13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 7,138 holding rows worth $597,432,246,000.
- Accession
- 0001140361-18-008283
- Filer
- CIK 70858
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 20,463 entries on the cover page, a total value of $597,432,246,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $597,432,246,000 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 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 |
|---|---|---|---|---|---|---|
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 50,968 | $983,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 54,214 | $982,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 55,800 | $980,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 90,329 | $977,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 7,438 | $976,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 30,248 | $973,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 129,673 | $972,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 34,790 | $968,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 10,302 | $967,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 159,215 | $966,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 5,500 | $964,000 | thousands by filing date | call |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 102,793 | $964,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 66,971 | $961,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 13,500 | $959,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X867 | CMN | 24,909 | $958,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 25,291 | $957,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 17,090 | $952,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 64,984 | $950,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 70,688 | $949,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 56,900 | $948,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 40,000 | $948,000 | thousands by filing date | call |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 35,624 | $947,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 93,826 | $947,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 37,138 | $947,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 30,259 | $946,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 2,377 | $941,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 19,000 | $941,000 | thousands by filing date | call |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 22,947 | $940,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 45,500 | $939,000 | thousands by filing date | call |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 33,683 | $939,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 33,425 | $938,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 15,945 | $935,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 91,610 | $935,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 11,934 | $934,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 23,409 | $930,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 15,039 | $929,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 83,097 | $929,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 9,990 | $926,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 32,838 | $924,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 96,528 | $922,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 47,895 | $922,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 198,212 | $921,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 54,888 | $920,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 63,058 | $919,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 54,255 | $918,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 22,500 | $916,000 | thousands by filing date | put |
| BUCKLE INC COM | 118440106 | Stock | 38,430 | $913,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 100,125 | $909,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 28,334 | $908,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 9,778 | $908,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 44,777 | $907,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 21,143 | $906,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 50,852 | $905,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 32,754 | $904,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 45,000 | $903,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 44,399 | $902,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 353,783 | $902,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 54,063 | $899,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 23,843 | $898,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 149,567 | $897,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 15,119 | $895,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 51,250 | $892,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 52,674 | $891,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 69,434 | $890,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 13,214 | $889,000 | thousands by filing date | |
| RH | 74967X103 | COM | 10,300 | $888,000 | thousands by filing date | put |
| FINISH LINE/THE CL A | 317923100 | COM | 61,021 | $887,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 14,478 | $886,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 27,701 | $883,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 17,530 | $881,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 12,000 | $880,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 8,700 | $878,000 | thousands by filing date | put |
| SL GREEN REALTY CORP | 78440X101 | COM | 8,700 | $878,000 | thousands by filing date | call |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 53,517 | $878,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 10,256 | $877,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 12,525 | $875,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 15,000 | $875,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 29,200 | $873,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 220,000 | $871,000 | thousands by filing date | call |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 288,466 | $871,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 27,309 | $870,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 70,692 | $869,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 521,260 | $869,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 100,136 | $867,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 49,038 | $866,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 72,532 | $865,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 17,417 | $864,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 237,040 | $863,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 94,539 | $863,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 34,472 | $861,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 114,281 | $861,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 91,069 | $860,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 43,837 | $860,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 900,000 | $860,000 | thousands by filing date | principal |
| EXTREME NETWORKS INC | 30226D106 | COM | 68,418 | $856,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 32,353 | $856,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 609 | $856,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 130,863 | $852,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 10,800 | $850,000 | thousands by filing date | call |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 109,311 | $849,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 9,596 | $846,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 80,064 | $843,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 94,907 | $840,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 100,654 | $839,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 89,900 | $837,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 71,505 | $834,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 83,382 | $834,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 18,513 | $832,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 157,841 | $827,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 46,890 | $827,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 57,746 | $826,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 41,683 | $825,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 48,982 | $818,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 34,451 | $817,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 34,140 | $814,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 82,872 | $814,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 100,100 | $812,000 | thousands by filing date | call |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 10,149 | $810,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 183 | $808,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 9,154 | $807,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 52,012 | $807,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 12,500 | $806,000 | thousands by filing date | put |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 43,822 | $806,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 25,619 | $806,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 7,000 | $805,000 | thousands by filing date | call |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 21,760 | $805,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 69,309 | $803,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 47,030 | $803,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 82,704 | $803,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 50,691 | $802,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 67,771 | $800,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 63,624 | $798,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 43,250 | $798,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 4,500 | $795,000 | thousands by filing date | call |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 75,817 | $795,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 53,728 | $794,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 91,268 | $792,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 35,800 | $791,000 | thousands by filing date | put |
