13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-04-24, with 2,072 holding rows worth $27,753,508,000.
- Accession
- 0001580642-19-002070
- Filer
- CIK 1540235
- Filed
- 2019-04-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 2,367 entries on the cover page, a total value of $27,753,508,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $27,753,508,000 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 |
|---|---|---|---|---|---|---|
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,665 | $227,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 1,783 | $227,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 2,145 | $226,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 5,613 | $226,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $226,000 | thousands by filing date | |
| ABRDN PLATINUM ETF TRUST | 003260106 | PHYSCL PLATM SHS | 2,805 | $225,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 13,151 | $225,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 15,032 | $224,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 3,420 | $223,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 16,870 | $223,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,598 | $222,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 8,574 | $222,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 14,901 | $221,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 3,079 | $221,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,769 | $221,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 1,810 | $221,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 723 | $221,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 4,467 | $221,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 1,747 | $220,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 58,167 | $220,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 28,259 | $220,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,414 | $219,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 6,000 | $219,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 10,228 | $218,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 9,778 | $218,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 9,972 | $218,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,000 | $218,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 36,351 | $218,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 5,748 | $218,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 4,700 | $218,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 27,300 | $217,000 | thousands by filing date | put |
| BORGWARNER INC COM | 099724106 | Stock | 5,644 | $217,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 3,763 | $217,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,069 | $217,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 7,818 | $217,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 14,791 | $217,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 5,210 | $216,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 39,465 | $216,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 5,266 | $215,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 12,000 | $215,000 | thousands by filing date | call |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,491 | $215,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 3,750 | $215,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 6,702 | $215,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 10,187 | $214,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 1,363 | $214,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 12,250 | $214,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 1,398 | $214,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 2,039 | $213,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 722 | $212,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 11,201 | $212,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 4,204 | $211,000 | thousands by filing date | |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 1,041 | $211,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 2,992 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 6,568 | $211,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 3,020 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,094 | $210,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 50,893 | $210,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 10,145 | $209,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 653 | $209,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,041 | $208,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 3,596 | $208,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 12,520 | $208,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,253 | $208,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 5,202 | $207,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 3,655 | $207,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 19,048 | $207,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 31,794 | $207,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 4,782 | $207,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 11,374 | $206,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 1,439 | $206,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 18,226 | $206,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 55,095 | $206,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 9,141 | $206,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 1,942 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 19,173 | $205,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 3,161 | $204,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 8,537 | $202,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 12,500 | $202,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 22,276 | $201,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 8,679 | $201,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 2,910 | $201,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 27,675 | $201,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 3,629 | $201,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,000 | $201,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 4,253 | $200,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 2,818 | $200,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 12,540 | $200,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 55,765 | $199,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 10,767 | $198,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 11,828 | $198,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,356 | $197,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 14,385 | $197,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 20,643 | $197,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 11,177 | $197,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 13,189 | $196,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 149,414 | $196,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 10,000 | $196,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,500 | $195,000 | thousands by filing date | call |
| ONESPAN INC | 68287N100 | COM | 10,120 | $195,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 73,907 | $194,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 14,309 | $194,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 41,771 | $193,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 127,176 | $192,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 20,000 | $190,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 70,234 | $190,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 56,850 | $190,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 10,450 | $189,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 18,514 | $187,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 14,606 | $187,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 14,316 | $185,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 10,627 | $183,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 19,026 | $182,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,880 | $182,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,000 | $181,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 56,211 | $180,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,040 | $180,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 18,742 | $179,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 16,994 | $178,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,600 | $177,000 | thousands by filing date | call |
