13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-07-20, with 2,068 holding rows worth $25,464,079,000.
- Accession
- 0001580642-18-003439
- Filer
- CIK 1540235
- Filed
- 2018-07-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 2,323 entries on the cover page, a total value of $25,464,079,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $25,464,079,000 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 |
|---|---|---|---|---|---|---|
| LAM RESEARCH CORP | 512807108 | COM | 20,000 | $244,000 | thousands by filing date | call |
| TORO CO | 891092108 | COM | 4,040 | $243,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 4,253 | $243,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 16,363 | $243,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 180,313 | $243,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 7,517 | $242,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 18,103 | $242,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 59,067 | $242,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 19,174 | $242,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,225 | $241,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 3,679 | $241,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 3,545 | $241,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 2,970 | $241,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 1,395 | $240,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 4,195 | $240,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 2,006 | $239,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 11,646 | $239,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 5,624 | $238,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 4,038 | $238,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 9,052 | $238,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 14,070 | $238,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 48,279 | $238,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $238,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 2,120 | $237,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 5,842 | $237,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 22,996 | $237,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 4,144 | $236,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 9,891 | $236,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 9,745 | $236,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 1,767 | $235,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 5,020 | $235,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 24,181 | $235,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 347,898 | $235,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 11,653 | $234,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 2,029 | $234,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 9,305 | $233,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 5,760 | $233,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,577 | $232,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 2,423 | $232,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 4,764 | $232,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 10,563 | $232,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 10,711 | $231,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 11,299 | $231,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 22,191 | $231,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 2,379 | $230,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 4,313 | $230,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 4,384 | $229,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 7,941 | $229,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 8,398 | $229,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 4,975 | $229,000 | thousands by filing date | |
| XL GROUP LTD | G98294104 | COM | 4,084 | $229,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 14,000 | $229,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 10,745 | $228,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 2,186 | $227,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,092 | $227,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 6,943 | $227,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 2,018 | $227,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 2,840 | $227,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 38,930 | $227,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 6,000 | $227,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 17,762 | $226,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,696 | $226,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 5,106 | $226,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 3,145 | $226,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 1,792 | $226,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 5,490 | $225,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 1,304 | $225,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 9,757 | $225,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 11,269 | $225,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 3,062 | $224,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 3,050 | $224,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 6,702 | $224,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 5,869 | $222,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 3,281 | $222,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 7,965 | $222,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 2,363 | $221,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 13,448 | $221,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 41,370 | $221,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 20,723 | $220,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 11,070 | $220,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 6,560 | $220,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 12,933 | $220,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 9,100 | $220,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,768 | $219,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 3,315 | $219,000 | thousands by filing date | |
| HUNT J B TRANS SVCS INC COM | 445658107 | Stock | 1,805 | $219,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 10,832 | $218,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,183 | $218,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 9,605 | $218,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 4,835 | $217,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 6,621 | $217,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 4,311 | $217,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 1,694 | $217,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,120 | $217,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 11,574 | $217,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,426 | $217,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 6,801 | $217,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 6,133 | $216,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 2,998 | $215,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 6,039 | $215,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 2,002 | $215,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 3,652 | $215,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 1,584 | $214,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 15,111 | $214,000 | thousands by filing date | |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 1,106 | $213,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 6,393 | $213,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 16,875 | $213,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 70,621 | $213,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 4,263 | $212,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 2,628 | $212,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 16,750 | $212,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 5,396 | $212,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 9,596 | $211,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 6,338 | $211,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 7,044 | $211,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 22,317 | $211,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 5,677 | $210,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,425 | $210,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 1,340 | $210,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 1,795 | $210,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 6,282 | $209,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 2,016 | $209,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 5,326 | $209,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,890 | $209,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 5,555 | $209,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 62,531 