13F-HR/A filed by Creative Planning
Creative Planning filed this 13F-HR/A for the quarter ended 2018-12-31, filed 2019-02-12, with 2,019 holding rows worth $24,392,278,000.
- Accession
- 0001580642-19-000760
- Filer
- CIK 1540235
- Filed
- 2019-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, amendment of type restatement, 2,385 entries on the cover page, a total value of $24,392,278,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $24,392,278,000 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 |
|---|---|---|---|---|---|---|
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,000 | $197,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 11,622 | $196,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 18,994 | $196,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 10,000 | $196,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $196,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 13,770 | $195,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 11,292 | $194,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 178,146 | $194,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 11,177 | $194,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 15,201 | $193,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 12,500 | $193,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 11,167 | $192,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 13,363 | $192,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 27,012 | $191,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 36,130 | $191,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 60,370 | $191,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 11,110 | $190,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 20,335 | $190,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 26,930 | $190,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 10,020 | $184,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 14,309 | $184,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 55,037 | $184,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 115,476 | $184,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 13,110 | $182,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 37,229 | $179,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 10,249 | $179,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 31,802 | $179,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 13,360 | $178,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 490,200 | $177,000 | thousands by filing date | call |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 20,000 | $177,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,253 | $177,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 18,720 | $176,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $176,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,162 | $175,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,356 | $175,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 36,498 | $175,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 10,218 | $174,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 11,502 | $173,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 15,382 | $173,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 16,712 | $170,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,000 | $170,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 15,732 | $168,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 18,334 | $168,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 49,205 | $168,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $166,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,468 | $164,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 10,240 | $164,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 11,000 | $164,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 254,100 | $163,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 16,700 | $162,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 40,173 | $161,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 16,275 | $160,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,000 | $159,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 10,828 | $158,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 12,375 | $158,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 10,128 | $157,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 15,565 | $157,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,264 | $156,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 22,664 | $156,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 13,006 | $155,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 13,133 | $154,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 12,244 | $153,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 30,285 | $151,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 58,167 | $151,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 105,127 | $151,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $151,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 63,440 | $150,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 14,187 | $149,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 49,419 | $149,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 17,596 | $149,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 31,769 | $149,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 18,081 | $145,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 18,700 | $145,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 18,288 | $143,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 19,954 | $142,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 10,977 | $141,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 20,700 | $141,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 10,635 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,780 | $140,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,583 | $140,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 10,014 | $140,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,113 | $139,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 16,527 | $135,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 17,515 | $134,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 25,930 | $134,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 331,435 | $134,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $132,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 40,586 | $131,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 10,120 | $131,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 34,781 | $128,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 11,089 | $128,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 49,457 | $127,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 20,687 | $127,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 8,236 | $126,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 11,113 | $126,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 62,531 | $126,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 12,780 | $125,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 11,701 | $125,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 27,600 | $124,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 12,606 | $124,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 200,189 | $124,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 17,057 | $123,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 19,967 | $123,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 14,960 | $123,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 55,566 | $123,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,798 | $122,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 23,674 | $122,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 12,181 | $120,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,442 | $120,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,300 | $120,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,750 | $117,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,761 | $116,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 20,647 | $115,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 10,469 | $114,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 60,196 | $113,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,510 | $111,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 110,000 | $110,000 | thousands by filing date | principal |
