13F-HR filed by NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 2,262 holding rows worth $6,529,322,000.
- Accession
- 0000073076-16-000072
- Filer
- CIK 1141802
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 2,262 entries on the cover page, a total value of $6,529,322,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,529,322,000 with VALUE read as thousands by filing date, 13F file number 028-11160. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- reports for this filerAFFINITY INVESTMENT ADVISORS, LLC028-14467
- reports for this filerALTA CAPITAL MANAGEMENT LLC/028-05119
- reports for this filerApex Capital Management028-11050
- reports for this filerBoston Partners028-12484
- reports for this filerCAMPBELL NEWMAN ASSET MANAGEMENT INC028-02903
- reports for this filerChilton Capital Management Advisors, Inc. 028-12632
- reports for this filerCOLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC028-10477
- reports for this filerCONGRESS ASSET MANAGEMENT CO /MA028-03434
- reports for this filerCONTRAVISORY INVESTMENT MANAGEMENT, INC.028-11954
- reports for this filerDana Investment Advisors, Inc.028-13023
- reports for this filerDAVIS SELECTED ADVISERS028-04121
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- reports for this filerESSEX INVESTMENT MANAGEMENT CO LLC028-00878
- reports for this filerFIRST TRUST ADVISORS LP028-06487
- reports for this filerGW&K Investment Management, LLC028-04145
- reports for this filerHAHN CAPITAL MANAGEMENT LLC028-10195
- reports for this filerInvesco Advisers, Inc.028-00255
- reports for this filerKAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC028-05792
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerLegg Mason Private Portfolio Group, LLC 028-12558
- reports for this filerLONDON CO OF VIRGINIA028-10665
- reports for this filerNeuberger Berman Group LLC028-13573
- reports for this filerNFJ INVESTMENT GROUP LLC028-10770
- reports for this filerOAK RIDGE INVESTMENTS LLC028-06668
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- reports for this filerPOLEN CAPITAL MANAGEMENT LLC028-03687
- reports for this filerQUANTUM CAPITAL MANAGEMENT028-10887
- reports for this filerRaub Brock Capital Management LP028-15157
- reports for this filerRIVERBRIDGE PARTNERS LLC028-05655
- reports for this filerRUSSELL FRANK CO/028-01190
- reports for this filerSCOUT INVESTMENTS, INC.028-10260
- reports for this filerSMITH ASSET MANAGEMENT GROUP LP /ADV 028-03459
- reports for this filerStrategic Global Advisors, LLC028-16442
- reports for this filerTHORNBURG INVESTMENT MANAGEMENT INC028-06605
- reports for this filerTODD ASSET MANAGEMENT LLC028-04171
- reports for this filerWCM INVESTMENT MANAGEMENT/CA028-07104
- reports for this filerZACKS INVESTMENT MANAGEMENT028-04587
- reports for this filerZiegler Capital Management, LLC028-10982
- included managerNORTHWESTERN MUTUAL LIFE INSURANCE CO028-00229
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 |
|---|---|---|---|---|---|---|
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 35 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 13 | $2,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 100 | $1,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 11 | $1,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 6 | $1,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 14 | $1,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 9 | $1,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 43 | $1,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 119 | $1,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 18 | $1,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 13 | $1,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 39 | $1,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 23 | $1,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 9 | $1,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 30 | $1,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 25 | $1,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 85 | $1,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 24 | $1,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 19 | $1,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 93 | $1,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 9 | $1,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 23 | $1,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 29 | $1,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 36 | $1,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 32 | $1,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 87 | $1,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 50 | $1,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 13 | $1,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 100 | $1,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 58 | $1,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 33 | $1,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 23 | $1,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 63 | $1,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 13 | $1,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 135 | $1,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 23 | $1,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 31 | $1,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 13 | $1,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 11 | $1,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 13 | $1,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 9 | $1,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 55 | $1,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 19 | $1,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 50 | $1,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 40 | $1,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 9 | $1,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 21 | $1,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 174 | $1,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 13 | $1,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 49 | $1,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 68 | $1,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 20 | $1,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 16 | $1,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 12 | $1,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 25 | $1,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 22 | $1,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 76 | $1,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 11 | $1,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 19 | $1,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 58 | $1,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 43 | $1,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 31 | $1,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 70 | $1,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 72 | $1,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 25 | $1,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 167 | $1,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 100 | $1,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 118 | $1,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 29 | $1,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 40 | $1,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 45 | $1,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 18 | $1,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 24 | $1,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 14 | $1,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 8 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 32 | $1,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 20 | $1,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 29 | $1,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 56 | $1,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 112 | $1,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 24 | $1,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 32 | $1,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 79 | $1,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 113 | $1,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 19 | $1,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 44 | $1,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 