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 |
|---|---|---|---|---|---|---|
| MULESOFT INC | 625207105 | CL A | 23,001 | $463,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 7,639 | $463,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 22,667 | $462,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 39,896 | $461,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 68,451 | $460,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 41,212 | $459,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 35,380 | $459,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 15,047 | $458,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 46,929 | $456,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 19,497 | $455,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 33,168 | $455,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 168,654 | $455,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 89,828 | $454,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 42,812 | $454,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 8,059 | $454,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 14,093 | $451,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 24,863 | $450,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 50,538 | $450,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 73,510 | $450,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 40,457 | $449,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 28,836 | $448,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 6,879 | $448,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 29,674 | $447,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 19,884 | $447,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 12,512 | $446,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 390,357 | $445,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 42,148 | $444,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 7,448 | $443,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 6,000 | $442,000 | thousands by filing date | call |
| RBB BANCORP | 74930B105 | COMMON STOCK | 19,212 | $440,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 50,579 | $440,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 15,914 | $440,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 80,500 | $439,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 20,826 | $438,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 23,662 | $437,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 17,663 | $437,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 55,545 | $436,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 33,299 | $434,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 3,672 | $433,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 141,566 | $432,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 244,000 | $432,000 | thousands by filing date | principal |
| USA TRUCK INC | 902925106 | COM | 30,755 | $432,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 29,725 | $431,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 118,009 | $430,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 23,193 | $429,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 21,343 | $429,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 15,166 | $428,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 58,978 | $425,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 11,158 | $424,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 57,091 | $424,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 18,912 | $423,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 16,689 | $422,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 27,736 | $421,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 95,931 | $420,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 34,820 | $419,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 7,381 | $419,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 10,000 | $418,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 72,293 | $417,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 26,859 | $416,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 34,705 | $416,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 6,666 | $414,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 27,793 | $414,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 13,923 | $412,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 29,901 | $412,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 26,100 | $412,000 | thousands by filing date | call |
| Vale Sa | 91912E204 | COM | 43,795 | $410,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 12,377 | $409,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 10,373 | $408,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 34,069 | $408,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 36,286 | $407,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 12,519 | $406,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 22,969 | $405,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 74,444 | $405,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 17,388 | $404,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 26,872 | $403,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 14,686 | $401,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 96,983 | $400,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 13,818 | $400,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 6,454 | $399,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 85,374 | $397,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 412,000 | $397,000 | thousands by filing date | principal |
| CARVANA CO CL A | 146869102 | Stock | 27,000 | $396,000 | thousands by filing date | call |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 17,170 | $396,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 30,563 | $395,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 10,986 | $395,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 11,480 | $394,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 5,600 | $393,000 | thousands by filing date | put |
| XENCOR INC | 98401F105 | COMMON STOCK | 17,051 | $391,000 | thousands by filing date | |
| DBX ETF TR | 233051622 | EM HGH DIV | 16,755 | $391,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 9,237 | $390,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 4,501 | $389,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 23,079 | $389,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 15,126 | $388,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 6,300 | $386,000 | thousands by filing date | call |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 39,722 | $386,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 24,824 | $386,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 385,000 | $386,000 | thousands by filing date | principal |
| COMMUNITY USD0.01 | 20369C106 | COM | 14,302 | $385,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 26,665 | $385,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 9,949 | $385,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 5,151 | $384,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 15,000 | $384,000 | thousands by filing date | call |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 28,626 | $383,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 104,701 | $382,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 28,352 | $382,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 25,624 | $380,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 84,348 | $378,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 132,006 | $378,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 126,390 | $378,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 20,021 | $377,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 24,500 | $377,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 8,825 | $376,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 28,883 | $374,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 13,922 | $374,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 17,742 | $374,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 10,035 | $373,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 50,900 | $372,000 | thousands by filing date | call |
| HENNESSY ADVISORS INC | 425885100 | COM | 24,078 | $372,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 14,112 | $371,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 8,648 | $369,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 9,125 | $369,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 11,807 | $368,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 14,794 | $366,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 14,600 | $366,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 87,128 | $365,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 4,860 | $364,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 24,557 | $364,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 79,794 | $363,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 33,342 | $362,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 25,290 | $362,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 3,684 | $362,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 26,370 | $361,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 78,534 | $361,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 24,811 | $359,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 15,203 | $359,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 11,934 | $359,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 10,372 | $357,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 38,845 | $355,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 113,223 | $355,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 48,325 | $353,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 19,238 | $351,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 17,651 | $350,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 53,877 | $350,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 12,864 | $349,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 34,478 | $349,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 13,181 | $347,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 9,000 | $346,000 | thousands by filing date | put |