| VALLEY NATL BANCORP | 919794107 | COM | 12,236 | $109,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 15,624 | $109,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 16,620 | $108,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 19,588 | $108,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,654 | $107,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 66,600 | $107,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 46,779 | $106,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,786 | $105,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,310 | $104,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 17,990 | $104,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 10,514 | $104,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 45,104 | $102,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 43,802 | $101,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 28,865 | $100,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 20,000 | $100,000 | thousands by filing date | call |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 10,643 | $99,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 55,000 | $98,000 | thousands by filing date | call |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 23,441 | $97,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 114,326 | $97,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $97,000 | thousands by filing date | principal |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,000 | $96,000 | thousands by filing date | call |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 21,338 | $94,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 24,300 | $94,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,000 | $93,000 | thousands by filing date | put |
| TAHOE RES INC | 873868103 | COM | 25,500 | $93,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 15,000 | $91,000 | thousands by filing date | put |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 35,000 | $91,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 14,707 | $89,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 31,308 | $89,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 10,978 | $88,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 26,300 | $87,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,000 | $86,000 | thousands by filing date | call |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,573 | $86,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,944 | $86,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 3,200 | $84,000 | thousands by filing date | call |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $84,000 | thousands by filing date | principal |
| ENGLOBAL CORP | 293306106 | COM | 145,005 | $83,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,101 | $82,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 91,950 | $82,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 80,000 | $82,000 | thousands by filing date | principal |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 11,972 | $81,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 28,324 | $81,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 48,580 | $81,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $79,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 68,000 | $79,000 | thousands by filing date | principal |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 12,375 | $78,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 37,358 | $78,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 10,850 | $78,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 15,000 | $76,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 32,393 | $76,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 65,000 | $75,000 | thousands by filing date | principal |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 17,900 | $75,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 12,509 | $74,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 3,000 | $73,000 | thousands by filing date | put |
| PDL BIOPHARMA INC | 69329Y104 | COM | 25,119 | $73,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 13,826 | $72,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,000 | $71,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 24,773 | $70,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 12,300 | $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 |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 19,985 | $69,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 55,242 | $69,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,415 | $69,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 10,800 | $68,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 201,000 | $66,000 | thousands by filing date | call |
| GENWORTH FINL INC | 37247D106 | COM SHS | 14,144 | $66,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 54,275 | $65,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 34,500 | $63,000 | thousands by filing date | put |
| THERAPEUTICSMD INC | 88338N107 | COM | 16,600 | $63,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 20,000 | $63,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 11,544 | $61,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 10,000 | $61,000 | thousands by filing date | call |
| ENSCO PLC | G3157S106 | SHS CLASS A | 17,262 | $61,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 40,877 | $61,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 74,500 | $60,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,691 | $59,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 16,886 | $59,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 19,200 | $58,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 600 | $57,000 | thousands by filing date | call |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 11,008 | $57,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 29,551 | $57,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,900 | $56,000 | thousands by filing date | call |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,183 | $56,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 10,200 | $56,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,950 | $55,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 12,243 | $55,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 10,000 | $55,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $54,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $54,000 | thousands by filing date | principal |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 10,866 | $53,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 35,000 | $53,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,000 | $52,000 | thousands by filing date | put |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,250 | $52,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $51,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $50,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $49,000 | thousands by filing date | principal |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,658 | $48,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 12,000 | $48,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $47,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 45,334 | $47,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 1,756 | $46,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 27,726 | $46,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $46,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 36,105 | $45,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 81,051 | $45,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,152 | $45,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 21,081 | $44,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $44,000 | thousands by filing date | principal |
| W & T OFFSHORE INC | 92922P106 | COM | 10,340 | $43,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 12,195 | $43,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 18,650 | $43,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 33,200 | $43,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,200 | $42,000 | thousands by filing date | put |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 17,762 | $41,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 16,838 | $40,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $40,000 | thousands by filing date | principal |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 20,000 | $40,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $40,000 | thousands by filing date | principal |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 10,506 | $39,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $39,000 | thousands by filing date | principal |
| BLOCK INC CL A | 852234103 | Stock | 5,400 | $38,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 16,000 | $38,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 41,256 | $38,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 22,000 | $38,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 8,300 | $37,000 | thousands by filing date | put |