| M B T FINANCIAL CORP | 578877102 | Stock | 74,656 | $791,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 16,617 | $788,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 37,791 | $787,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 18,663 | $787,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 68,755 | $786,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 28,680 | $785,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 43,786 | $783,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 40,120 | $782,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 95,124 | $780,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 25,500 | $777,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 88,630 | $777,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 32,418 | $776,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 23,322 | $773,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 17,485 | $773,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 64,704 | $773,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 60,846 | $772,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 62,595 | $772,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 60,441 | $771,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 9,758 | $769,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 89,948 | $767,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 45,001 | $766,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 3,400 | $765,000 | thousands by filing date | call |
| HP INC COM | 40434L105 | Stock | 36,400 | $765,000 | thousands by filing date | call |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 5,000 | $763,000 | thousands by filing date | put |
| REDFIN CORP | 75737F108 | COM | 24,351 | $763,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 24,458 | $762,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 128,853 | $760,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 50,437 | $760,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 36,032 | $760,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 10,500 | $756,000 | thousands by filing date | call |
| AK STEEL HOLDING CORP | 001547108 | COM | 133,600 | $756,000 | thousands by filing date | call |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 13,000 | $754,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 37,401 | $751,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 55,138 | $749,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 19,108 | $747,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P888 | NUVEEN ESG EMRGN | 25,310 | $746,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 82,869 | $745,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 168,898 | $744,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 55,199 | $743,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 14,763 | $741,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 74,117 | $741,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 106,113 | $740,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 35,271 | $734,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 91,302 | $731,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 28,190 | $730,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 19,373 | $729,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 16,800 | $728,000 | thousands by filing date | put |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 16,800 | $728,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 20,252 | $728,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 100,000 | $721,000 | thousands by filing date | call |
| CIRCOR INTL INC | 17273K109 | COM | 14,803 | $721,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 41,312 | $720,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 45,963 | $720,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 41,520 | $718,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 35,332 | $717,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 58,875 | $716,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 36,726 | $716,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 28,421 | $715,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 26,184 | $714,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 18,248 | $712,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 603,000 | $710,000 | thousands by filing date | principal |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 22,641 | $709,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 9,400 | $709,000 | thousands by filing date | call |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 71,087 | $709,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 8,100 | $708,000 | thousands by filing date | call |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 58,010 | $708,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 6,761 | $708,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 81,944 | $708,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 51,763 | $707,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 8,240 | $707,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 20,000 | $706,000 | thousands by filing date | put |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 40,321 | $706,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 13,800 | $705,000 | thousands by filing date | put |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 11,108 | $705,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 70,821 | $705,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 35,498 | $704,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 123,777 | $703,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 23,905 | $701,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 84,316 | $699,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 9,877 | $698,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 25,400 | $697,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 232,342 | $697,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 14,784 | $695,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 65,928 | $693,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 36,860 | $693,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 35,746 | $691,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 16,226 | $691,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 33,694 | $690,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 61,100 | $689,000 | thousands by filing date | put |
| ISHARES INC | 464286301 | CMN | 32,722 | $688,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 52,094 | $687,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 21,310 | $686,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 12,718 | $686,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 704,000 | $686,000 | thousands by filing date | principal |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 68,126 | $685,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 20,655 | $684,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 126,561 | $683,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 19,645 | $683,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 37,800 | $681,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 47,898 | $677,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 36,217 | $677,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 55,958 | $677,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 24,050 | $675,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 7,243 | $675,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 55,593 | $674,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 16,185 | $674,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 7,602 | $673,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 231,083 | $672,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 56,924 | $671,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 42,809 | $669,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 15,965 | $667,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 89,676 | $664,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 42,652 | $661,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 24,792 | $661,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 77,334 | $661,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 56,194 | $660,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 22,267 | $659,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 46,678 | $656,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 44,492 | $656,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 13,842 | $656,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 67,400 | $654,000 | thousands by filing date | |
