13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-04-18, with 2,080 holding rows worth $24,565,801,000.
- Accession
- 0001580642-18-002117
- Filer
- CIK 1540235
- Filed
- 2018-04-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 2,338 entries on the cover page, a total value of $24,565,801,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $24,565,801,000 with VALUE read as thousands by filing date, 13F file number 028-14616. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| L BRANDS INC | 501797104 | COM | 6,152 | $235,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 15,795 | $234,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 5,399 | $234,000 | thousands by filing date | |
| GRAMERCY PPTY TR | 385002308 | COM NEW | 10,782 | $234,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 6,589 | $233,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 9,567 | $232,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 14,719 | $232,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 10,432 | $231,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 3,260 | $231,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 7,447 | $230,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 63,300 | $230,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 7,963 | $229,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 3,660 | $229,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 14,991 | $229,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 38,425 | $229,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 4,912 | $229,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 131,129 | $229,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 11,170 | $229,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 3,734 | $228,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 4,200 | $228,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 9,299 | $228,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 11,503 | $227,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 4,951 | $227,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 8,530 | $227,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 4,551 | $227,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 1,691 | $225,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 6,407 | $225,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,162 | $225,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 12,355 | $225,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,944 | $225,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 20,045 | $225,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 8,777 | $224,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 10,633 | $224,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 10,261 | $223,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,669 | $223,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,129 | $222,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 5,920 | $222,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 11,203 | $222,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 3,908 | $222,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 73,517 | $222,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 1,344 | $222,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 5,600 | $221,000 | thousands by filing date | call |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 5,766 | $221,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,577 | $220,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 2,667 | $220,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 9,991 | $220,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 11,450 | $220,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,401 | $219,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,571 | $219,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 15,117 | $219,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 2,557 | $219,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 4,755 | $219,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 4,503 | $218,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 13,624 | $218,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 1,899 | $217,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 2,772 | $217,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 1,835 | $216,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 2,973 | $216,000 | thousands by filing date | |
| XL GROUP LTD | G98294104 | COM | 3,894 | $215,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 1,878 | $214,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 3,703 | $214,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 6,662 | $214,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 1,923 | $214,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 35,430 | $214,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 2,132 | $214,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 4,944 | $214,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 1,729 | $213,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 8,992 | $213,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2,554 | $212,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 10,069 | $212,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 12,743 | $211,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 16,870 | $211,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 4,288 | $210,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 5,383 | $210,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 21,326 | $210,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 17,941 | $210,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 5,195 | $210,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 3,694 | $210,000 | thousands by filing date | |
| FLIR SYS INC | 302445101 | COM | 4,198 | $210,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 28,323 | $210,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 3,269 | $209,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 1,154 | $209,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 1,447 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 3,575 | $209,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 2,946 | $209,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 1,798 | $208,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 34,362 | $208,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $208,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 5,154 | $208,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 100,000 | $208,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,085 | $207,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 4,313 | $207,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 7,335 | $207,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 1,106 | $207,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 12,478 | $206,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 9,279 | $206,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 10,853 | $206,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 15,001 | $206,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 2,186 | $205,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 6,051 | $205,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 9,414 | $205,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,767 | $205,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 52,598 | $205,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 3,728 | $204,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 8,764 | $204,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 9,000 | $204,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 46,060 | $204,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 28,400 | $204,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 348,098 | $204,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,400 | $203,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 1,892 | $202,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 13,328 | $202,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 5,721 | $202,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 8,368 | $202,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 20,038 | $201,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 4,885 | $201,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 14,707 | $200,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 10,413 | $198,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 106,900 | $198,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 84,216 | $198,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 16,879 | $196,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 16,152 | $195,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 11,505 | $194,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 12,971 | $194,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 13,490 | $194,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 16,254 | $193,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 