| ROYCE VALUE TRUST | 780910105 | COM | 12,631 | $174,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 18,150 | $174,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $174,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 89,450 | $173,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 35,173 | $173,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,000 | $170,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 25,148 | $167,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 14,194 | $165,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 13,489 | $164,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 12,700 | $161,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $161,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 69,401 | $160,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 16,579 | $159,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 18,863 | $156,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 15,425 | $154,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,780 | $152,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 27,485 | $151,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 11,269 | $150,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 100,000 | $150,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 42,802 | $149,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 17,964 | $146,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,225 | $146,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,260 | $145,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $145,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 20,200 | $144,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 105,127 | $144,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 16,983 | $142,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 11,800 | $142,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 24,900 | $142,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 17,343 | $142,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 40,586 | $140,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 10,089 | $139,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 28,600 | $139,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,100 | $138,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 25,809 | $137,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 29,350 | $136,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,750 | $135,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 10,660 | $135,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 16,882 | $134,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 25,794 | $133,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,642 | $133,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 64,039 | $133,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 12,006 | $132,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 10,640 | $132,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 20,314 | $132,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,398 | $129,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,999 | $129,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,472 | $129,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 25,522 | $129,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 5,300 | $128,000 | thousands by filing date | call |
| OPKO HEALTH INC | 68375N103 | COM | 48,119 | $126,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 34,865 | $126,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 14,109 | $125,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 19,698 | $124,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 10,000 | $123,000 | thousands by filing date | call |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 15,310 | $119,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 166,475 | $119,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 11,192 | $118,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 10,734 | $117,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 10,844 | $116,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 57,531 | $116,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 23,441 | $116,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,310 | $115,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 55,037 | $115,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 12,958 | $114,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 11,140 | $114,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 20,347 | $113,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 16,021 | $113,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,000 | $113,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,223 | $111,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 10,150 | $111,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 12,205 | $109,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 45,607 | $109,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 10,471 | $108,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 10,250 | $108,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 250,191 | $108,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 25,550 | $107,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 14,181 | $107,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 18,150 | $107,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 23,962 | $107,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 2,000 | $106,000 | thousands by filing date | call |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 19,059 | $106,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 24,721 | $105,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 24,529 | $105,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 13,574 | $105,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 20,000 | $105,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 10,853 | $104,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 19,950 | $104,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC COM | 67778H309 | Stock | 46,150 | $104,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,500 | $100,000 | thousands by filing date | call |
| PDL BIOPHARMA INC | 69329Y104 | COM | 26,900 | $100,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 35,000 | $100,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 10,761 | $99,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,944 | $99,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $99,000 | thousands by filing date | principal |
| GENWORTH FINL INC | 37247D106 | COM SHS | 25,632 | $98,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 12,413 | $98,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,573 | $96,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 28,300 | $96,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 14,770 | $93,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 331,984 | $91,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 37,305 | $90,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,000 | $90,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $89,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 20,000 | $89,000 | thousands by filing date | call |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 65,000 | $87,000 | thousands by filing date | principal |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 32,858 | $84,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $83,000 | thousands by filing date | principal |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 17,900 | $83,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 12,985 | $82,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 125,000 | $81,000 | thousands by filing date | call |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 5,400 | $81,000 | thousands by filing date | call |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 10,908 | $81,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,438 | $81,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 62,000 | $81,000 | thousands by filing date | principal |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 20,087 | $80,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,467 | $79,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 21,081 | $79,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 40,877 | $79,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 12,750 | $78,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,400 | $77,000 | thousands by filing date | call |
| ELECTROMED INC | 285409108 | COMMON STOCK | 15,000 | $77,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 54,921 | $77,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 800 | $76,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 54,242 | $76,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,800 | $76,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,000 | $75,000 | thousands by filing date | call |
| ENGLOBAL CORP | 293306106 | COM | 145,005 | $74,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,500 | $72,000 | thousands by filing date | call |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 23,324 | $72,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $71,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 10,340 | $71,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 70,000 | $70,000 | thousands by filing date | principal |
