13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 5,072 holding rows worth $141,465,128,000.
- Accession
- 0000948046-16-000206
- Filer
- CIK 948046
- 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 holdings report, 17,879 entries on the cover page, a total value of $141,465,128,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,465,128,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDeutsche Asset Management Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Bank (Suisse) SA028-11509
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerOppenheim Asset Management Services S.a.r.l028-13923
- included managerDeutsche Asset Management (UK) Ltd028-13988
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 |
|---|---|---|---|---|---|---|
| VIRNETX HLDG CORP | 92823T108 | COM | 7,728 | $23,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 3,400 | $23,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 2,922 | $23,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 2,369 | $23,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 3,676 | $23,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 7,519 | $23,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 3,896 | $23,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 3,660 | $23,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 250 | $22,000 | thousands by filing date | put |
| Charles Schwab Corp | 808513105 | COM | 704 | $22,000 | thousands by filing date | call |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 83 | $22,000 | thousands by filing date | call |
| FULL HSE RESORTS INC | 359678109 | COM | 12,779 | $22,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 36,051 | $22,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,108 | $22,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 3,718 | $22,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 27,800 | $22,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 4,258 | $22,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 5,545 | $22,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 9,770 | $22,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 200 | $21,000 | thousands by filing date | put |
| Danaher Corporation | 235851102 | COM | 280 | $21,000 | thousands by filing date | put |
| Lowes Companies,Inc. | 548661107 | COM | 297 | $21,000 | thousands by filing date | call |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 771 | $21,000 | thousands by filing date | call |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 770 | $21,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 2,612 | $21,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 3,100 | $21,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 7,105 | $21,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,288 | $21,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 12,452 | $21,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 3,662 | $21,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 3,089 | $21,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,528 | $20,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 1,000 | $20,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 6,100 | $20,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,763 | $20,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 4,267 | $20,000 | thousands by filing date | call |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 27,300 | $20,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 6,935 | $20,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,152 | $20,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 49,835 | $20,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 150 | $19,000 | thousands by filing date | put |
| Charles Schwab Corp | 808513105 | COM | 618 | $19,000 | thousands by filing date | put |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 5,373 | $19,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 250 | $19,000 | thousands by filing date | call |
| DISCOVER FINL SVCS | 254709108 | COM | 345 | $19,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 500 | $19,000 | thousands by filing date | put |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 800 | $19,000 | thousands by filing date | put |
| PREFORMED LINE PRODS CO | 740444104 | COM | 484 | $19,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,026 | $19,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 2,000 | $19,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 3,634 | $19,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 13,725 | $19,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 3,500 | $19,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 466 | $18,000 | thousands by filing date | put |
| MOHAWK INDS INC | 608190104 | COM | 94 | $18,000 | thousands by filing date | call |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 1,292 | $18,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 2,300 | $18,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,500 | $18,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 2,100 | $18,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 3,135 | $18,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 4,138 | $18,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 162 | $17,000 | thousands by filing date | call |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 194 | $17,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 20,210 | $17,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 399 | $17,000 | thousands by filing date | put |
| RADIANT LOGISTICS INC | 75025X100 | COM | 6,451 | $17,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 12,273 | $17,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,575 | $17,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 791 | $17,000 | thousands by filing date | call |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,175 | $17,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 6,948 | $17,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 38,562 | $17,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 3,300 | $17,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,276 | $17,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 7,868 | $17,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 900 | $17,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 7,843 | $17,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 962 | $17,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 3,705 | $17,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 5,600 | $17,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 2,160 | $17,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,450 | $16,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 500 | $16,000 | thousands by filing date | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 36,612 | $16,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 230 | $16,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,000 | $16,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 700 | $16,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,275 | $16,000 | thousands by filing date | put |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 230 | $16,000 | thousands by filing date | call |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 900 | $16,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 5,608 | $16,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 8,816 | $16,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 3,356 | $16,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 5,385 | $16,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 6,176 | $16,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 1,000 | $15,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 1,000 | $15,000 | thousands by filing date | call |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 406 | $15,000 | thousands by filing date | put |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 618 | $15,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 1,878 | $15,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,767 | $15,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 582 | $15,000 | thousands by filing date | put |
| RACKSPACE HOSTING INC | 750086100 | COM | 500 | $15,000 | thousands by filing date | call |