13,688 | $192,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 13,536 | $189,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 11,464 | $189,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 15,128 | $189,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 16,162 | $188,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 27,915 | $188,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 20,313 | $188,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 14,132 | $185,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 57,631 | $185,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 14,118 | $184,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 5,045 | $183,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 17,622 | $182,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 14,013 | $182,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 12,775 | $181,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 57,895 | $181,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 10,000 | $181,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $181,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 11,387 | $180,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 21,348 | $178,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 2,916 | $177,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 23,598 | $175,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 254,173 | $175,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 27,331 | $175,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 28,851 | $175,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 10,656 | $174,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 120,213 | $174,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $173,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 10,700 | $171,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 18,105 | $170,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 17,750 | $169,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 10,000 | $167,000 | thousands by filing date | put |
| EVERI HLDGS INC | 30034T103 | COM | 25,330 | $166,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 23,105 | $165,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 17,076 | $163,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 22,280 | $162,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 16,503 | $160,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 10,000 | $159,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 26,291 | $159,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 11,633 | $159,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 31,550 | $159,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 10,000 | $157,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 29,990 | $156,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 13,470 | $156,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 13,000 | $154,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 27,400 | $153,000 | thousands by filing date | put |
| STEALTHGAS INC | Y81669106 | COM | 38,000 | $153,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 520,143 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,780 | $152,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 17,057 | $152,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 20,886 | $151,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 24,303 | $150,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 10,561 | $150,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,700 | $149,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 50,671 | $149,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 54,275 | $149,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 11,020 | $147,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 11,852 | $144,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 99,934 | $144,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 11,004 | $143,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $142,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 22,923 | $142,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,500 | $141,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 33,600 | $140,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 13,244 | $140,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 109,127 | $140,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 10,836 | $137,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 27,743 | $137,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 20,525 | $136,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 25,896 | $135,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 10,846 | $135,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 45,000 | $134,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 19,076 | $134,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 18,178 | $132,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 12,592 | $132,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,909 | $131,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 3,200 | $129,000 | thousands by filing date | call |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 26,000 | $129,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 10,034 | $129,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 13,150 | $129,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,243 | $129,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 13,572 | $129,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 28,661 | $128,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 16,100 | $127,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 20,000 | $126,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 11,134 | $125,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 14,049 | $124,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 10,787 | $123,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 13,101 | $122,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 11,538 | $121,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,969 | $121,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 25,500 | $120,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 4,200 | $119,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 11,000 | $119,000 | thousands by filing date | call |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 29,039 | $119,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 10,500 | $118,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 10,569 | $118,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 14,328 | $117,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 150,580 | $116,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,000 | $115,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 10,540 | $114,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $114,000 | thousands by filing date | principal |
| JAMBA INC | 47023A309 | COM NEW | 13,267 | $114,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,710 | $113,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 68,000 | $113,000 | thousands by filing date | principal |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 10,600 | $112,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 25,000 | $110,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 110,000 | $110,000 | thousands by filing date | principal |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 16,442 | $109,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,699 | $109,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 14,364 | $109,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,658 | $108,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 24,621 | $108,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 20,000 | $107,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 128,505 | $107,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $106,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 32,000 | $106,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 17,166 | $105,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 20,350 | $105,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,185 | $104,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,433 | $104,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 36,493 | $103,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 25,837 | $102,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 15,137 | $102,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,436 | $101,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 10,000 | $101,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 19,500 | $100,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 14,288 | $99,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 14,826 | $98,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 14,634 | $98,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 18,850 | $98,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 13,292 | $98,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $97,000 | thousands by filing date | principal |