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 2,665 | $208,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 1,160 | $207,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 9,674 | $207,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 4,944 | $207,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 1,520 | $206,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 20,495 | $206,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 6,800 | $203,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,552 | $202,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 5,000 | $202,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 17,750 | $202,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 3,392 | $201,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 2,989 | $201,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 2,668 | $200,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,544 | $200,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 46,189 | $200,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 9,390 | $200,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 14,707 | $199,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 60,397 | $199,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 11,624 | $198,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 14,503 | $198,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 26,259 | $198,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 94,475 | $197,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 10,000 | $197,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 27,230 | $196,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 58,243 | $196,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $195,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $193,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 46,900 | $192,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 15,128 | $191,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 11,319 | $191,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 12,996 | $188,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 25,696 | $187,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 145,005 | $187,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 17,469 | $186,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 11,410 | $184,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 15,716 | $184,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 90,400 | $182,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 11,700 | $181,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 19,320 | $180,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 73,316 | $180,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $179,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 11,414 | $177,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 11,181 | $177,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 22,760 | $176,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 29,400 | $176,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 14,346 | $174,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 101,300 | $174,000 | thousands by filing date | call |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 26,291 | $174,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 10,123 | $172,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 5,105 | $172,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 39,354 | $172,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 11,029 | $171,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 22,808 | $170,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 18,020 | $170,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 31,921 | $169,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 19,628 | $168,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,100 | $167,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 23,462 | $166,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 10,656 | $165,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 10,218 | $164,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 19,368 | $162,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 10,444 | $162,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 78,000 | $162,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 26,023 | $160,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 10,800 | $157,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 13,334 | $157,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 17,705 | $155,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 13,474 | $155,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 49,671 | $154,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,885 | $152,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 13,213 | $148,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 54,275 | $148,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 37,000 | $147,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 11,888 | $145,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 29,246 | $145,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 13,150 | $144,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 16,000 | $144,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 11,977 | $143,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 63,100 | $143,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 109,127 | $143,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 27,550 | $142,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 13,843 | $142,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $141,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 10,873 | $140,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 18,565 | $138,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 13,572 | $138,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 28,851 | $137,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 18,506 | $136,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 114,326 | $136,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 22,331 | $135,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 11,538 | $134,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,052 | $134,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,784 | $133,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 13,615 | $133,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 25,299 | $132,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 20,000 | $130,000 | thousands by filing date | call |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,000 | $130,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 23,300 | $129,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 21,990 | $128,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 10,196 | $128,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 101,934 | $128,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 68,000 | $127,000 | thousands by filing date | principal |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 14,848 | $126,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 25,650 | $126,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 17,715 | $124,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 12,056 | $123,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 13,386 | $123,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 250,100 | $123,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 42,382 | $123,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 548 | $122,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 10,505 | $122,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 22,870 | $121,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 15,000 | $121,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 2,500 | $120,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 18,472 | $120,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 169,313 | $119,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 10,000 | $118,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,797 | $118,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $116,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 16,000 | $115,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 31,000 | $115,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 19,447 | $114,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,631 | $111,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 10,140 | $111,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,442 | $111,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 19,550 | $111,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 45,517 | $110,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,324 | $109,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 20,342 | $109,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 14,364 | $109,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 110,000 | $109,000 | thousands by filing date | principal |