| UNISYS CORP | 909214BS6 | NOTE 5.500% 3/0 | 575,000 | $652,000 | thousands by filing date | principal |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 27,235 | $651,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 70,302 | $651,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 275,670 | $651,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 17,814 | $649,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 14,316 | $648,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 116,972 | $648,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 40,744 | $648,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 32,117 | $646,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 46,797 | $645,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 65,853 | $645,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 24,266 | $644,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 12,963 | $643,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 19,059 | $642,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 19,636 | $640,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 29,852 | $640,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 4,800 | $639,000 | thousands by filing date | call |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 4,700 | $638,000 | thousands by filing date | call |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 32,506 | $638,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 26,194 | $635,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 59,619 | $633,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 46,515 | $633,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 43,900 | $632,000 | thousands by filing date | call |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 1,002 | $632,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 36,514 | $632,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 22,048 | $631,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 93,647 | $631,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 36,137 | $631,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 19,284 | $630,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 46,925 | $629,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 147,437 | $628,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 153,196 | $628,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 200,000 | $626,000 | thousands by filing date | call |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 30,352 | $624,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 34,500 | $624,000 | thousands by filing date | call |
| DRIVE SHACK INC | 262077100 | COM | 112,429 | $622,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 17,600 | $621,000 | thousands by filing date | call |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 60,908 | $621,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 27,830 | $620,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 68,351 | $619,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 25,560 | $616,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 100,910 | $614,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 26,505 | $614,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 38,834 | $614,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 26,426 | $613,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 8,790 | $612,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 30,265 | $612,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 42,875 | $612,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 19,611 | $611,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 127,554 | $611,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 40,257 | $610,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 50,147 | $610,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 25,923 | $610,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 23,786 | $609,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 16,822 | $608,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 46,158 | $608,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 46,185 | $605,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 91,540 | $605,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 7,900 | $604,000 | thousands by filing date | call |
| FBL FINL GROUP INC | 30239F106 | CL A | 8,660 | $604,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 22,376 | $603,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 16,578 | $603,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 31,039 | $603,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 44,715 | $603,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 10,000 | $602,000 | thousands by filing date | put |
| EBIX INC | 278715206 | COM NEW | 7,587 | $602,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 5,963 | $601,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 134,830 | $600,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 93,749 | $600,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 602,000 | $599,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 9,298 | $598,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 54,556 | $598,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 20,031 | $596,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 47,352 | $595,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 9,916 | $592,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 47,232 | $591,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 21,547 | $590,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 39,301 | $589,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 31,541 | $588,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 15,783 | $588,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 49,495 | $588,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 192,000 | $587,000 | thousands by filing date | principal |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 4,432 | $586,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 52,826 | $586,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 22,918 | $586,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 27,229 | $583,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 49,767 | $581,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 28,082 | $579,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 9,327 | $578,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 26,866 | $577,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 37,486 | $577,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 14,446 | $576,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 30,214 | $576,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 20,217 | $576,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 36,736 | $575,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 93,135 | $575,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 38,845 | $575,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 24,783 | $573,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 49,611 | $573,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 13,766 | $571,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 8,108 | $571,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,000 | $570,000 | thousands by filing date | call |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 21,266 | $570,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 25,252 | $570,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 16,626 | $569,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 75,000 | $568,000 | thousands by filing date | put |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 33,418 | $568,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 15,027 | $567,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 53,345 | $567,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 47,352 | $564,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 36,994 | $563,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 16,613 | $561,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 205,083 | $561,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 25,858 | $560,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 42,213 | $559,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 115,900 | $559,000 | thousands by filing date | call |