| FANG HOLDING-ADR | 30711Y102 | ADR | 18,920 | $97,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,050 | $96,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 10,200 | $93,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 20,000 | $93,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 49,285 | $93,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 28,865 | $91,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 34,254 | $91,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 18,655 | $90,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,077 | $89,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 18,350 | $88,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,000 | $88,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 26,000 | $88,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 11,120 | $86,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 12,856 | $86,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 80,000 | $85,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 34,247 | $83,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 65,000 | $83,000 | thousands by filing date | principal |
| PLUG PWR INC | 72919P202 | COM NEW | 42,615 | $81,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 15,484 | $81,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 29,858 | $80,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 38,472 | $80,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 1,200 | $79,000 | thousands by filing date | call |
| TRANSENTERIX INC | 89366M201 | COM NEW | 46,628 | $79,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 2,000 | $76,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 11,005 | $75,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 10,109 | $75,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 12,933 | $75,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,495 | $73,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,000 | $72,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 39,100 | $72,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 24,000 | $71,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 10,967 | $71,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 14,500 | $71,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 70,000 | $70,000 | thousands by filing date | principal |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 13,323 | $69,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 25,022 | $69,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 31,427 | $69,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 425,000 | $69,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 80,245 | $69,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 51,747 | $68,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 21,775 | $68,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 111,090 | $66,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 45,000 | $65,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $64,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 47,000 | $63,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 14,187 | $61,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 19,880 | $61,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 170,735 | $61,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 11,574 | $60,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 50,700 | $60,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,139 | $59,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,023 | $58,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 48,680 | $58,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 33,800 | $57,000 | thousands by filing date | put |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 175,000 | $56,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 20,120 | $55,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 45,000 | $55,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $54,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 41,000 | $53,000 | thousands by filing date | principal |
| MIND C T I LTD | M70240102 | ORD | 23,522 | $52,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $52,000 | thousands by filing date | principal |
| Booking Holdings Inc. | 09857L108 | COM | 100 | $49,000 | thousands by filing date | call |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $49,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,000 | $48,000 | thousands by filing date | put |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 12,085 | $48,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 27,000 | $48,000 | thousands by filing date | principal |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,500 | $47,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 10,000 | $46,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,819 | $45,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 17,000 | $45,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 45,000 | $45,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $44,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 31,000 | $43,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 37,325 | $43,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 71,000 | $42,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 3,700 | $42,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 116,100 | $42,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $42,000 | thousands by filing date | principal |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $42,000 | thousands by filing date | principal |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,500 | $41,000 | thousands by filing date | call |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,105 | $41,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $41,000 | thousands by filing date | principal |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 21,000 | $40,000 | thousands by filing date | put |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 17,000 | $39,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 3,700 | $38,000 | thousands by filing date | call |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 33,000 | $38,000 | thousands by filing date | principal |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $38,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 1,000 | $37,000 | thousands by filing date | put |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 30,080 | $37,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 65,049 | $36,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 30,000 | $36,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $35,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 31,500 | $35,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 24,100 | $35,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 25,000 | $35,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 25,400 | $34,000 | thousands by filing date | call |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,500 | $34,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $33,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 10,500 | $33,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $33,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 38,000 | $33,000 | thousands by filing date | principal |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 35,000 | $33,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 14,260 | $32,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 13,200 | $32,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 11,601 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $31,000 | thousands by filing date | principal |
| Deere & Company | 244199105 | COM | 3,000 | $30,000 | thousands by filing date | call |
| ANTARES PHARMA INC | 036642106 | COM | 13,500 | $30,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,700 | $29,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 27,000 | $27,000 | thousands by filing date | principal |
| BED BATH & BEYOND INC | 690370101 | COM | 5,000 | $26,000 | thousands by filing date | call |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 12,305 | $26,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 19,200 | $26,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 30,000 | $26,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,349 | $26,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,900 | $25,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 26,000 | $25,000 | thousands by filing date | principal |
| KLONDEX MNS LTD | 498696103 | COM | 10,000 | $24,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 2,200 | $23,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 10,175 | $23,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $23,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 13,217 | $22,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 78,077 | $22,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 23,000 | $22,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 88,500 | $22,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $22,000 | thousands by filing date | principal |
