13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-25, with 2,115 holding rows worth $26,955,153,000.
- Accession
- 0001580642-18-004992
- Filer
- CIK 1540235
- Filed
- 2018-10-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 2,446 entries on the cover page, a total value of $26,955,153,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $26,955,153,000 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 |
|---|---|---|---|---|---|---|
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 5,447 | $259,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 2,304 | $258,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,871 | $258,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 3,714 | $258,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 12,039 | $258,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 6,360 | $257,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 1,123 | $257,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 1,128 | $257,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 11,410 | $257,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 2,057 | $257,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 4,170 | $256,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 7,815 | $256,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 27,930 | $256,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 7,423 | $255,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 3,592 | $255,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 55,370 | $255,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 13,982 | $255,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 4,050 | $254,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 1,479 | $254,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,937 | $254,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,669 | $254,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 11,784 | $254,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 11,055 | $253,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 2,198 | $252,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 7,254 | $252,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 347,898 | $252,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,837 | $251,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 5,372 | $251,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 8,095 | $250,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 7,630 | $250,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 5,763 | $250,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 9,396 | $249,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 3,598 | $249,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 13,770 | $249,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 2,000 | $248,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 21,757 | $248,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 7,179 | $248,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 1,838 | $247,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 2,569 | $247,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 11,177 | $246,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 3,400 | $246,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 6,502 | $246,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 1,533 | $246,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,535 | $245,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 18,460 | $245,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 6,443 | $244,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,200 | $244,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 6,906 | $243,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 15,811 | $243,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 16,759 | $243,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 26,071 | $242,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 9,422 | $242,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 6,260 | $242,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 12,403 | $242,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 3,428 | $241,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 187 | $241,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 23,923 | $241,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 40,975 | $241,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 6,909 | $238,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 8,671 | $238,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 10,748 | $238,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 3,753 | $238,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 9,904 | $238,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 2,668 | $237,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 2,748 | $237,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 25,395 | $237,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 4,621 | $236,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 6,702 | $236,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 25,472 | $235,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 5,115 | $234,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 1,937 | $234,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 15,816 | $234,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 180,289 | $234,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 2,019 | $233,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 10,417 | $233,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 2,044 | $233,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 5,505 | $232,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,376 | $232,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 4,684 | $232,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $232,000 | thousands by filing date | |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 1,106 | $231,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 4,230 | $231,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 5,048 | $231,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 20,105 | $230,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,496 | $230,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 11,055 | $229,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 31,302 | $229,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 24,200 | $229,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 2,739 | $228,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 8,574 | $228,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 1,807 | $227,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,316 | $227,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 7,355 | $227,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 3,767 | $226,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 38,330 | $226,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 70,601 | $226,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 20,000 | $225,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,184 | $225,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 5,755 | $225,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 2,807 | $224,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 20,244 | $224,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 6,564 | $224,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 7,159 | $223,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 1,617 | $222,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 3,419 | $222,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 7,526 | $222,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,451 | $222,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,537 | $222,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 1,561 | $222,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 2,866 | $222,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 9,113 | $222,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 3,604 | $221,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 9,940 | $221,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 3,344 | $220,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 3,017 | $220,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 13,296 | $220,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 17,550 | $220,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 6,906 | $219,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 3,653 | $219,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 13,594 | $219,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,426 | $219,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 7,325 | $218,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 17,300 | $217,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 71,266 | $217,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 8,179 | $217,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 11,366 | $217,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 16,503 | $217,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 6,784 | $217,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 28,259 | $217,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 12,500 | $217,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 3,356 | $217,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 10,852 | $216,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 13,329 | $216,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 4,268 | $214,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,931 | $213,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 2,974 | $213,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 9,619 | $213,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 2,897 | $213,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 1,191 | $212,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 59,067 | $212,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 4,996 | $211,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 1,646 | $210,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 9,404 | $210,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 16,344 | $210,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 9,484 | $210,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 34,250 | $210,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V530 | CMN | 1,561 | $210,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 1,811 | $210,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 16,870 | $210,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,877 | $209,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 1,770 | $209,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 11,293 | $209,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 14,993 | $208,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 3,130 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 4,944 | $208,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 11,236 | $207,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 18,510 | $207,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,738 | $207,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 8,628 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,544 | $206,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 2,459 | $206,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,356 | $206,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 11,026 | $206,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 4,633 | $205,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 5,338 | $205,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $205,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 10,218 | $205,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 2,385 | $204,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 8,096 | $204,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 16,897 | $204,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 5,407 | $204,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 1,694 | $204,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 41,930 | $203,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 6,282 | $203,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 4,313 | $203,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 5,837 | $202,000 | thousands by filing date | |
| HUNT J B TRANS SVCS INC COM | 445658107 | Stock | 1,699 | $202,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 5,220 | $202,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 74,451 | $202,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 3,438 | $201,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 16,281 | $201,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 3,193 | $200,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 4,203 | $200,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 23,582 | $199,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 8,106 | $197,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 35,283 | $197,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 46,779 | $197,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 13,806 | $195,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 14,801 | $192,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 14,707 | $191,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 10,258 | $189,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 18,590 | $188,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 17,384 | $188,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 203,245 | $187,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 30,282 | $185,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 26,300 | $184,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,729 | $182,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 27,665 | $180,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 62,531 | $180,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 11,893,127 | $180,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 15,716 | $179,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $176,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 11,613 | $174,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 45,222 | $174,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $173,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,300 | $172,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 15,189 | $170,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 29,300 | $170,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 10,700 | $168,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 11,199 | $166,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 23,517 | $163,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 19,314 | $162,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 12,420 | $161,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 107,534 | $160,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 13,837 | $159,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,000 | $159,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 13,300 | $157,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 13,377 | $156,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 11,720 | $156,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 15,205 | $153,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 25,810 | $152,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 17,057 | $150,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 13,150 | $150,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 11,327 | $149,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 145,005 | $148,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 105,127 | $148,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 19,000 | $148,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 3,000 | $147,000 | thousands by filing date | call |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 15,308 | $146,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,780 | $146,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 13,113 | $146,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,798 | $145,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,500 | $144,000 | thousands by filing date | call |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,000 | $143,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 16,298 | $143,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 21,991 | $143,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 20,059 | $142,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 10,053 | $141,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 11,852 | $141,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 11,800 | $140,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 23,070 | $140,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $138,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 13,719 | $137,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 62,068 | $137,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 11,862 | $135,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 30,000 | $134,000 | thousands by filing date | call |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,000 | $133,000 | thousands by filing date | call |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 11,538 | $133,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 20,835 | $132,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 37,000 | $132,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 15,437 | $128,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 13,129 | $128,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 45,521 | $128,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 54,275 | $128,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 250,100 | $127,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 12,322 | $125,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 10,171 | $125,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,500 | $124,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 17,715 | $123,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 4,867 | $123,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 11,058 | $122,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 114,326 | $122,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,664 | $119,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 31,137 | $117,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 11,958 | $117,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 11,110 | $117,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 18,707 | $116,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,500 | $116,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 68,000 | $115,000 | thousands by filing date | principal |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,731 | $114,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 89,450 | $114,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,442 | $112,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 15,000 | $112,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,900 | $111,000 | thousands by filing date | call |