| SERVOTRONICS INC | 817732100 | COM | 1,400 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 600 | $15,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 1,248 | $15,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 2,603 | $15,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 3,967 | $15,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 500 | $14,000 | thousands by filing date | call |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,829 | $14,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,332 | $14,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 4,709 | $14,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 2,180 | $14,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 869 | $14,000 | thousands by filing date | call |
| PAMT CORP | 693149106 | COMMON STOCK | 780 | $14,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 3,448 | $14,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 2,468 | $14,000 | thousands by filing date | call |
| SEADRILL ORD | G7945E105 | COM | 6,000 | $14,000 | thousands by filing date | put |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 2,023 | $14,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 1,001 | $14,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 3,087 | $14,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 2,140 | $14,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,000 | $13,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 3,100 | $13,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 338 | $13,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 7,116 | $13,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 2,268 | $13,000 | thousands by filing date | put |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,623 | $13,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 6,300 | $13,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,883 | $13,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 4,953 | $13,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 1,150 | $13,000 | thousands by filing date | put |
| SUMMER INFANT INC | 865646103 | COMM STK | 6,436 | $13,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 552 | $12,000 | thousands by filing date | call |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,129 | $12,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 500 | $12,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 1,415 | $12,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $12,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 1,103 | $12,000 | thousands by filing date | call |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 1,093 | $12,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 2,517 | $12,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 999 | $12,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 35,472 | $12,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 3,314 | $12,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 13,000 | $12,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 496 | $11,000 | thousands by filing date | call |
| PPL CORP COM | 69351T106 | Stock | 351 | $11,000 | thousands by filing date | call |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 310 | $11,000 | thousands by filing date | put |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 190 | $11,000 | thousands by filing date | call |
| CIGNA CORPORATION | 125509109 | COM | 88 | $11,000 | thousands by filing date | call |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 777 | $11,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,088 | $11,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 5,693 | $11,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 350 | $11,000 | thousands by filing date | call |
| CONNS INC | 208242107 | COM | 1,124 | $11,000 | thousands by filing date | call |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 11,400 | $11,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 2,376 | $11,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 6,300 | $11,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 549 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 8,926 | $11,000 | thousands by filing date | principal |
| WW GRAINGER INC COM | 384802104 | Stock | 45 | $10,000 | thousands by filing date | call |
| CARMAX INC COM | 143130102 | Stock | 200 | $10,000 | thousands by filing date | put |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 848 | $10,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,392 | $10,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 3,300 | $10,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,017 | $10,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 605 | $10,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 200 | $10,000 | thousands by filing date | put |
| Castle Brands Inc | 148435100 | COM | 11,785 | $10,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 127 | $10,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,121 | $10,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 18,100 | $10,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 3,900 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 225,298 | $10,000 | thousands by filing date | principal |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 4,803 | $10,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 9,043 | $10,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 700 | $10,000 | thousands by filing date | call |
| DRAGONWAVE INC | 26144M400 | COM NEW | 3,801 | $10,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,800 | $10,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 250 | $9,000 | thousands by filing date | call |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 77 | $9,000 | thousands by filing date | call |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 76 | $9,000 | thousands by filing date | put |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 76 | $9,000 | thousands by filing date | call |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 548 | $9,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 300 | $9,000 | thousands by filing date | call |
| COACH INC | 189754104 | COM | 254 | $9,000 | thousands by filing date | call |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,447 | $9,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 137 | $9,000 | thousands by filing date | put |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 550 | $9,000 | thousands by filing date | put |
| RADIUS HEALTH INC | 750469207 | COM NEW | 167 | $9,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 7,300 | $9,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 7,500 | $9,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 1,000 | $9,000 | thousands by filing date | call |
| NEW YORK & CO INC | 649295102 | COM | 4,370 | $9,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 8,600 | $9,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAA3 | NOTE 8.250%12/3 | 10,000 | $9,000 | thousands by filing date | principal |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 2,355 | $9,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 55 | $8,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 120 | $8,000 | thousands by filing date | call |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 400 | $8,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 500 | $8,000 | thousands by filing date | put |
| GOPRO INC | 38268T103 | CL A | 500 | $8,000 | thousands by filing date | call |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 900 | $8,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,634 | $8,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 200 | $8,000 | thousands by filing date | call |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 4,352 | $8,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $8,000 | thousands by filing date | call |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,477 | $8,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 781 | $8,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 50 | $7,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 570 | $7,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 200 | $7,000 | thousands by filing date | put |
| INCYTE CORP COM | 45337C102 | Stock | 75 | $7,000 | thousands by filing date | call |