| CARE COM INC | 141633107 | COM | 31,019 | $559,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 100,000 | $558,000 | thousands by filing date | call |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 41,590 | $557,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 30,155 | $556,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 88,826 | $556,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 31,063 | $556,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 31,176 | $553,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 145,424 | $553,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 23,767 | $553,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 59,634 | $553,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 42,099 | $553,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 45,000 | $552,000 | thousands by filing date | put |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 5,796 | $552,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 3,030 | $552,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 31,869 | $550,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 17,510 | $548,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 20,751 | $548,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 34,714 | $547,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 91,231 | $543,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 7,500 | $542,000 | thousands by filing date | put |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 48,148 | $542,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 320,571 | $542,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 35,200 | $541,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 38,749 | $540,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 24,108 | $540,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 5,436 | $540,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 56,875 | $540,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 554,000 | $538,000 | thousands by filing date | principal |
| Accelerate Diagnostics | 00430H102 | COM | 20,477 | $537,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 9,004 | $536,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 27,601 | $536,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 12,068 | $533,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 52,391 | $532,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 41,203 | $532,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 91,163 | $530,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 14,055 | $526,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 84,246 | $525,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 12,137 | $524,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 48,541 | $524,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 35,970 | $522,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 16,015 | $521,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 52,810 | $517,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 10,000 | $516,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 10,700 | $515,000 | thousands by filing date | put |
| RADIAN GROUP INC COM | 750236101 | Stock | 25,000 | $515,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 48,747 | $515,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 26,413 | $515,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 74,527 | $512,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 29,703 | $512,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 144,276 | $512,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 8,353 | $511,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 28,211 | $510,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 43,071 | $507,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 66,695 | $507,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 7,950 | $505,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 54,848 | $504,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 105,467 | $504,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 8,386 | $503,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 23,816 | $503,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 92,188 | $502,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,000 | $501,000 | thousands by filing date | call |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 75,956 | $501,000 | thousands by filing date | |
| HARMONIC INC | 413160AB8 | NOTE 4.000%12/0 | 500,000 | $501,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 671,000 | $500,000 | thousands by filing date | principal |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 8,713 | $498,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 43,995 | $498,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 32,800 | $497,000 | thousands by filing date | put |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 85,424 | $496,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 67,044 | $496,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 54,177 | $494,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 10,889 | $494,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 28,625 | $494,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 33,586 | $494,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 21,122 | $494,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 6,117 | $493,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 45,928 | $493,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 13,466 | $493,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 33,115 | $492,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 9,231 | $491,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 17,469 | $491,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 513,000 | $490,000 | thousands by filing date | principal |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 40,821 | $489,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 12,433 | $489,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 34,841 | $489,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 58,154 | $488,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 60,743 | $488,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 83,566 | $487,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 19,370 | $487,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 17,305 | $485,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 7,913 | $484,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 26,707 | $484,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 45,931 | $483,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 1,020,000 | $481,000 | thousands by filing date | principal |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 10,701 | $480,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 351,000 | $480,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 13,708 | $479,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 11,020 | $479,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 23,821 | $477,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 15,015 | $476,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 35,535 | $475,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 44,121 | $474,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 6,300 | $472,000 | thousands by filing date | call |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 7,212 | $472,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 165,009 | $472,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 7,816 | $472,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 22,993 | $470,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 462,000 | $470,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B365 | S&P SMLCP HIG VO | 18,644 | $469,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 5,500 | $468,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 26,731 | $468,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 47,312 | $467,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 141,393 | $467,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 157,881 | $467,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 10,307 | $465,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 7,453 | $465,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 6,335 | $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 | |
| MATTEL INC | 577081102 | COM | 30,000 | $461,000 | thousands by filing date | call |
| KINSALECAPGROUPINC | 49714P108 | STOK | 10,193 | $459,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 33,052 | $459,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 15,134 | $459,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 16,861 | $458,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 5,536 | $458,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 9,095 | $457,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 32,646 | $457,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-18-008283 | this filing | 2018-02-14 | acceptance time not in the bulk data set |