13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-06, with 5,059 holding rows worth $416,170,851,000.
- Accession
- 0000019617-17-000305
- Filer
- CIK 19617
- Filed
- 2017-02-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 18,667 entries on the cover page, a total value of $416,170,851,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $416,170,851,000 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 |
|---|---|---|---|---|---|---|
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 7,743 | $71,000 | thousands by filing date | |
| RAYTHEON COMPANY | 755111907 | COM | 500 | $71,000 | thousands by filing date | call |
| CM FIN INC COM | 12574Q103 | COM | 7,500 | $70,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 235 | $70,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 3,537 | $69,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 16,699 | $68,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 20,569 | $68,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 373 | $67,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 3,719 | $67,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 20,722 | $67,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 9,547 | $67,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 14,141 | $67,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 9,557 | $67,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 21,893 | $67,000 | thousands by filing date | |
| SWAY 4.5 10/17 | 85571WAD1 | Bond 30/360P2 U | 60,000 | $66,000 | thousands by filing date | principal |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 4,300 | $65,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 19,163 | $65,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 746 | $64,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 2,700 | $64,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 4,545 | $64,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 2,854 | $64,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 5,856 | $63,000 | thousands by filing date | |
| WILLIAMS SONOMA INC | 969904951 | PUT | 1,300 | $63,000 | thousands by filing date | put |
| RENTECH INC | 760112201 | COMMON STOCK | 25,511 | $63,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 60,000 | $63,000 | thousands by filing date | principal |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 4,015 | $62,000 | thousands by filing date | |
| Cardconnect Corp | 14141X108 | COM | 4,900 | $62,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 1,275 | $61,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 3,865 | $61,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 5,480 | $61,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 4,400 | $60,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 2,756 | $60,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 2,470 | $60,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 1,500 | $60,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES | N53745950 | NV PUT | 700 | $60,000 | thousands by filing date | put |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 2,009 | $60,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 1,095 | $60,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 530 | $59,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 701 | $59,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 2,288 | $58,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 2,751 | $58,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 22,517 | $58,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X384 | MSCI AUS STRTGIC | 1,218 | $58,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 1,013 | $57,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 3,613 | $57,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,502 | $57,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 5,689 | $56,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 9,561 | $56,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 5,582 | $56,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 25,723 | $55,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 1,244 | $54,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 490 | $53,000 | thousands by filing date | |
| TRACTOR SUPPLY CO | 892356956 | COM | 700 | $53,000 | thousands by filing date | put |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 4,468 | $53,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 12,862 | $53,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 11,415 | $53,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 21,082 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 983 | $52,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 2,000 | $52,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 4,179 | $52,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,800 | $52,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 75,020 | $52,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V950 | PUT | 1,400 | $52,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 615 | $51,000 | thousands by filing date | |
| FMC CORP | 302491953 | COM NEW | 900 | $51,000 | thousands by filing date | put |
| POTASH CORP OF SASKATCHEWAN | 73755L957 | COM | 2,800 | $51,000 | thousands by filing date | put |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 2,745 | $51,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 10,636 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 3,409 | $50,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY | G7945M957 | COM | 1,300 | $50,000 | thousands by filing date | put |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 17,953 | $50,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 1,598 | $49,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,205 | $49,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 4,695 | $49,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 12,281 | $49,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 4,315 | $49,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 132,361 | $49,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 8,017 | $49,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 750 | $49,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 3,803 | $48,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141G954 | Option | 200 | $48,000 | thousands by filing date | put |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 5,214 | $48,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 2,283 | $48,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,615 | $48,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 6,466 | $48,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,188 | $47,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 2,431 | $47,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 2,136 | $47,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 567 | $47,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 3,172 | $47,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 6,180 | $47,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 5,058 | $47,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 5,540 | $47,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,970 | $47,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 16,590 | $47,000 | thousands by filing date | principal |
| Sierra Oncology, Inc. | 74346L101 | common | 31,515 | $47,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 853 | $46,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 6,575 | $46,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 2,044 | $45,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 3,297 | $45,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 800 | $44,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 2,370 | $44,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 2,110 | $44,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,694 | $44,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,775 | $44,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 42,000 | $43,000 | thousands by filing date | principal |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $42,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,591 | $42,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 3,850 | $42,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 4,418 | $42,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 5,459 | $42,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,200 | $41,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 2,242 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 3,247 | $41,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 638 | $40,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 2,200 | $40,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,053 | $39,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 26,106 | $39,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 37,000 | $39,000 | thousands by filing date | principal |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 4,500 | $38,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 15,685 | $38,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 5,760 | $38,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 1,617 | $37,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 7,680 | $37,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,298 | $35,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,764 | $35,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 5,135 | $35,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 13,526 | $35,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 694 | $35,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 2,590 | $34,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 5,525 | $34,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 3,256 | $34,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 300 | $33,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 713 | $33,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 4,986 | $33,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 3,224 | $33,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 4,846 | $33,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 200 | $32,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 32,000 | $32,000 | thousands by filing date | principal |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 23,914 | $32,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 27,913 | $32,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 3,852 | $32,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 2,088 | $31,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 1,600 | $31,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,596 | $31,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 7,390 | $31,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,736 | $31,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 1,400 | $31,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 5,045 | $31,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 1,677 | $31,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 991 | $31,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 18,300 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 863 | $30,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 678 | $30,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,583 | $30,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,000 | $30,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 600 | $30,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 3,184 | $30,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 4,245 | $30,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 9,107 | $29,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 15,126 | $29,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 28,852 | $29,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 1,534 | $28,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 1,539 | $28,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 461 | $28,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,144 | $28,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,000 | $28,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,158 | $28,000 | thousands by filing date | |
