13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-04, with 4,588 holding rows worth $406,327,136,000.
- Accession
- 0000019617-16-001154
- Filer
- CIK 19617
- Filed
- 2016-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 17,428 entries on the cover page, a total value of $406,327,136,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $406,327,136,000 with VALUE read as thousands by filing date, 13F file number 028-00694. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerJ.P. Morgan Trust Co of Delaware028-12125
- included managerJPMorgan Chase Bank, N.A.028-00123
- included managerJ.P. Morgan Investment Management Inc.028-11937
- included managerJ.P. Morgan Securities LLC028-11925
- included managerJ.P. Morgan Securities plc028-12006
- included managerJ.P. Morgan Whitefriars Inc.028-12007
- included managerJPMorgan Asset Management (UK) Ltd028-11947
- included managerJPMorgan Asset Management (Canada) Inc.028-14957
- included managerJ.P. Morgan Private Investments Inc.028-16931
- included managerIsolieren Holding Corp028-17024
- included managerJ.P. Morgan (Suisse) SA028-17025
- included managerJ.P. Morgan GT Corp028-17027
- included managerJF Asset Management Ltd028-17029
- included managerJPMorgan Asset Management (Japan) Ltd028-14958
- included managerJPMorgan Asset Management (Singapore) Ltd028-17030
- included managerJPMorgan Asset Management (Taiwan) Ltd028-17031
- included managerJPMorgan Funds (Asia) Ltd028-17032
- included managerMLP Investment Holdings, Inc.028-17033
- included managerJ.P. Morgan International Bank Ltd028-17034
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 |
|---|---|---|---|---|---|---|
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 38,933 | $63,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 11,175 | $63,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 747 | $62,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 4,000 | $62,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 4,795 | $62,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 11,055 | $62,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X384 | MSCI AUS STRTGIC | 1,230 | $62,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 22,841 | $61,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 20,119 | $61,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 484 | $61,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 1,250 | $61,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 9,523 | $61,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 4,266 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 1,183 | $60,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 4,400 | $60,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 4,384 | $60,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 525 | $60,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 5,267 | $60,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 7,079 | $59,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 3,294 | $59,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 5,393 | $58,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,111 | $58,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 3,192 | $58,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 7,283 | $58,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 25,034 | $57,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 2,030 | $57,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 6,498 | $57,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 3,786 | $57,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 2,167 | $56,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 4,900 | $56,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 5,153 | $56,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 1,119 | $56,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 3,404 | $56,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,823 | $56,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 14,198 | $56,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 3,758 | $56,000 | thousands by filing date | |
| Cardconnect Corp | 14141X108 | COM | 5,700 | $56,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 3,354 | $55,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 3,537 | $55,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 13,610 | $55,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 11,222 | $55,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 13,500 | $55,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 1,800 | $54,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 1,478 | $54,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 4,186 | $53,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 19,196 | $52,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 2,014 | $52,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 6,200 | $52,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,188 | $51,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 6,638 | $51,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,700 | $51,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 61,265 | $51,000 | thousands by filing date | |
| GNC HOLDINGS INC-CL A | 36191G957 | Cmn | 2,500 | $51,000 | thousands by filing date | put |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 18,175 | $50,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 7,100 | $50,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 4,800 | $50,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 2,971 | $50,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 6,061 | $50,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 3,688 | $49,000 | thousands by filing date | |
| CSX CORP | 126408953 | PUT | 1,600 | $49,000 | thousands by filing date | put |
| CALPINE CORP | 131347304 | COM | 3,794 | $49,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 2,283 | $49,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 5,824 | $49,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 16,590 | $49,000 | thousands by filing date | principal |
| HAYNES INTL INC | 420877201 | COM NEW | 1,300 | $48,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 3,969 | $48,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 2,780 | $48,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 410 | $47,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 1,253 | $47,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 463 | $47,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,205 | $47,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 3,567 | $47,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,700 | $47,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 4,560 | $47,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 1,798 | $46,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 17,649 | $46,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 5,196 | $46,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 750 | $46,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 5,768 | $46,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 2,108 | $45,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 1,760 | $45,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 31,201 | $45,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 3,121 | $45,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 7,646 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 927 | $44,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $44,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,053 | $44,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 8,165 | $44,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,322 | $44,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 5,009 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 1,366 | $43,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 6,100 | $43,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720957 | PUT | 3,000 | $43,000 | thousands by filing date | put |
| Xunlei Ltd-Adr | 98419E108 | COM | 7,705 | $42,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 400 | $42,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,931 | $41,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 595 | $40,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 1,851 | $40,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 1,280 | $40,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 3,472 | $39,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 2,921 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 486 | $38,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 2,685 | $38,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 5,378 | $38,000 | thousands by filing date | |
| AMERICAN EXPRESS CO | 025816959 | COM | 600 | $38,000 | thousands by filing date | put |
| SEASPINE HLDGS CORP | 81255T108 | COM | 3,727 | $38,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 3,399 | $38,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 6,350 | $38,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 6,479 | $37,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 3,247 | $37,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 5,260 | $37,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 4,050 | $36,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 1,800 | $36,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,109 | $36,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 1,918 | $35,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 1,187 | $35,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 1,600 | $35,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 34,000 | $35,000 | thousands by filing date | principal |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 4,075 | $35,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 2,200 | $34,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 3,188 | $34,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 576 | $33,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $33,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 632 | $33,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,900 | $33,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 2,985 | $33,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 2,012 | $33,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 301 | $32,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,412 | $32,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 32,000 | $32,000 | thousands by filing date | principal |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 17,500 | $32,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 6,000 | $32,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 1,306 | $31,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 6,073 | $31,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 10,872 | $31,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 5,026 | $31,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 600 | $31,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 3,139 | $31,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 952 | $31,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 5,260 | $31,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 600 | $30,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 964 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 1,225 | $30,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 5,701 | $30,000 | thousands by filing date | |