| CTI BIOPHARMA CORP | 12648L601 | COM | 51,573 | $111,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 44,188 | $110,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 110,000 | $109,000 | thousands by filing date | principal |
| TELADOC HEALTH INC | 87918A105 | COM | 2,100 | $108,000 | thousands by filing date | call |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,310 | $108,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 21,081 | $108,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 45,677 | $108,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 13,806 | $105,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 31,000 | $105,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 19,647 | $104,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 13,350 | $102,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 1,500 | $101,000 | thousands by filing date | call |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,433 | $101,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 14,245 | $100,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,605 | $100,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 10,850 | $100,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,658 | $100,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $100,000 | thousands by filing date | principal |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 13,564 | $100,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 1,000 | $99,000 | thousands by filing date | call |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $99,000 | thousands by filing date | principal |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 18,621 | $98,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 15,000 | $98,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 15,082 | $98,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 31,900 | $97,000 | thousands by filing date | put |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 13,386 | $97,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 28,865 | $96,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 55,242 | $95,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 14,900 | $95,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,650 | $94,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,936 | $92,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 12,707 | $92,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 1,000 | $91,000 | thousands by filing date | call |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 11,592 | $91,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 11,037 | $91,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 32,324 | $91,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 12,616 | $91,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 14,000 | $89,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807108 | COM | 20,500 | $87,000 | thousands by filing date | call |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 35,058 | $87,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 80,000 | $87,000 | thousands by filing date | principal |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $85,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 24,691 | $84,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 65,000 | $84,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,798 | $84,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 10,332 | $83,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 18,850 | $82,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 141,404 | $82,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 80,245 | $82,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,489 | $80,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 13,329 | $80,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 25,700 | $80,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 17,439 | $78,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 3,000 | $77,000 | thousands by filing date | put |
| ServiceNow,Inc. | 81762P102 | COM | 1,000 | $76,000 | thousands by filing date | call |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 3,700 | $75,000 | thousands by filing date | call |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 16,132 | $74,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 5,000 | $71,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 15,018 | $71,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 30,000 | $71,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 25,500 | $71,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 20,000 | $71,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 42,596 | $71,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 16,000 | $70,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 70,000 | $70,000 | thousands by filing date | principal |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 11,217 | $69,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $69,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 10,000 | $68,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 25,119 | $66,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 28,851 | $66,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,000 | $65,000 | thousands by filing date | call |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 10,276 | $65,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $64,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,582 | $64,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 37,355 | $64,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,800 | $63,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761U106 | COM | 11,668 | $63,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 16,890 | $62,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $62,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 2,000 | $61,000 | thousands by filing date | call |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 50,476 | $61,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,186 | $60,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 10,500 | $60,000 | thousands by filing date | call |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,094 | $60,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 10,000 | $59,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 30,977 | $59,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $59,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 27,726 | $59,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 11,008 | $58,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 39,464 | $58,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 40,080 | $57,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 48,580 | $57,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $57,000 | thousands by filing date | principal |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 11,074 | $55,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 13,892 | $55,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,900 | $54,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 19,726 | $53,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 50,000 | $53,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,950 | $52,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 33,355 | $52,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $51,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 12,600 | $51,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 22,022 | $51,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 500 | $50,000 | thousands by filing date | call |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 50,700 | $50,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,000 | $49,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 10,800 | $49,000 | thousands by filing date | call |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 28,745 | $49,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 14,694 | $49,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $49,000 | thousands by filing date | principal |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 45,517 | $49,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $49,000 | thousands by filing date | principal |