| PITNEY BOWES INC COM | 724479100 | Stock | 10,101 | $69,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 3,200 | $68,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 28,851 | $67,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 40,000 | $66,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 15,154 | $65,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,495 | $65,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 27,242 | $65,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 40,080 | $62,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 23,554 | $61,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $61,000 | thousands by filing date | principal |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $60,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 12,213 | $60,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 14,000 | $60,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 14,771 | $58,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 10,000 | $58,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 81,498 | $57,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,000 | $56,000 | thousands by filing date | call |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $56,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $56,000 | thousands by filing date | principal |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 15,577 | $55,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 15,490 | $54,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $53,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 35,334 | $53,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $51,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 16,241 | $50,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 74,500 | $50,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $50,000 | thousands by filing date | principal |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 48,645 | $49,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 50,073 | $49,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,300 | $47,000 | thousands by filing date | call |
| BLINK CHARGING CO | 09354A100 | COM | 15,100 | $47,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 27,726 | $46,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 11,337 | $46,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $46,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 48,580 | $46,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 4,700 | $45,000 | thousands by filing date | call |
| VOLITIONRX LTD | 928661107 | COM | 13,200 | $43,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 100,000 | $42,000 | thousands by filing date | call |
| Castle Brands Inc | 148435100 | COM | 59,826 | $42,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 15,900 | $41,000 | thousands by filing date | put |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 25,600 | $41,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,553 | $41,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 11,022 | $41,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 17,762 | $41,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 18,650 | $40,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $40,000 | thousands by filing date | principal |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 20,500 | $40,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $40,000 | thousands by filing date | principal |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 11,200 | $40,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,094 | $37,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 1,500 | $36,000 | thousands by filing date | call |
| RIOT PLATFORMS INC | 767292105 | COM | 10,871 | $36,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 27,419 | $36,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 10,835 | $35,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 600 | $34,000 | thousands by filing date | call |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 3,650 | $34,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,832 | $34,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,200 | $33,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 40,600 | $33,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,000 | $33,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 22,000 | $33,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 37,075 | $32,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 12,648 | $32,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,600 | $31,000 | thousands by filing date | call |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 20,000 | $31,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 14,888 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $31,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 26,000 | $31,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 14,603 | $29,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 10,092 | $29,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,200 | $29,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 17,714 | $28,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,805 | $27,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $26,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 22,000 | $26,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,513 | $26,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 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 |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 15,000 | $24,000 | thousands by filing date | put |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 22,000 | $24,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 16,848 | $24,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $23,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 13,125 | $23,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $23,000 | thousands by filing date | principal |
| EOG RES INC COM | 26875P101 | Stock | 1,800 | $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 |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $22,000 | thousands by filing date | principal |
| FITBIT INC | 33812L102 | CL A | 3,396 | $20,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,504 | $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 |
| NVIDIA Corp | 67066G104 | COM | 800 | $19,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,527 | $19,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $18,000 | thousands by filing date | put |
| QUICKLOGIC CORP | 74837P108 | COM | 29,274 | $18,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $18,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 4,200 | $17,000 | thousands by filing date | call |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 27,500 | $17,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 3,000 | $16,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 27,900 | $16,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $16,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,232 | $16,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 116,100 | $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 |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 600 | $15,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 26,475 | $15,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,000 | $15,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 25,100 | $15,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,000 | $14,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 17,050 | $14,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 13,200 | $14,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 16,166 | $14,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 12,260 | $13,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $13,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 10,200 | $13,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 300 | $12,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 5,600 | $12,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,735 | $12,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 14,150 | $12,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 13,600 | $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 |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 12,060 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $11,000 | thousands by filing date | principal |
| BOYDGAMINGCORP | 103304101 | STOK | 1,000 | $10,000 | thousands by filing date | call |
| CARGURUS INC COM CL A | 141788109 | Stock | 10,000 | $10,000 | thousands by filing date | put |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,000 | $10,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,025 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,200 | $10,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 16,000 | $10,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 500 | $9,000 | thousands by filing date | call |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 3,500 | $9,000 | thousands by filing date | call |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 800 | $9,000 | thousands by filing date | call |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 15,000 | $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 |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 4,000 | $8,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 4,100 | $8,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 3,000 | $8,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 229,900 | $8,000 | thousands by filing date | call |
