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 79,833 | $586,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 65,052 | $585,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 66,480 | $585,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 42,533 | $583,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 7,900 | $582,000 | thousands by filing date | call |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 38,641 | $581,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 11,087 | $580,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 48,510 | $577,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 31,039 | $577,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 30,527 | $574,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 38,000 | $573,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 555,000 | $572,000 | thousands by filing date | principal |
| ALEXANDERS INC COM | 014752109 | REIT | 1,340 | $569,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 28,288 | $568,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 42,404 | $565,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 46,530 | $564,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 151,703 | $563,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 24,166 | $562,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 33,538 | $559,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 23,254 | $555,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 13,000 | $554,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 51,656 | $553,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 72,808 | $553,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 38,177 | $549,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 36,647 | $549,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 30,554 | $548,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 17,288 | $547,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 13,144 | $546,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 469,000 | $546,000 | thousands by filing date | principal |
| RAPID7 INC COM | 753422104 | Stock | 30,886 | $544,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 37,347 | $542,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 122,700 | $541,000 | thousands by filing date | call |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 32,800 | $539,000 | thousands by filing date | put |
| HAWKINS INC | 420261109 | COM | 13,211 | $539,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 802 | $539,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 6,000 | $536,000 | thousands by filing date | call |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 108,411 | $536,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 24,405 | $535,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 13,043 | $534,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 30,331 | $533,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 38,118 | $532,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 40,121 | $531,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 141,393 | $530,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 27,794 | $529,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 50,443 | $528,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 12,647 | $527,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,000 | $526,000 | thousands by filing date | call |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 63,238 | $526,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 22,695 | $526,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 35,353 | $525,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 161,602 | $525,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 24,591 | $525,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 101,899 | $524,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 41,385 | $524,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 234,000 | $523,000 | thousands by filing date | principal |
| NEWFIELD EXPL CO | 651290108 | COM | 17,600 | $522,000 | thousands by filing date | call |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 45,844 | $520,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 46,088 | $518,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 152,075 | $516,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 22,244 | $516,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 18,506 | $515,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 13,170 | $513,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 10,267 | $512,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 10,189 | $511,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 11,995 | $510,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 46,400 | $510,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 5,609 | $510,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 77,058 | $509,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 74,377 | $509,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 34,857 | $509,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 79,640 | $509,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 62,722 | $508,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 12,032 | $508,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 34,646 | $507,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 138,640 | $507,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 16,200 | $506,000 | thousands by filing date | call |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 24,209 | $505,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 28,702 | $504,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 503,000 | $504,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 14,971 | $503,000 | thousands by filing date | |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 550,000 | $503,000 | thousands by filing date | principal |
| SOCIETAL CDMO INC | 75629F109 | COM | 55,745 | $501,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 33,851 | $500,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 45,582 | $496,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 32,389 | $496,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 222,600 | $494,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 57,197 | $494,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 8,500 | $493,000 | thousands by filing date | put |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 23,325 | $493,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 68,114 | $491,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BR3 | NOTE 3.720% 3/1 | 438,000 | $491,000 | thousands by filing date | principal |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 23,154 | $490,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 105,760 | $490,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 40,700 | $489,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 45,800 | $489,000 | thousands by filing date | call |
| BLACKROCK MUN BD TR | 09249H104 | COM | 31,323 | $487,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 48,681 | $487,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 119,150 | $487,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 26,272 | $487,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 55,000 | $486,000 | thousands by filing date | call |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 20,529 | $486,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 60,974 | $486,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 35,609 | $485,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 50,678 | $485,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 176,156 | $484,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 40,212 | $484,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 34,891 | $482,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 41,028 | $480,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 23,426 | $479,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 3,000 | $477,000 | thousands by filing date | call |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 54,429 | $476,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 13,012 | $476,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 1,427 | $476,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 47,065 | $476,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 33,988 | $475,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 31,268 | $474,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 15,530 | $473,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 47,571 | $473,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 7,886 | $472,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 19,962 | $471,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 21,389 | $468,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 9,200 | $468,000 | thousands by filing date | call |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 180,000 | $467,000 | thousands by filing date | principal |
| CARE COM INC | 141633107 | COM | 29,395 | $467,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 44,449 | $466,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 33,794 | $466,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 30,000 | $464,000 | thousands by filing date | call |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 29,550 | $464,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 11,925 | $463,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 28,669 | $463,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 128,217 | $463,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-042540 | this filing | 2017-11-14 | acceptance time not in the bulk data set |