| SPLUNK INC | 848637104 | COM | 5,200 | $345,000 | thousands by filing date | call |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 5,000 | $344,000 | thousands by filing date | put |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 34,434 | $344,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 165,564 | $344,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 17,748 | $343,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 36,025 | $343,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 71,294 | $341,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 15,257 | $340,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 37,200 | $339,000 | thousands by filing date | put |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 37,200 | $339,000 | thousands by filing date | call |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 14,127 | $338,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 72,100 | $338,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 13,427 | $337,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 7,936 | $336,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 19,019 | $336,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 13,890 | $336,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 12,505 | $335,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 45,473 | $335,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 44,357 | $334,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 10,389 | $333,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 4,647 | $333,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 95,168 | $333,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 12,904 | $331,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 12,894 | $329,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 25,959 | $329,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 114,235 | $329,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 12,584 | $328,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 29,012 | $328,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 12,321 | $327,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 2,400 | $326,000 | thousands by filing date | put |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 178,365 | $326,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 61,792 | $325,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 10,111 | $325,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 69,675 | $325,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 128,780 | $322,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 15,904 | $320,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 5,901 | $318,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 124,661 | $318,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 3,200 | $317,000 | thousands by filing date | call |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 17,815 | $317,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 24,305 | $317,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 10,758 | $316,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 4,490 | $316,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 6,921 | $314,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 21,549 | $313,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 8,587 | $312,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 6,285 | $311,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 77,576 | $310,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 104,683 | $309,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 10,189 | $308,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,500 | $306,000 | thousands by filing date | call |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 34,315 | $305,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 19,580 | $304,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 35,020 | $304,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 18,382 | $304,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 6,735 | $303,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 120,526 | $303,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 71,763 | $300,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,837 | $298,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 21,091 | $298,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 98,112 | $296,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 11,852 | $295,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 12,720 | $295,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 16,610 | $294,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 5,649 | $293,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 19,600 | $293,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 11,505 | $293,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 4,350 | $293,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 22,559 | $292,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 2,500 | $291,000 | thousands by filing date | put |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 11,614 | $291,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 5,802 | $289,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 47,500 | $289,000 | thousands by filing date | call |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 45,574 | $287,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 5,105 | $287,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 20,141 | $287,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 7,609 | $287,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 56,930 | $286,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 12,312 | $286,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 10,274 | $285,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 6,364 | $285,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 26,017 | $285,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 21,783 | $284,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 10,614 | $284,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 17,734 | $284,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 25,500 | $284,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 21,089 | $284,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 5,911 | $283,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 7,321 | $283,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 16,217 | $282,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 48,398 | $281,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 6,493 | $280,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 10,347 | $279,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 10,725 | $279,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 131,781 | $279,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 16,634 | $277,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 112,900 | $277,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 9,462 | $275,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 77,923 | $275,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 9,973 | $275,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 24,542 | $274,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 60,218 | $273,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 20,067 | $273,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 13,215 | $273,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 47,897 | $272,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 88,541 | $270,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 10,900 | $270,000 | thousands by filing date | call |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 19,109 | $269,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 32,000 | $269,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 58,282 | $268,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 8,946 | $267,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 18,000 | $267,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 20,398 | $266,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 21,819 | $264,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 22,744 | $263,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 7,661 | $263,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 15,334 | $263,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 7,590 | $262,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 5,634 | $262,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,524 | $260,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 3,500 | $259,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 132,859 | $259,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 7,407 | $259,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 3,960 | $257,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 6,136 | $256,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 7,586 | $256,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 88,245 | $256,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 29,126 | $254,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 9,645 | $254,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 28,200 | $253,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 15,141 | $251,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 29,612 | $250,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 101,019 | $250,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 16,538 | $249,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 20,609 | $249,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 10,000 | $249,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 23,771 | $249,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 225,000 | $249,000 | thousands by filing date | principal |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 20,000 | $248,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 9,817 | $246,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 144,424 | $246,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 12,434 | $246,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 13,048 | $245,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B381 | DWA MOMTM VOLT | 8,221 | $245,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 2,050 | $244,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 79,758 | $243,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 10,278 | $243,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 44,281 | $243,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 39,729 | $241,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 46,085 | $241,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 22,632 | $241,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 327,000 | $241,000 | thousands by filing date | principal |
| DHI GROUP INC | 23331S100 | COM | 91,982 | $239,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 7,651 | $239,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 129,611 | $239,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 17,371 | $239,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 6,872 | $238,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 15,117 | $236,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 10,754 | $236,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 5,712 | $235,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 34,505 | $235,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 18,433 | $234,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B365 | S&P SMLCP HIG VO | 9,418 | $233,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 19,405 | $232,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 24,817 | $232,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 16,904 | $232,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 44,585 | $232,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 17,338 | $231,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 45,732 | $231,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 11,185 | $230,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 42,737 | $230,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 16,090 | $229,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 8,811 | $228,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 11,829 | $228,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 8,217 | $227,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 12,747 | $227,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,911 | $226,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,543 | $226,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 19,461 | $226,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 3,100 | $225,000 | thousands by filing date | call |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 37,657 | $225,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 15,890 | $225,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 14,673 | $225,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 12,462 | $223,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 2,200 | $223,000 | thousands by filing date | put |
| SL GREEN REALTY CORP | 78440X101 | COM | 2,200 | $223,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 22,539 | $223,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 1,500 | $222,000 | thousands by filing date | put |