| ELECTROMED INC | 285409108 | COMMON STOCK | 20,000 | $108,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,190 | $108,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 11,190 | $108,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 28,475 | $107,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,100 | $106,000 | thousands by filing date | call |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 11,601 | $106,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,650 | $106,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 22,280 | $106,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 10,037 | $105,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 526,829 | $105,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,000 | $104,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $104,000 | thousands by filing date | principal |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,433 | $103,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 1,500 | $102,000 | thousands by filing date | call |
| FIBROCELL SCIENCE INC | 315721407 | COM | 37,202 | $101,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 11,726 | $100,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $99,000 | thousands by filing date | principal |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 31,669 | $98,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 21,850 | $97,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 17,550 | $97,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 14,900 | $97,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 12,607 | $94,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 28,865 | $94,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,658 | $94,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 14,245 | $93,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,347 | $93,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 57,742 | $93,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 24,691 | $93,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,000 | $92,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 25,500 | $92,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,936 | $91,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,500 | $90,000 | thousands by filing date | call |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 32,324 | $89,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 3,200 | $88,000 | thousands by filing date | call |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 65,000 | $88,000 | thousands by filing date | principal |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 203,245 | $88,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 30,726 | $87,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 12,680 | $85,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 13,392 | $85,000 | 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 |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 31,308 | $84,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 13,500 | $84,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 109,680 | $84,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,227 | $83,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 42,346 | $83,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 10,436 | $81,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 34,572 | $81,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 14,175 | $80,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 31,070 | $80,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 10,616 | $80,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 48,476 | $80,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 80,245 | $79,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 10,960 | $77,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 16,341 | $76,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 39,592 | $76,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,000 | $75,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,000 | $75,000 | thousands by filing date | call |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,413 | $75,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 13,326 | $74,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,000 | $73,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 11,000 | $73,000 | thousands by filing date | call |
| FANG HOLDING-ADR | 30711Y102 | ADR | 18,470 | $72,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 20,000 | $71,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $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 |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 50,093 | $69,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 13,760 | $66,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,139 | $66,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,200 | $65,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 11,006 | $65,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $64,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 30,977 | $63,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 11,247 | $63,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 50,000 | $63,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 20,140 | $62,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 48,760 | $62,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,024 | $60,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 12,023 | $60,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $59,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 50,700 | $59,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 26,000 | $57,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,800 | $56,000 | thousands by filing date | call |
| PDL BIOPHARMA INC | 69329Y104 | COM | 24,000 | $56,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 32,355 | $56,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 3,000 | $54,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 13,150 | $54,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 41,100 | $54,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,609 | $53,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 20,000 | $53,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,200 | $52,000 | thousands by filing date | call |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 28,345 | $52,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $52,000 | thousands by filing date | principal |
| IDEXX LABS INC COM | 45168D104 | Stock | 1,000 | $51,000 | thousands by filing date | call |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $50,000 | thousands by filing date | principal |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 22,100 | $49,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $49,000 | thousands by filing date | principal |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 35,000 | $48,000 | thousands by filing date | put |
| MIND C T I LTD | M70240102 | ORD | 22,022 | $48,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $48,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $48,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 37,000 | $46,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,582 | $45,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $45,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 45,000 | $45,000 | thousands by filing date | principal |
| AXONENTERPRISEINC | 05464C101 | STOK | 1,500 | $44,000 | thousands by filing date | call |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 19,815 | $44,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 12,700 | $43,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $42,000 | thousands by filing date | principal |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 31,500 | $42,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 33,000 | $41,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $41,000 | thousands by filing date | principal |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 166,000 | $40,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 25,000 | $38,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 100,000 | $37,000 | thousands by filing date | call |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,001 | $37,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,005 | $37,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $35,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,753 | $35,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,587 | $33,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,849 | $33,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 1,500 | $32,000 | thousands by filing date | call |