| OKTAINCCLASSA | 679295105 | STOK | 800 | $8,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 1,100 | $8,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 16,000 | $8,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 7,900 | $8,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,250 | $8,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 20,000 | $8,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 4,421 | $8,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 15,965 | $8,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 10,000 | $8,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 2,000 | $7,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 800 | $7,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,000 | $7,000 | thousands by filing date | call |
| CANOPY GROWTH CORP | 138035100 | COM | 2,000 | $7,000 | thousands by filing date | call |
| INTREXON CORP | 46122T102 | COM | 30,000 | $7,000 | thousands by filing date | call |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $6,000 | thousands by filing date | call |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,000 | $6,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 400 | $5,000 | thousands by filing date | call |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 1,000 | $5,000 | thousands by filing date | put |
| MONGODB INC CL A | 60937P106 | Stock | 100 | $5,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 10,000 | $5,000 | thousands by filing date | call |
| ACHAOGEN INC | 004449104 | COM | 10,660 | $5,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 100 | $4,000 | thousands by filing date | call |
| Gilead Sciences,Inc. | 375558103 | COM | 1,400 | $4,000 | thousands by filing date | call |
| Medtronic Plc | G5960L103 | COM | 100 | $4,000 | thousands by filing date | call |
| CROWN CASTLE INC COM | 22822V101 | REIT | 200 | $4,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 10,800 | $4,000 | thousands by filing date | put |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 8,300 | $4,000 | thousands by filing date | put |
| SPLUNK INC | 848637104 | COM | 1,000 | $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 | 32,500 | $4,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 400 | $3,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 1,100 | $3,000 | thousands by filing date | call |
| ServiceNow,Inc. | 81762P102 | COM | 1,000 | $3,000 | thousands by filing date | put |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 2,500 | $3,000 | thousands by filing date | call |
| TWILIO INC CL A | 90138F102 | Stock | 200 | $3,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 400 | $3,000 | thousands by filing date | call |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 1,000 | $3,000 | thousands by filing date | call |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 200 | $3,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 11,000 | $3,000 | thousands by filing date | call |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 12,159 | $3,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 200 | $2,000 | thousands by filing date | call |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 400 | $2,000 | thousands by filing date | put |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 5,000 | $2,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,300 | $2,000 | thousands by filing date | call |
| MCKESSON CORP COM | 58155Q103 | Stock | 300 | $2,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 800 | $2,000 | thousands by filing date | call |
| WYNN RESORTS LTD | 983134107 | COM | 2,000 | $2,000 | thousands by filing date | put |
| XILINX INC | 983919101 | COM | 1,000 | $2,000 | thousands by filing date | put |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 1,000 | $2,000 | thousands by filing date | call |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 300 | $2,000 | thousands by filing date | call |
| TTOO | 89853L104 | Stock | 4,000 | $2,000 | thousands by filing date | call |
| WESTWATER RES INC | 961684107 | COM | 11,958 | $2,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 50,000 | $2,000 | thousands by filing date | call |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 129,000 | $2,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 100 | $1,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 600 | $1,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 800 | $1,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 200 | $1,000 | thousands by filing date | call |
| iShares MSCI Japan ETF | 46434G822 | SHS | 500 | $1,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 2,700 | $1,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 1,100 | $1,000 | thousands by filing date | put |
| Procter & Gamble Co | 742718109 | COM | 1,800 | $1,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 100 | $1,000 | thousands by filing date | call |
| PULTE GROUP INC COM | 745867101 | Stock | 100 | $1,000 | thousands by filing date | call |
| YELP INC CL A | 985817105 | Stock | 100 | $1,000 | thousands by filing date | call |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,000 | $1,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 20,200 | $1,000 | thousands by filing date | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 900 | $1,000 | thousands by filing date | call |
| MARATHON PETE CORP COM | 56585A102 | Stock | 300 | $1,000 | thousands by filing date | call |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,000 | $1,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 200 | $1,000 | thousands by filing date | call |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 200 | $1,000 | thousands by filing date | call |
| DROPBOX INC CL A | 26210C104 | Stock | 1,200 | $1,000 | thousands by filing date | call |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 200 | $1,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 1,000 | $1,000 | thousands by filing date | call |
| HORMEL FOODS CORP COM | 440452100 | Stock | 100 | $1,000 | thousands by filing date | call |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 200 | $1,000 | thousands by filing date | call |
| UNITED STATES STL CORP NEW | 912909108 | COM | 2,000 | $1,000 | thousands by filing date | call |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 500 | $1,000 | thousands by filing date | put |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 3,500 | $1,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 1,200 | $1,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 1,000 | $1,000 | thousands by filing date | call |
| TILRAY INC | 88688T100 | COM CL 2 | 500 | $1,000 | thousands by filing date | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 1,500 | $1,000 | thousands by filing date | call |
| SYMANTEC CORP | 871503108 | COM | 100 | $1,000 | thousands by filing date | call |
| FITBIT INC | 33812L102 | CL A | 13,000 | $1,000 | thousands by filing date | call |
| AbbVie,Inc. | 00287Y109 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Advanced Micro Devices,Inc. | 007903107 | COM | 50,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Applied Materials,Inc. | 038222105 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| AT&T Inc | 00206R102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Boston Scientific Corporation | 101137107 | COM | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Broadcom Inc. | 11135F101 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Costco Wholesale Corporation | 22160K105 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CSX Corporation | 126408103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Deere & Company | 244199105 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Eaton Corp. Plc | G29183103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 6,000 | $0 | thousands by filing date | putValue 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. |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Intuit Inc. | 461202103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| JPMorgan Chase & Co | 46625H100 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| McDonalds Corporation | 580135101 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Microsoft Corp | 594918104 | COM | 5,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Mondelez International,Inc. Class A | 609207105 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Mondelez International,Inc. Class A | 609207105 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Morgan Stanley | 617446448 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-19-002070 | this filing | 2019-04-24 | acceptance time not in the bulk data set |