| GNC HOLDINGS INC-CL A | 36191G957 | Cmn | 2,500 | $28,000 | thousands by filing date | put |
| DAVIDSTEA INC | 238661102 | COM | 4,100 | $28,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 4,000 | $28,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 7,577 | $28,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC | 09058V903 | COM | 4,200 | $27,000 | thousands by filing date | call |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 3,032 | $27,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 4,800 | $27,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 3,139 | $27,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 515 | $26,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 2,000 | $26,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 858 | $26,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 5,462 | $26,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 2,400 | $26,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 520 | $26,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 1,161 | $26,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 968 | $25,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $25,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 3,586 | $25,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 1,533 | $25,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 932 | $25,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 6,495 | $25,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 3,923 | $25,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R956 | COM | 1,400 | $25,000 | thousands by filing date | put |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,000 | $25,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,000 | $25,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 9,700 | $24,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,700 | $24,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 393 | $24,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 3,284 | $24,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $24,000 | thousands by filing date | |
| TSL 3.5 06/19 | 89628EAC8 | Bond30E/360P2 U | 25,000 | $24,000 | thousands by filing date | principal |
| DELL TECHNOLOGIES INC | 24703L953 | COM | 440 | $24,000 | thousands by filing date | put |
| Vanguard Materials ETF | 92204A801 | SHS | 208 | $23,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 200 | $23,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 5,600 | $23,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 60,881 | $23,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,300 | $23,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,523 | $23,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 877 | $22,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 597 | $22,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 2,145 | $22,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 2,091 | $22,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,053 | $22,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,666 | $22,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 307 | $21,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 300 | $21,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 329 | $21,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,000 | $21,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,700 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 959 | $21,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 3,282 | $21,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G907 | Option | 1,900 | $21,000 | thousands by filing date | call |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 5,116 | $21,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 1,256 | $20,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $20,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,498 | $20,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 2,304 | $20,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 862 | $20,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 910 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 300 | $19,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2,933 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 382 | $19,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,117 | $19,000 | thousands by filing date | |
| PPG INDS INC | 693506957 | COM | 200 | $19,000 | thousands by filing date | put |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 7,154 | $19,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 3,055 | $19,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 15,000 | $19,000 | thousands by filing date | principal |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 14,000 | $19,000 | thousands by filing date | principal |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 505 | $18,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 727 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 135 | $18,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 1,275 | $18,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,311 | $18,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,763 | $18,000 | thousands by filing date | |
| CSX CORP | 126408953 | PUT | 500 | $18,000 | thousands by filing date | put |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,496 | $18,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 931 | $18,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 2,690 | $18,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 658 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 105 | $17,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,614 | $17,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 3,553 | $17,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP | 369550958 | COM | 100 | $17,000 | thousands by filing date | put |
| MANITOWOC COMPANY INC | 563571108 | COM | 2,847 | $17,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 9,027 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 142 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 140 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 174 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 380 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 614 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 745 | $16,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 593 | $16,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,088 | $16,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 3,379 | $16,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 553 | $15,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 368 | $15,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,643 | $15,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 500 | $15,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y900 | CALL | 300 | $15,000 | thousands by filing date | call |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 840 | $15,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,021 | $15,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 4,220 | $15,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 325 | $14,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 516 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 1,431 | $14,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 718 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 396 | $14,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,000 | $14,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 400 | $14,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 722 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 296 | $13,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 326 | $13,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,020 | $13,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 4,806 | $13,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 700 | $13,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $13,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 14,000 | $13,000 | thousands by filing date | principal |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,500 | $12,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 11,784 | $12,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,517 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 90 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 75 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 378 | $12,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 400 | $12,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 545 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 941 | $12,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411R958 | PUT | 300 | $12,000 | thousands by filing date | put |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 545 | $12,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,914 | $12,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,171 | $12,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 6,347 | $12,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,000 | $12,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 7,200 | $12,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC CMN STOCK | 04033A900 | Cmn | 1,000 | $12,000 | thousands by filing date | call |