33 | $1,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 20 | $1,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 44 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 27 | $1,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 62 | $1,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 207 | $1,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 125 | $1,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 9 | $1,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 48 | $1,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 28 | $1,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 160 | $1,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 424 | $1,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 49 | $1,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 29 | $1,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 19 | $1,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 87 | $1,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 116 | $1,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 46 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 478 | $1,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 10 | $1,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 116 | $1,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 50 | $1,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 20 | $1,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 200 | $1,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 109 | $1,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 36 | $1,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 27 | $1,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 18 | $1,000 | thousands by filing date | |
| VWR CORP | 91843L103 | COM | 42 | $1,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 37 | $1,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 354 | $1,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 500 | $1,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 11 | $1,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 550 | $1,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 15 | $1,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 32 | $1,000 | thousands by filing date | |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 12 | $1,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 446 | $1,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 230 | $1,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 243 | $1,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 19 | $1,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 200 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 36 | $1,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 25 | $1,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 91 | $1,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 200 | $1,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 127 | $1,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 100 | $1,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 540 | $1,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 67 | $1,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 665 | $1,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 191 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 94 | $1,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 1,000 | $1,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 49 | $1,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 250 | $1,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 394 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 44 | $1,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 324 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 35 | $1,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 10 | $1,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 48 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 40 | $1,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 42 | $1,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 168 | $1,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 38 | $1,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 320 | $1,000 | thousands by filing date | |
| CEB INC | 125134106 | COM | 11 | $1,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 39 | $1,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab US TIPS ETF | 808524870 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMER STATES WTR CO COM | 029899101 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REPLIGEN CORP COM | 759916109 | Stock | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RLJ LODGING TR COM | 74965L101 | REIT | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARETRUST REIT INC COM | 14174T107 | REIT | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 97 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| W & T OFFSHORE INC | 92922P106 | COM | 162 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGI INTL INC | 253798102 | COM | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACCURAY INC DEL | 004397105 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTEON CORP | 92839U206 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CANADIAN SOLAR INC | 136635109 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNPOWER CORP | 867652406 | COM | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 69 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RMR GROUP INC | 74967R106 | CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FS KKR CAPITAL CORP | 302635107 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOPIN CORP | 500600101 | COMMON STOCK | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADWIND INC | 11161T207 | CMN | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BIRKS GROUP INC | 09088U109 | CL A COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY | 531229888 | COMMON STOCK | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECHNIPFMC PLC | 30249U101 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORTUNA MNG CORP F | 349915108 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOBILE MINI INC | 60740F105 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SERES THERAPEUTICS INC | 81750R102 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATWOOD OCEANICS INC | 050095108 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 99 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMPRA INC | 15130J109 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 201 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APOLLO GROUP INC | 037604105 | CL A | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AG MTG INVT TR INC | 001228105 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWLINK GENETICS CORP | 651511107 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Galena Biopharma Inc | 363256108 | COM | 858 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTRX CORP | 232828509 | COM PAR $.001 | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UQM TECHNOLOGIES INC | 903213106 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ID SYSTEMS INC | 449489103 | COM | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASCADE BANCORP | 147154207 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 242 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VOLTARI CORP NEW | 92870X309 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 65 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 270 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMERCEHUB INC | 20084V306 | COM SER C | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIME INC NEW | 887228104 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NRG YIELD INC | 62942X405 | CL C | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VICAL INC | 925602203 | COM NEW | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 320 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VINCE HLDG CORP | 92719W108 | COM | 73 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 83 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVE VENTURES INC | 538142100 | COM | 110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000073076-16-000072 | this filing | 2016-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001141802-17-000004 | superseded | 2017-02-23 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001141802-17-000003 | base | 2017-02-23 | acceptance time not in the bulk data set |