| CTI BIOPHARMA CORP | 12648L601 | COM | 50,073 | $37,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,553 | $37,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 11,900 | $36,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $36,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 14,401 | $36,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $36,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,094 | $36,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 40,080 | $35,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 4,000 | $34,000 | thousands by filing date | put |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,001 | $34,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 15,148 | $33,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 2,415 | $33,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 10,835 | $32,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 15,402 | $32,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 33,000 | $32,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 2,300 | $31,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 1,000 | $31,000 | thousands by filing date | put |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,000 | $31,000 | thousands by filing date | call |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 141,604 | $31,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,600 | $30,000 | thousands by filing date | call |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 55,669 | $30,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,000 | $30,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 37,275 | $28,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 30,000 | $28,000 | thousands by filing date | call |
| Aceto Corp | 004446AD2 | CONV BOND | 38,000 | $28,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $28,000 | thousands by filing date | principal |
| NOBLE CORP PLC | G65431101 | SHS USD | 10,368 | $27,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $26,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 3,500 | $26,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A100 | COM | 15,100 | $26,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 10,000 | $26,000 | thousands by filing date | call |
| DENBURY RES INC | 247916208 | COM NEW | 14,938 | $26,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 26,000 | $26,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 12,500 | $25,000 | thousands by filing date | call |
| VOLITIONRX LTD | 928661107 | COM | 13,200 | $24,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 50,176 | $24,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 26,000 | $24,000 | thousands by filing date | principal |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,805 | $23,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 56,509 | $23,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,000 | $22,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $22,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 4,200 | $21,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 29,274 | $21,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 22,000 | $21,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,513 | $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 |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $20,000 | thousands by filing date | principal |
| Caterpillar Inc. | 149123101 | COM | 700 | $19,000 | thousands by filing date | call |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 13,125 | $19,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 13,200 | $19,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 1,900 | $18,000 | thousands by filing date | call |
| SEACHANGE INTL INC | 811699107 | COM | 14,500 | $18,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 10,500 | $18,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 50,000 | $18,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $18,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 9,000 | $17,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 28,500 | $17,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 10,436 | $17,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 13,832 | $17,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $17,000 | thousands by filing date | principal |
| SPY | 78462F103 | SHS | 4,100 | $16,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 4,100 | $16,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 20,200 | $16,000 | thousands by filing date | put |
| BARRICK GOLD CORP | 067901108 | COM | 10,000 | $16,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,072 | $16,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 17,648 | $16,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 5,000 | $15,000 | thousands by filing date | call |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $15,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 500 | $14,000 | thousands by filing date | call |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,549 | $14,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 17,232 | $14,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 15,000 | $14,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $14,000 | thousands by filing date | principal |
| Booking Holdings Inc. | 09857L108 | COM | 200 | $13,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 3,500 | $13,000 | thousands by filing date | put |
| ACHAOGEN INC | 004449104 | COM | 10,660 | $13,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 58,000 | $12,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 1,500 | $12,000 | thousands by filing date | call |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 116,100 | $12,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 10,200 | $12,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 12,000 | $12,000 | thousands by filing date | principal |
| OKTAINCCLASSA | 679295105 | STOK | 1,100 | $11,000 | thousands by filing date | call |
| SNAP INC | 83304A106 | CL A | 101,000 | $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 |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,500 | $10,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 1,600 | $10,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 232,600 | $10,000 | thousands by filing date | call |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 3,700 | $10,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,900 | $10,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 16,050 | $10,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 900 | $10,000 | thousands by filing date | call |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 15,000 | $10,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 26,475 | $10,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,770 | $10,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $10,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $10,000 | thousands by filing date | principal |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 600 | $9,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,000 | $9,000 | thousands by filing date | put |
| NVIDIA Corp | 67066G104 | COM | 5,000 | $9,000 | thousands by filing date | put |
| EOG RES INC COM | 26875P101 | Stock | 1,800 | $9,000 | thousands by filing date | call |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 5,000 | $9,000 | thousands by filing date | put |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $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 |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 31,244 | $9,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 13,676 | $9,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 24,400 | $8,000 | thousands by filing date | put |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 12,260 | $8,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 16,000 | $8,000 | thousands by filing date | principal |
| MY SIZE INC | 62844N109 | COM | 10,000 | $8,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 5,600 | $7,000 | thousands by filing date | put |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 1,500 | $7,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 5,000 | $7,000 | thousands by filing date | call |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 25,100 | $7,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 300 | $6,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 1,500 | $6,000 | thousands by filing date | put |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 2,000 | $6,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,250 | $6,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 68,000 | $6,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 11,405 | $6,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,000 | $6,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 15,715 | $6,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,200 | $5,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 3,100 | $5,000 | thousands by filing date | call |