| IGC PHARMA INC | 45408X308 | COM NEW | 65,049 | $32,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $32,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $32,000 | thousands by filing date | principal |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 23,013 | $31,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,320 | $31,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 12,348 | $30,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 20,593 | $30,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $29,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 38,000 | $29,000 | thousands by filing date | principal |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,700 | $28,000 | thousands by filing date | call |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $28,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 10,052 | $28,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 25,390 | $27,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 31,244 | $27,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 116,100 | $27,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 30,000 | $27,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 1,000 | $26,000 | thousands by filing date | call |
| VOLITIONRX LTD | 928661107 | COM | 13,200 | $26,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 14,260 | $25,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 12,092 | $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 |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 88,500 | $25,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 13,000 | $25,000 | thousands by filing date | principal |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 20,100 | $24,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 1,700 | $23,000 | thousands by filing date | call |
| FRED S INC CLASS A | 356108100 | COM | 10,030 | $23,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 10,000 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $23,000 | thousands by filing date | principal |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $22,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 54,800 | $22,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 10,125 | $21,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 19,648 | $21,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 20,000 | $21,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $21,000 | thousands by filing date | principal |
| MasterCard, Inc | 57636Q104 | COM | 2,400 | $20,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435105 | COM | 300 | $20,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 690370101 | COM | 5,300 | $20,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 17,227 | $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 |
| Home Depot, Inc | 437076102 | COM | 2,300 | $19,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 500 | $19,000 | thousands by filing date | call |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 5,000 | $19,000 | thousands by filing date | call |
| RED HAT INC | 756577102 | COM | 1,100 | $19,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 13,632 | $19,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $19,000 | thousands by filing date | principal |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 20,000 | $19,000 | thousands by filing date | principal |
| Micron Technology,Inc. | 595112103 | COM | 1,700 | $17,000 | thousands by filing date | call |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,358 | $17,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,300 | $16,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $16,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $16,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,000 | $15,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 14,800 | $15,000 | thousands by filing date | put |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 11,488 | $15,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 23,000 | $14,000 | thousands by filing date | call |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 15,000 | $14,000 | thousands by filing date | principal |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 15,715 | $14,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 15,000 | $14,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 500 | $13,000 | thousands by filing date | call |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 66,000 | $13,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 40,001 | $13,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 500 | $12,000 | thousands by filing date | call |
| CYTOSORBENTS CORP | 23283X206 | CMN | 20,000 | $12,000 | thousands by filing date | put |
| AETNA INC NEW | 00817Y108 | COM | 3,300 | $12,000 | thousands by filing date | call |
| SEADRILL ORD | G7945E105 | COM | 57,902 | $12,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 4,000 | $11,000 | thousands by filing date | call |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 600 | $11,000 | thousands by filing date | call |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 15,500 | $11,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 18,318 | $11,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 16,000 | $11,000 | thousands by filing date | principal |
| 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 |
| IPASS INC | 46261V108 | COM | 30,000 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $10,000 | thousands by filing date | principal |
| EDGE THERAPEUTICS INC | 279870109 | COM | 10,000 | $10,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 2,300 | $9,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 1,200 | $9,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 13,250 | $9,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 15,300 | $9,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 10,000 | $9,000 | thousands by filing date | principal |
| ROBERT HALF INC. COM | 770323103 | Stock | 5,700 | $8,000 | thousands by filing date | put |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 5,000 | $8,000 | thousands by filing date | put |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 15,236 | $8,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 5,500 | $7,000 | thousands by filing date | put |
| BIOGEN INC COM | 09062X103 | Stock | 500 | $7,000 | thousands by filing date | call |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 200 | $7,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 25,000 | $7,000 | thousands by filing date | put |
| CELGENE CORP | 151020104 | COM | 25,200 | $7,000 | thousands by filing date | call |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 17,582 | $7,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,300 | $6,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 2,000 | $6,000 | thousands by filing date | put |
| International Business Machines Corporation | 459200101 | COM | 2,200 | $6,000 | thousands by filing date | call |
| INVESCO QQQ TR | 46090E103 | COM | 2,000 | $6,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 2,000 | $6,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 2,000 | $6,000 | thousands by filing date | call |
| HELMERICH & PAYNE INC | 423452101 | COM | 500 | $6,000 | thousands by filing date | call |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,100 | $5,000 | thousands by filing date | call |
| GLOWPOINT INC | 379887201 | CMN | 25,000 | $5,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 12,779 | $5,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 100 | $4,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 5,500 | $4,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 100 | $4,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,000 | $4,000 | thousands by filing date | put |
| NEWELL BRANDS INC COM | 651229106 | Stock | 1,000 | $4,000 | thousands by filing date | call |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 200 | $4,000 | thousands by filing date | call |
| RALPH LAUREN CORP | 751212101 | CL A | 200 | $4,000 | thousands by filing date | call |
| TORTOISE MLP FD INC | 89148B119 | RIGHT 07/18/2018 | 11,740 | $4,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,700 | $3,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 100 | $3,000 | thousands by filing date | call |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 1,000 | $3,000 | thousands by filing date | call |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,000 | $3,000 | thousands by filing date | put |
| OPKO HEALTH INC | 68375N103 | COM | 25,000 | $3,000 | thousands by filing date | call |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 1,000 | $3,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 1,000 | $3,000 | thousands by filing date | call |
| U S G CORP | 903293405 | COM NEW | 1,000 | $3,000 | thousands by filing date | call |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 11,000 | $3,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 100 | $2,000 | thousands by filing date | call |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 100 | $2,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-18-003439 | this filing | 2018-07-20 | acceptance time not in the bulk data set |