| MOMO INC | 60879B107 | ADR | 573 | $11,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,776 | $11,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,001 | $11,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 737 | $11,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 2,943 | $11,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 715 | $11,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 450 | $11,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 500 | $11,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 1,948 | $11,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 295 | $10,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 200 | $10,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 300 | $10,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 2,296 | $10,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 219 | $10,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 618 | $10,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 1,045 | $10,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 370 | $10,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $10,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 11,421 | $10,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 4,329 | $10,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 356 | $10,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 1,947 | $10,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 341 | $10,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 5,902 | $10,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,109 | $9,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 541 | $9,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 214 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 1,771 | $9,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 8,180 | $9,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 101 | $9,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,075 | $9,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 30,000 | $9,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,800 | $9,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 300 | $9,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 449 | $9,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 1,295 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 294 | $9,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 323 | $8,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 1,795 | $8,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 519 | $8,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,336 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 150 | $8,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,416 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,243 | $8,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 500 | $8,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,000 | $8,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 1,434 | $8,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 618 | $8,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 300 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 200 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 111 | $7,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 1,300 | $7,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 451 | $7,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 220 | $7,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 1,500 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 300 | $7,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,538 | $7,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 632 | $7,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,560 | $7,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 3,733 | $7,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 273 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 400 | $7,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 3,119 | $7,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 660 | $7,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 421 | $7,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 611 | $7,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 234 | $7,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 79 | $6,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 722 | $6,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 5,600 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 188 | $6,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 700 | $6,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 151 | $6,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 600 | $6,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 12,000 | $6,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 264 | $6,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 8,299 | $6,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 1,460 | $6,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 1,274 | $6,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 346 | $6,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 100 | $5,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 165 | $5,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 92 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 100 | $5,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 133 | $5,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 231 | $5,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 600 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 108 | $5,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,475 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 200 | $5,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W959 | OPTION | 200 | $5,000 | thousands by filing date | put |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 2,233 | $5,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 1,087 | $5,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 410 | $5,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 108 | $5,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,004 | $5,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 403 | $5,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 256 | $4,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 279 | $4,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 537 | $4,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 480 | $4,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 1,320 | $4,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 181 | $4,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 200 | $4,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 539 | $4,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 1,959 | $4,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 100 | $4,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 281 | $4,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 159 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 18,738 | $4,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 420 | $4,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 761 | $4,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 847 | $4,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 4,000 | $4,000 | thousands by filing date | principal |
| iShares Global Tech ETF | 464287291 | SHS | 23 | $3,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 800 | $3,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 570 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 50 | $3,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 149 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 100 | $3,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 738 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 772 | $3,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 342 | $3,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 277 | $3,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 190 | $3,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 259 | $3,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 337 | $3,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 2,180 | $3,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 794 | $3,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 58 | $3,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 1,960 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 82 | $3,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,919 | $3,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 300 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,121 | $3,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 298 | $3,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 444 | $3,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641828 | LIVESTK ETN 38 | 200 | $3,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 347 | $3,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 57 | $3,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 186 | $3,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 200 | $3,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 518 | $3,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 171 | $3,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 79 | $3,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 77 | $3,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 6,997 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 97 | $3,000 | thousands by filing date | |
| RECON CAP SER TR | 75623U201 | RECON CAP DAX GE | 100 | $3,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 1,940 | $3,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 233 | $2,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 335 | $2,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 206 | $2,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 240 | $2,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 770 | $2,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 77 | $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 | 93 | $2,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 251 | $2,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,620 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 421,203 | $2,000 | thousands by filing date | principal |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,000 | $2,000 | thousands by filing date | principal |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 123 | $2,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 328 | $2,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 794 | $2,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 3,005 | $2,000 | thousands by filing date | principal |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 342,506 | $2,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 800 | $2,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 266 | $2,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 1,000 | $2,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 251 | $2,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 99 | $1,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 144 | $1,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 100 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 39 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 238 | $1,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 353 | $1,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 2,300 | $1,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 500 | $1,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 1,066 | $1,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 673 | $1,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 289 | $1,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 500 | $1,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 1,790 | $1,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 93 | $1,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,100 | $1,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 408 | $1,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 49 | $1,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 1,350 | $1,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| ECHELON CORP | 27874N303 | COM NEW | 136 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 100 | $1,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 111 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 700 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-17-000305 | this filing | 2017-02-06 | acceptance time not in the bulk data set |