| Micron Technology,Inc. | 595112103 | COM | 20,000 | $5,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 2,300 | $5,000 | thousands by filing date | call |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 2,692 | $5,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 26,206 | $5,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,100 | $4,000 | thousands by filing date | put |
| iShares Silver Trust | 46428Q109 | COM | 6,500 | $4,000 | thousands by filing date | call |
| Medtronic Plc | G5960L103 | COM | 100 | $4,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 1,200 | $4,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,200 | $4,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,000 | $4,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 690370101 | COM | 8,100 | $4,000 | thousands by filing date | call |
| ALLERGAN PLC | G0177J108 | SHS | 700 | $4,000 | thousands by filing date | call |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 10,000 | $4,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 30,000 | $4,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 100 | $3,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 3,100 | $3,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 100 | $3,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 2,000 | $3,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 500 | $3,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,100 | $3,000 | thousands by filing date | put |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 800 | $3,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 10,000 | $3,000 | thousands by filing date | call |
| NUTANIX INC CL A | 67059N108 | Stock | 500 | $3,000 | thousands by filing date | put |
| MARATHON OIL CORP | 565849106 | COM | 700 | $3,000 | thousands by filing date | put |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 3,700 | $3,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 500 | $3,000 | thousands by filing date | call |
| EDGE THERAPEUTICS INC | 279870109 | COM | 10,000 | $3,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 200 | $2,000 | thousands by filing date | put |
| Adobe Inc | 00724F101 | COM | 500 | $2,000 | thousands by filing date | call |
| Broadcom Inc. | 11135F101 | COM | 200 | $2,000 | thousands by filing date | call |
| ServiceNow,Inc. | 81762P102 | COM | 400 | $2,000 | thousands by filing date | call |
| Stryker Corporation | 863667101 | COM | 200 | $2,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 1,000 | $2,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 3,000 | $2,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 5,000 | $2,000 | thousands by filing date | call |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 200 | $2,000 | thousands by filing date | call |
| CENTENE CORP DEL COM | 15135B101 | Stock | 200 | $2,000 | thousands by filing date | call |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 900 | $2,000 | thousands by filing date | call |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 1,200 | $2,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 200 | $2,000 | thousands by filing date | put |
| WYNN RESORTS LTD | 983134107 | COM | 1,000 | $2,000 | thousands by filing date | put |
| HANESBRANDS INC | 410345102 | COM | 7,900 | $2,000 | thousands by filing date | call |
| SPLUNK INC | 848637104 | COM | 1,000 | $2,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 10,000 | $2,000 | thousands by filing date | call |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 300 | $2,000 | thousands by filing date | put |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,983 | $2,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 11,879 | $2,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R104 | SPONSORED ADS | 12,082 | $2,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 3,400 | $1,000 | thousands by filing date | call |
| Comcast Corp | 20030N101 | COM | 4,000 | $1,000 | thousands by filing date | put |
| ConocoPhillips | 20825C104 | COM | 500 | $1,000 | thousands by filing date | put |
| CVS Health Corporation | 126650100 | COM | 200 | $1,000 | thousands by filing date | put |
| Eaton Corp. Plc | G29183103 | COM | 200 | $1,000 | thousands by filing date | put |
| HCA Healthcare Inc | 40412C101 | COM | 200 | $1,000 | thousands by filing date | put |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 400 | $1,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 300 | $1,000 | thousands by filing date | put |
| Honeywell Technologies | 438516106 | COM | 100 | $1,000 | thousands by filing date | call |
| iShares MSCI Japan ETF | 46434G822 | SHS | 500 | $1,000 | thousands by filing date | call |
| NVIDIA Corp | 67066G104 | COM | 2,600 | $1,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 1,000 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,200 | $1,000 | thousands by filing date | put |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 400 | $1,000 | thousands by filing date | put |
| MARATHON PETE CORP COM | 56585A102 | Stock | 200 | $1,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,500 | $1,000 | thousands by filing date | put |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 200 | $1,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 3,000 | $1,000 | thousands by filing date | call |
| MCKESSON CORP COM | 58155Q103 | Stock | 200 | $1,000 | thousands by filing date | call |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 100 | $1,000 | thousands by filing date | call |
| ILLUMINA INC | 452327109 | COM | 200 | $1,000 | thousands by filing date | put |
| TWITTER INC | 90184L102 | COM | 2,000 | $1,000 | thousands by filing date | call |
| CANOPY GROWTH CORP | 138035100 | COM | 2,000 | $1,000 | thousands by filing date | call |
| GOLDCORP INC NEW | 380956409 | COM | 1,300 | $1,000 | thousands by filing date | put |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 4,000 | $1,000 | thousands by filing date | call |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,500 | $1,000 | thousands by filing date | call |
| TRONOX LTD | Q9235V101 | SHS CL A | 10,000 | $1,000 | thousands by filing date | call |
| Abbott Laboratories | 002824100 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| American Express Company | 025816109 | COM | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Citigroup Inc. | 172967424 | COM | 800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Danaher Corporation | 235851102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Eli Lilly and Company | 532457108 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Intel Corp | 458140100 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| International Business Machines Corporation | 459200101 | COM | 2,700 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| iShares Russell 2000 ETF | 464287655 | SHS | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| JPMorgan Chase & Co | 46625H100 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Medtronic Plc | G5960L103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Netflix, Inc | 64110L106 | COM | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NIKE,Inc. Class B | 654106103 | COM | 1,200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Schlumberger Limited | 806857108 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| T-Mobile US,Inc. | 872590104 | COM | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EXXON MOBIL CORP | 30231G102 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BECTON DICKINSON & CO | 075887109 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PAYCHEX INC | 704326107 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 2,400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 3,400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 1,600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WESTERN DIGITAL CORP | 958102105 | COM | 1,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ALLSTATE CORP COM | 020002101 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| KROGER CO COM | 501044101 | Stock | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ROKU INC COM CL A | 77543R102 | Stock | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FORTINET INC COM | 34959E109 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DOLLAR GEN CORP COM | 256677105 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| YUM BRANDS INC COM | 988498101 | Stock | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| YUM BRANDS INC COM | 988498101 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| JETBLUE AWYS CORP | 477143101 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SOUTHERN COPPER CORP | 84265V105 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CALLAWAY GOLF CO | 131193104 | COM | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-19-000480 | superseded | 2019-02-01 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001580642-19-000760 | this filing | 2019-02-12 | acceptance time not in the bulk data set |