| INCYTE CORP COM | 45337C102 | Stock | 500 | $20,000 | thousands by filing date | call |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $20,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 20,100 | $20,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 11,503 | $20,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 20,000 | $20,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 13,000 | $20,000 | thousands by filing date | principal |
| Micron Technology,Inc. | 595112103 | COM | 1,500 | $19,000 | thousands by filing date | call |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 21,244 | $19,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,000 | $18,000 | thousands by filing date | call |
| TANGER INC | 875465106 | COM | 5,000 | $18,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 12,167 | $18,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 13,648 | $18,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 16,000 | $18,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 20,000 | $18,000 | thousands by filing date | principal |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 15,915 | $18,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 15,000 | $18,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 12,500 | $17,000 | thousands by filing date | put |
| CELGENE CORP | 151020104 | COM | 25,000 | $17,000 | thousands by filing date | put |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $17,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $16,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 40,001 | $16,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 300 | $15,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 500 | $15,000 | thousands by filing date | call |
| SYNCHRONYFINL | 87165B103 | STOK | 2,600 | $15,000 | thousands by filing date | call |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 66,000 | $15,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,700 | $14,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 1,700 | $14,000 | thousands by filing date | call |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 200 | $14,000 | thousands by filing date | call |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 35,016 | $14,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 21,000 | $14,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 15,000 | $14,000 | thousands by filing date | principal |
| MY SIZE INC | 62844N109 | COM | 10,000 | $14,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 13,020 | $13,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 16,000 | $13,000 | thousands by filing date | principal |
| GENERAL MILLS INC COM | 370334104 | Stock | 10,000 | $12,000 | thousands by filing date | put |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 18,409 | $12,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 10,000 | $11,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,400 | $11,000 | thousands by filing date | call |
| SEADRILL ORD | G7945E105 | COM | 58,039 | $11,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| IPASS INC | 46261V108 | COM | 30,000 | $11,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $11,000 | thousands by filing date | principal |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 12,000 | $11,000 | thousands by filing date | principal |
| Gilead Sciences,Inc. | 375558103 | COM | 1,900 | $10,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 13,250 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 3,200 | $10,000 | thousands by filing date | call |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,500 | $10,000 | thousands by filing date | put |
| AETNA INC NEW | 00817Y108 | COM | 3,300 | $10,000 | thousands by filing date | call |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 15,300 | $10,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 44,280 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $10,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 2,200 | $9,000 | thousands by filing date | call |
| EQUINIX INC COM | 29444U700 | REIT | 300 | $9,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 10,000 | $9,000 | thousands by filing date | principal |
| HELMERICH & PAYNE INC | 423452101 | COM | 500 | $8,000 | thousands by filing date | call |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 5,000 | $8,000 | thousands by filing date | put |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,000 | $8,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,932 | $8,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 130,000 | $8,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 13,779 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 16,400 | $7,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,000 | $6,000 | thousands by filing date | call |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 300 | $6,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,000 | $6,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 500 | $6,000 | thousands by filing date | call |
| ARISTA NETWORKS INC | 040413106 | COM | 200 | $6,000 | thousands by filing date | call |
| BIOLASE INC | 090911108 | COMMON STOCK | 14,275 | $6,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 15,000 | $6,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 100 | $5,000 | thousands by filing date | put |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 200 | $5,000 | thousands by filing date | put |
| Intuitive Surgical,Inc. | 46120E602 | COM | 100 | $5,000 | thousands by filing date | call |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,000 | $5,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 25,275 | $5,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 10,100 | $4,000 | thousands by filing date | call |
| ROBERT HALF INC. COM | 770323103 | Stock | 5,700 | $4,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,000 | $4,000 | thousands by filing date | put |
| U S G CORP | 903293405 | COM NEW | 800 | $4,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 500 | $3,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 100 | $3,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 1,100 | $3,000 | thousands by filing date | put |
| Medtronic Plc | G5960L103 | COM | 100 | $3,000 | thousands by filing date | call |
| MERCADOLIBREINC | 58733R102 | STOK | 100 | $3,000 | thousands by filing date | put |
| FORD MTR CO COM | 345370860 | Stock | 21,500 | $3,000 | thousands by filing date | put |
| NORTHERN TR CORP COM | 665859104 | Stock | 400 | $3,000 | thousands by filing date | call |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 500 | $3,000 | thousands by filing date | call |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 300 | $3,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 1,000 | $3,000 | thousands by filing date | call |
| IPG PHOTONICS CORP | 44980X109 | COM | 100 | $3,000 | thousands by filing date | put |
| IPG PHOTONICS CORP | 44980X109 | COM | 100 | $3,000 | thousands by filing date | call |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 300 | $3,000 | thousands by filing date | call |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 3,000 | $3,000 | thousands by filing date | call |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 400 | $3,000 | thousands by filing date | put |
| Abbott Laboratories | 002824100 | COM | 100 | $2,000 | thousands by filing date | call |
| ConocoPhillips | 20825C104 | COM | 500 | $2,000 | thousands by filing date | put |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,000 | $2,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 5,000 | $2,000 | thousands by filing date | call |
| NIKE,Inc. Class B | 654106103 | COM | 100 | $2,000 | thousands by filing date | call |
| SHERWIN WILLIAMS CO | 824348106 | COM | 100 | $2,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 200 | $2,000 | thousands by filing date | put |
| YELP INC CL A | 985817105 | Stock | 300 | $2,000 | thousands by filing date | call |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 100 | $2,000 | thousands by filing date | call |
| AUTOZONE INC COM | 053332102 | Stock | 100 | $2,000 | thousands by filing date | put |
| GENERAL MILLS INC COM | 370334104 | Stock | 200 | $2,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 200 | $2,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 500 | $2,000 | thousands by filing date | put |
| BLACKROCK INC CL A COM | 09247X101 | COM | 200 | $2,000 | thousands by filing date | call |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 500 | $2,000 | thousands by filing date | put |
| APACHE CORP | 037411105 | COM | 900 | $2,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $2,000 | thousands by filing date | call |
| BROADCOM LTD | Y09827109 | SHS | 100 | $2,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-18-002117 | this filing | 2018-04-18 | acceptance time not in the bulk data set |