| NUVEEN GA DIVID | 67072B107 | COM | 16,948 | $222,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 11,490 | $221,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 311,648 | $221,000 | thousands by filing date | principal |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 90,101 | $221,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 15,739 | $221,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 11,955 | $221,000 | thousands by filing date | |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 300,000 | $221,000 | thousands by filing date | principal |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 15,934 | $220,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 6,860 | $219,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 14,447 | $219,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 5,300 | $217,000 | thousands by filing date | put |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 1,202 | $217,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 10,000 | $216,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 9,915 | $215,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 17,166 | $215,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 16,485 | $215,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 6,352 | $214,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 10,114 | $214,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 13,653 | $213,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 11,030 | $213,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 39,664 | $212,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 14,233 | $212,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 10,374 | $211,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 32,202 | $211,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 7,088 | $211,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 8,365 | $211,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 3,450 | $210,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 23,770 | $210,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 1,173 | $210,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 8,683 | $210,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 21,902 | $209,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 13,982 | $209,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 56,483 | $209,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 95,209 | $208,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 11,700 | $208,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 11,700 | $208,000 | thousands by filing date | call |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 21,688 | $208,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 26,801 | $208,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 4,000 | $207,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 3,979 | $207,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 32,648 | $207,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 4,041 | $206,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 4,159 | $205,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 10,101 | $203,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 576,367 | $202,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 22,904 | $201,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 15,714 | $201,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 4,764 | $201,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 225,000 | $201,000 | thousands by filing date | principal |
| CODEXIS INC | 192005106 | COM | 30,041 | $200,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 28,737 | $200,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 12,557 | $200,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 6,640 | $200,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 8,595 | $200,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 52,000 | $200,000 | thousands by filing date | principal |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 59,748 | $199,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 8,820 | $198,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 2,963 | $198,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 14,516 | $198,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 17,110 | $198,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 188,483 | $198,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 3,465 | $197,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 10,217 | $197,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 6,557 | $197,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 12,648 | $195,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 2,349 | $195,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,400 | $194,000 | thousands by filing date | put |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 31,503 | $194,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 8,161 | $193,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 6,345 | $193,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 6,871 | $191,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 19,499 | $191,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 8,462 | $191,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 4,745 | $190,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 12,432 | $190,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 48,175 | $190,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 4,967 | $189,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 8,146 | $189,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 88,314 | $189,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 82,910 | $189,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 5,510 | $188,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 5,862 | $188,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 22,289 | $188,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 7,225 | $187,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 54,758 | $187,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 8,623 | $186,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 31,460 | $186,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 200,000 | $186,000 | thousands by filing date | principal |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 18,534 | $185,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 7,509 | $185,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 5,269 | $184,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 20,616 | $184,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 13,700 | $183,000 | thousands by filing date | call |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 12,031 | $183,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 6,473 | $183,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 3,631 | $183,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 924 | $182,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 24,831 | $181,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 3,550 | $180,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 16,752 | $179,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,000 | $179,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 4,679 | $178,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 1,400 | $177,000 | thousands by filing date | call |
| HORIZON BANCORP IND | 440407104 | COM | 6,033 | $176,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 19,183 | $176,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 6,452 | $175,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 3,762 | $174,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 4,327 | $174,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 1,779 | $174,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 11,865 | $174,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 6,371 | $174,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,950 | $173,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 8,459 | $173,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 14,532 | $172,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 12,962 | $172,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 7,047 | $172,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 2,920 | $172,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 161,000 | $172,000 | thousands by filing date | principal |
| EVERBRIDGE INC | 29978A104 | COM | 6,488 | $171,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 4,436 | $171,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 16,463 | $171,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 19,141 | $170,000 | thousands by filing date | |
| JANUS VELOCITY TAIL RISK HEDGED LARGE CAP ETF | 47103U704 | ETF | 5,725 | $170,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 13,000 | $169,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 6,640 | $169,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 34,452 | $169,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 5,187 | $169,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 6,061 | $168,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 7,122 | $168,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 12,454 | $168,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 4,449 | $168,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 21,497 | $168,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 6,386 | $167,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 10,529 | $167,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 94,291 | $167,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 11,989 | $167,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 7,398 | $166,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 16,200 | $166,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 11,336 | $165,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 6,572 | $165,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 5,513 | $165,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 13,162 | $163,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 10,249 | $163,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 14,159 | $163,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 17,289 | $162,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 180,224 | $162,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 3,591 | $161,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 50,419 | $161,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 65,554 | $161,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 4,430 | $160,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 39,114 | $160,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 8,796 | $160,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,500 | $158,000 | thousands by filing date | put |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 11,594 | $158,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 3,063 | $157,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 10,166 | $156,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 7,269 | $156,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 13,043 | $156,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 4,758 | $155,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 59,375 | $155,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 3,224 | $155,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 2,200 | $154,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 5,590 | $154,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 8,000 | $153,000 | thousands by filing date | call |
| CELLECTIS ADS | 15117K103 | COM | 5,385 | $153,000 | 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 |