| NETFLIX INC. | 64110L956 | PUT | 300 | $30,000 | thousands by filing date | put |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,232 | $30,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,033 | $30,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 4,245 | $30,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 24,330 | $29,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 2,380 | $29,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 1,262 | $29,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 1,423 | $29,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 1,161 | $29,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 4,328 | $29,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 543 | $28,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 1,790 | $28,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 10,080 | $28,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 7,287 | $28,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,000 | $28,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 23,000 | $28,000 | thousands by filing date | principal |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 567 | $27,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 2,290 | $27,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 661 | $27,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,669 | $27,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 4,506 | $27,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 2,489 | $27,000 | thousands by filing date | |
| LABORATORY CRP OF AMER HLDGS | 50540R959 | COM | 200 | $27,000 | thousands by filing date | put |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,523 | $27,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164AB0 | NOTE 2.750%12/0 | 100,000 | $27,000 | thousands by filing date | principal |
| SPDW | 78463X889 | COM | 968 | $26,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 3,334 | $26,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 1,108 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 1,213 | $26,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,000 | $26,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,592 | $26,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 39,600 | $26,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 300 | $25,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $25,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 942 | $25,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 925 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 929 | $25,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,085 | $25,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 1,623 | $25,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 1,351 | $24,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 613 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 596 | $24,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 1,812 | $24,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 1,519 | $24,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,009 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 592 | $24,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 1,029 | $24,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 5,096 | $24,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,637 | $24,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 5,300 | $24,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 1,000 | $24,000 | thousands by filing date | |
| TSL 3.5 06/19 | 89628EAC8 | Bond30E/360P2 U | 25,000 | $24,000 | thousands by filing date | principal |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $23,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 1,687 | $23,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 215 | $23,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,077 | $23,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 3,284 | $22,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 494 | $22,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 4,614 | $22,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 9,832 | $22,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 1,439 | $22,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 6,299 | $21,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,738 | $21,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 2,056 | $21,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 12,240 | $21,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 495 | $20,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 597 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 300 | $20,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 1,078 | $20,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,675 | $20,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 2,269 | $20,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 9,027 | $20,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 1,052 | $20,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 392 | $19,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 143 | $19,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,275 | $19,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 660 | $19,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 766 | $19,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,763 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 745 | $19,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,670 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 1,294 | $19,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 11,900 | $19,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 630 | $19,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 4,800 | $19,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 960 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 395 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 480 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 614 | $18,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 364 | $18,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 6,234 | $18,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 400 | $18,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 1,523 | $18,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 3,180 | $18,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 1,000 | $18,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 486 | $17,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 1,275 | $17,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,296 | $17,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 877 | $17,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 360 | $17,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 2,307 | $17,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 14,000 | $17,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 15,000 | $17,000 | thousands by filing date | principal |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 1,492 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 142 | $16,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 565 | $16,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,952 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 200 | $16,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 585 | $16,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 60,881 | $16,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 5,206 | $16,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 4,643 | $16,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 1,937 | $16,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 382 | $15,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 2,432 | $15,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 869 | $15,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 300 | $15,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 4,941 | $15,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 781 | $15,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,992 | $15,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,758 | $15,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 5,246 | $15,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,700 | $14,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 300 | $14,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 690 | $14,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 462 | $14,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 500 | $14,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,119 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 1,067 | $14,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 345 | $14,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 775 | $14,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 741 | $14,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 453 | $14,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 900 | $14,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,029 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 378 | $13,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 1,923 | $13,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411R958 | PUT | 300 | $13,000 | thousands by filing date | put |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 797 | $13,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 700 | $13,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 30,944 | $13,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 400 | $13,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 260 | $12,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 761 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 75 | $12,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 1,490 | $12,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,455 | $12,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 321 | $12,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,298 | $12,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 600 | $12,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 745 | $12,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,324 | $12,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 295 | $11,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 153 | $11,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 90 | $11,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 985 | $11,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,400 | $11,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,476 | $11,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,969 | $11,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 1,761 | $11,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,088 | $11,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 857 | $11,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,800 | $11,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 532 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 294 | $11,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 917 | $11,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 89 | $10,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 746 | $10,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 468 | $10,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 68 | $10,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 207 | $10,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 254 | $10,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 1,232 | $10,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 401 | $10,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 300 | $10,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,227 | $10,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 101 | $10,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 300 | $10,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 5,811 | $10,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 4,200 | $10,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641828 | LIVESTK ETN 38 | 675 | $10,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,070 | $9,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 21 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 625 | $9,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,754 | $9,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 429 | $9,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,000 | $9,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,023 | $9,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,240 | $9,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 600 | $9,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 500 | $9,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 4,538 | $9,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 443 | $8,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 173 | $8,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 344 | $8,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 316 | $8,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 400 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 150 | $8,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042958 | FTSE EMR MKT ETF | 200 | $8,000 | thousands by filing date | put |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 280 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 182 | $8,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 8,299 | $8,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,700 | $8,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 1,684 | $8,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,805 | $8,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 485 | $8,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 2,745 | $8,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 238 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 111 | $7,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 286 | $7,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 300 | $7,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 219 | $7,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 693 | $7,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 534 | $7,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 12,000 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 400 | $7,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,654 | $7,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,000 | $7,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 13,537 | $7,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 300 | $6,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 495 | $6,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 115 | $6,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 800 | $6,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 1,200 | $6,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $6,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 242 | $6,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 282 | $6,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 568 | $6,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 632 | $6,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 685 | $6,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 18,738 | $6,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 421,203 | $6,000 | thousands by filing date | principal |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 300 | $6,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 464 | $6,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,301 | $6,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 2,234 | $6,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 258 | $6,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691953 | PUT | 500 | $6,000 | thousands by filing date | put |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 100 | $5,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 473 | $5,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 74 | $5,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 133 | $5,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 242 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 200 | $5,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 200 | $5,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 372 | $5,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,652 | $5,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 1,849 | $5,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 391 | $5,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 103 | $5,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 221 | $5,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,194 | $5,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 2,000 | $5,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 1,940 | $5,000 | thousands by filing date | principal |
| VERICEL CORP | 92346J108 | COM | 1,400 | $4,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 282 | $4,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 100 | $4,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 200 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 220 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 94 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 90 | $4,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 1,059 | $4,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 1,700 | $4,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 1,013 | $4,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,203 | $4,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 2,180 | $4,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,071 | $4,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 149 | $4,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 761 | $4,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 2,000 | $4,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 278 | $4,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 255 | $4,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 315 | $4,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 429 | $4,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 364 | $4,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 500 | $3,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 368 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 89 | $3,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 109 | $3,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 885 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 100 | $3,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 1,358 | $3,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 228 | $3,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 238 | $3,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 88 | $3,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 608 | $3,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 300 | $3,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 500 | $3,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 600 | $3,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 280 | $3,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 112 | $3,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 125 | $3,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 114 | $3,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 343,761 | $3,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 234 | $3,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 73 | $3,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 188 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 97 | $3,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 200 | $3,000 | thousands by filing date | |
| RECON CAP SER TR | 75623U201 | RECON CAP DAX GE | 100 | $3,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 23 | $2,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 84 | $2,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 22 | $2,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 930 | $2,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 91 | $2,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 45 | $2,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 273 | $2,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 770 | $2,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 275 | $2,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 225 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 35 | $2,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 96 | $2,000 | thousands by filing date | |
| ISHARES SILVER TR | 46428Q959 | PUT | 100 | $2,000 | thousands by filing date | put |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 251 | $2,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 171 | $2,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 2,000 | $2,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 353 | $2,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 800 | $2,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 100 | $2,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 223 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 1,302 | $2,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 3,901 | $2,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 500 | $2,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 844 | $2,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 2,726 | $2,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 1,790 | $2,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,177 | $2,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 300 | $2,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 73 | $2,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 123 | $2,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 1,350 | $2,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 3,005 | $2,000 | thousands by filing date | principal |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 1,068 | $2,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 236 | $2,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 96 | $2,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 801 | $2,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 600 | $2,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 6,304 | $2,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 1,000 | $2,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 40 | $1,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 88 | $1,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 50 | $1,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 7 | $1,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 100 | $1,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 197 | $1,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 114 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 24 | $1,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 50 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 39 | $1,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 140 | $1,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 1,726 | $1,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 546 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-16-001154 | this filing | 2016-11-04 | acceptance time not in the bulk data set |