| Pfizer Inc. | 717081103 | COM | 5,000 | $48,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 13,691 | $48,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 3,700 | $48,000 | thousands by filing date | call |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $45,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 26,947 | $45,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 16,263 | $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 |
| ACHAOGEN INC | 004449104 | COM | 11,360 | $45,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,201 | $44,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 20,550 | $44,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $44,000 | thousands by filing date | principal |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 11,600 | $43,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 13,222 | $40,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $40,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $40,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 26,000 | $40,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 33,000 | $38,000 | thousands by filing date | principal |
| S&P Global,Inc. | 78409V104 | COM | 3,000 | $37,000 | thousands by filing date | put |
| SNAP INC | 83304A106 | CL A | 103,700 | $37,000 | thousands by filing date | call |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 22,000 | $36,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 4,300 | $35,000 | thousands by filing date | put |
| B2GOLD CORP COM | 11777Q209 | Stock | 15,120 | $35,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,000 | $35,000 | thousands by filing date | call |
| HARRIS CORP INC | 413875105 | COM | 1,000 | $35,000 | thousands by filing date | call |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 20,049 | $35,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 11,000 | $34,000 | thousands by filing date | call |
| VOLITIONRX LTD | 928661107 | COM | 13,200 | $34,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 2,500 | $31,000 | thousands by filing date | call |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 34,672 | $31,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 12,348 | $31,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 3,600 | $30,000 | thousands by filing date | call |
| Tesla Motors, Inc | 88160R101 | COM | 1,900 | $30,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 2,000 | $30,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $30,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 37,275 | $30,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 10,436 | $30,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,005 | $30,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $30,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $30,000 | thousands by filing date | principal |
| Aceto Corp | 004446AD2 | CONV BOND | 38,000 | $29,000 | thousands by filing date | principal |
| TWILIO INC CL A | 90138F102 | Stock | 500 | $28,000 | thousands by filing date | call |
| SILVERCREST METALS INC | 828363101 | COM | 10,835 | $27,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 116,100 | $27,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 12,400 | $27,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 7,000 | $26,000 | thousands by filing date | put |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 14,260 | $26,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 34,000 | $25,000 | thousands by filing date | put |
| MasterCard, Inc | 57636Q104 | COM | 2,000 | $25,000 | thousands by filing date | put |
| PALO ALTO NETWORKS INC | 697435105 | COM | 300 | $25,000 | thousands by filing date | call |
| ALLERGAN PLC | G0177J108 | SHS | 700 | $25,000 | thousands by filing date | call |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 26,000 | $25,000 | thousands by filing date | principal |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,805 | $24,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 13,832 | $24,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 93,500 | $24,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 9,200 | $23,000 | thousands by filing date | call |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,549 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $23,000 | thousands by filing date | principal |
| AETNA INC NEW | 00817Y108 | COM | 1,500 | $22,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,513 | $22,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 31,244 | $22,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $22,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 33,500 | $21,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $20,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 10,030 | $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 |
| SPHERIX INC | 84842R403 | COM PAR NEW | 20,000 | $20,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 35,000 | $19,000 | thousands by filing date | put |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 10,125 | $19,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 17,648 | $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 |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,900 | $18,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,200 | $17,000 | thousands by filing date | call |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 20,000 | $17,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 700 | $16,000 | thousands by filing date | call |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 600 | $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 |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 15,727 | $16,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $16,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 1,900 | $15,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $15,000 | thousands by filing date | put |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 4,000 | $15,000 | thousands by filing date | call |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 15,000 | $15,000 | thousands by filing date | principal |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,000 | $14,000 | thousands by filing date | put |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,220 | $14,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 4,000 | $13,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 16,050 | $13,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 71,000 | $13,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 26,475 | $13,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 11,904 | $13,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 4,000 | $12,000 | thousands by filing date | call |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 16,000 | $12,000 | thousands by filing date | principal |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 12,000 | $12,000 | thousands by filing date | principal |
| MY SIZE INC | 62844N109 | COM | 10,000 | $12,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,700 | $11,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 2,300 | $11,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 7,900 | $11,000 | thousands by filing date | call |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 10,000 | $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 |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 15,715 | $11,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 700 | $10,000 | thousands by filing date | call |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 15,000 | $10,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 21,376 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $10,000 | thousands by filing date | principal |
| CVS Health Corporation | 126650100 | COM | 1,200 | $9,000 | thousands by filing date | call |
| LAM RESEARCH CORP | 512807108 | COM | 2,000 | $9,000 | thousands by filing date | put |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 10,000 | $9,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 40,001 | $9,000 | thousands by filing date | |
| 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 |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-18-004992 | this filing | 2018-10-25 | acceptance time not in the bulk data set |