| NEWTEKONE INC | 652526203 | COM NEW | 516 | $7,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 300 | $7,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,692 | $7,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 900 | $7,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 142,842 | $7,000 | thousands by filing date | principal |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 700 | $7,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,190 | $7,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 2,800 | $7,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 3,316 | $7,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 3,400 | $7,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 221 | $6,000 | thousands by filing date | call |
| ONEOK INC NEW | 682680103 | COM | 120 | $6,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 118 | $6,000 | thousands by filing date | call |
| TARGET CORP COM | 87612E106 | Stock | 90 | $6,000 | thousands by filing date | call |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 509 | $6,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 595 | $6,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 300 | $6,000 | thousands by filing date | put |
| LANTHEUS HLDGS INC | 516544103 | COM | 736 | $6,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 76 | $6,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 780 | $6,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 1,275 | $6,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 270 | $6,000 | thousands by filing date | call |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $6,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 310 | $6,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 2,503 | $6,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 525 | $6,000 | thousands by filing date | call |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 100,000 | $6,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 250 | $6,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,422 | $6,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 246 | $6,000 | thousands by filing date | put |
| KEMET CORP | 488360207 | COM NEW | 1,703 | $6,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 4,100 | $6,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 29,800 | $6,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $6,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 1,300 | $6,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 231 | $6,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 90 | $5,000 | thousands by filing date | put |
| HESS CORP | 42809H107 | COM | 100 | $5,000 | thousands by filing date | put |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 300 | $5,000 | thousands by filing date | put |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 386 | $5,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 866 | $5,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 109 | $5,000 | thousands by filing date | call |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 300 | $5,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 19,935 | $5,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 842 | $5,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 6,146 | $5,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 4,006 | $5,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 438 | $5,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 2,446 | $5,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 500 | $5,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 2,313 | $5,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 100 | $5,000 | thousands by filing date | put |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 3,629 | $5,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 1,234 | $5,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 1,263 | $5,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 80 | $4,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 400 | $4,000 | thousands by filing date | put |
| SMUCKER J M CO | 832696405 | COM NEW | 30 | $4,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 92 | $4,000 | thousands by filing date | call |
| CVR ENERGY, INC. | 12662P108 | COM | 320 | $4,000 | thousands by filing date | put |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,074 | $4,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,447 | $4,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 400 | $4,000 | thousands by filing date | call |
| Viewra, Inc | 92672L107 | COM | 1,242 | $4,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 515 | $4,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 182 | $4,000 | thousands by filing date | call |
| BOVIE MEDICAL CORP | 10211F100 | COM | 936 | $4,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,450 | $4,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 6,400 | $4,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 300 | $4,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,801 | $4,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 1,444 | $4,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 622 | $4,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 1,183 | $4,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 20 | $3,000 | thousands by filing date | call |
| COMERICAINC | 200340107 | COM | 78 | $3,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 429 | $3,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 90 | $3,000 | thousands by filing date | call |
| FLUOR CORP | 343412102 | COM | 68 | $3,000 | thousands by filing date | call |
| ADVANSIX INC | 00773T101 | COM | 200 | $3,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 200 | $3,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 202 | $3,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 900 | $3,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 751 | $3,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 1,400 | $3,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 200 | $3,000 | thousands by filing date | put |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 10,225 | $3,000 | thousands by filing date | principal |
| ITERIS INC NEW | 46564T107 | COM | 1,004 | $3,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 450 | $3,000 | thousands by filing date | call |
| CLEARONE INC | 18506U104 | COM | 295 | $3,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 1,500 | $3,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 1,142 | $3,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 800 | $3,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 137 | $3,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C112 | *W EXP 06/16/202 | 15,000 | $3,000 | thousands by filing date | call |
| FMC CORP COM NEW | 302491303 | Stock | 52 | $2,000 | thousands by filing date | call |
| CUMMINS INC COM | 231021106 | Stock | 18 | $2,000 | thousands by filing date | put |
| AFLAC INC COM | 001055102 | Stock | 36 | $2,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 100 | $2,000 | thousands by filing date | put |
| GAP INC COM | 364760108 | Stock | 100 | $2,000 | thousands by filing date | call |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 45 | $2,000 | thousands by filing date | call |
| OSHKOSH CORP COM | 688239201 | Stock | 50 | $2,000 | thousands by filing date | put |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 74 | $2,000 | thousands by filing date | call |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 32 | $2,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 394 | $2,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 700 | $2,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 230 | $2,000 | thousands by filing date | put |
| SANOFI | 80105N113 | COMMON STOCK-FO | 8,215 | $2,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 177 | $2,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 718 | $2,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 153 | $2,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 81 | $2,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 818 | $2,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 797 | $2,000 | thousands by filing date | |
| FIRST CASH FINL SVCS INC | 31942D107 | COM | 45 | $2,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 70 | $2,000 | thousands by filing date | call |
| BSQUARE CORP | 11776U300 | COM | 592 | $2,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 90 | $2,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 1,911 | $2,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 2,400 | $2,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 3,600 | $2,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 1,100 | $2,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 255 | $2,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 189 | $2,000 | thousands by filing date | call |
| Prologis,Inc. | 74340W103 | COM | 20 | $1,000 | thousands by filing date | call |
| NEWELL BRANDS INC COM | 651229106 | Stock | 35 | $1,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 142 | $1,000 | thousands by filing date | call |
| STATE STR CORP COM | 857477103 | Stock | 25 | $1,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 30 | $1,000 | thousands by filing date | call |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 200 | $1,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 125 | $1,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 90 | $1,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 48 | $1,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 52 | $1,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 85 | $1,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 121 | $1,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 44 | $1,000 | thousands by filing date | call |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 1,400 | $1,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 500 | $1,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 61 | $1,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 108 | $1,000 | thousands by filing date | call |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 48 | $1,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 477 | $1,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 67 | $1,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 77 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 93 | $1,000 | thousands by filing date | call |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 500 | $1,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 3,150 | $1,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 300 | $1,000 | thousands by filing date | call |
| AIXTRON SE | 009606104 | SPONSORED ADR | 300 | $1,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,170 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,300 | $1,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 280 | $1,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 200 | $1,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 1,484 | $1,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 6,000 | $1,000 | thousands by filing date | principal |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,200 | $1,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 2,100 | $1,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 81 | $1,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 177 | $1,000 | thousands by filing date | |
| ININ 1.25 6/20 | 45841VAB5 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | principal |
| CONNECTURE INC COM | 20786J106 | Stock | 952 | $1,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 400 | $1,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 1,682 | $1,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 16 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 14 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WABTEC COM | 929740108 | Stock | 7 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| KEYCORP COM | 493267108 | Stock | 60 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WHIRLPOOL CORP COM | 963320106 | Stock | 6 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 4 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 6 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 48 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENERGY FUELS INC | 292671708 | COM NEW | 169 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 199 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRO DEX INC | 74265M205 | COMMON STOCK | 181 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IDENTIV INC | 45170X205 | COM NEW | 219 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INNSUITES HOSPITALITY TR | 457919108 | SH BEN INT | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEMILEDS CORP | 816645204 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDUCATIONAL DEV CORP | 281479105 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 100 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| United Parcel Service, Inc | 917286106 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 28 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 28 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NW Biotherapeutics | 66737P600 | USD | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERTEX ENERGY INC | 92534K107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WIDEPOINT CORP COMMON | 967590100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Dow Chemical Company | 260543103 | COM | 1 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| POWER REIT | 73933H101 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAITRON COMPONENTS INC | 874028103 | CL A | 226 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 469 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| Cinedigm Corp CL A | 172406209 | COM NEW | 133 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 421 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 16,960 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 7,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 141 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AK STEEL HOLDING CORP | 001547108 | COM | 143 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VANGUARD | 92205F106 | Domestic Common | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 337 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COSI INC | 22122P200 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTREE GOLD INC | 29383G100 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONIC FDRY INC | 83545R207 | COM NEW | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK MNG INC | 205750102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 815 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 3,988 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 6 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 41 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 81 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Leading Brands Inc. | 52170U207 | COM | 274 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 1,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| MATTERSIGHT CORP | 577097108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AROTECH CORP | 042682203 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORIENT PAPER INC | 68619F205 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 191 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CITIZENS FIRST CORP | 17462Q107 | COM | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REMARK MEDIA INC | 75954W107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KONGZHONG CORP | 50047P104 | CMN | 145 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RADIO ONE INC | 75040P108 | CL A | 61 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OTELCO INC | 688823301 | CL A NEW | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SORL Auto Parts Inc | 78461U101 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 57 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 40,633 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 15 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| URANIUM RES INC | 916901705 | COM | 379 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYREN LTD | M26895108 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P500 | COM PAR | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NANOVIRICIDES INC | 630087203 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 420 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-16-000206 | this filing | 2016-11-14 | acceptance time not in the bulk data set |