13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-13, with 4,067 holding rows worth $86,343,432,000.
- Accession
- 0000950123-15-005679
- Filer
- CIK 927971
- Filed
- 2015-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 12,946 entries on the cover page, a total value of $86,343,432,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $86,343,432,000 with VALUE read as thousands by filing date, 13F file number 028-07640. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBMO HARRIS BANK N.A.
- included managerBMO ASSET MANAGEMENT CORP.
- included managerSTOKER OSTLER WEALTH ADVISORS, INC.
- included managerBMO NESBITT BURNS INC.
- included managerBMO HARRIS INVESTMENT MANAGEMENT INC.
- included managerBMO ASSET MANAGEMENT INC.
- included managerSULLIVAN, BRUYETTE, SPEROS & BLANEY, INC
- included managerF&C ASSET MANAGEMENT
- included managerBMO HARRIS FINANCIAL ADVISORS, INC.
- included managerBMO INVESTORLINE INC.
- included managerBANK OF MONTREAL IRELAND P.L.C.
- included managerPYRFORD INTERNATIONAL LIMITED
- included managerBMO CAPITAL MARKETS CORP.
- included managerBMO DELAWARE TRUST COMPANY
- included managerLGM (BERMUDA) LIMITED
- included managerTAPLIN CANIDA & HABACHT, LLC
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 |
|---|---|---|---|---|---|---|
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 3,175 | $41,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 735 | $41,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 2,562 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 568 | $41,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 434 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 930 | $41,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 1,699 | $41,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 1,007 | $41,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 964 | $40,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 860 | $40,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 769 | $40,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 3,000 | $40,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 432 | $40,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 1,611 | $40,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 579 | $40,000 | thousands by filing date | |
| SOLERA HOLDINGS INC | 83421A104 | COM | 768 | $40,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 9,855 | $40,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 1,000 | $40,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 6,041 | $40,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 771 | $39,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 4,400 | $39,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 760 | $39,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 870 | $39,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,131 | $39,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 3,860 | $39,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 405 | $39,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 7,101 | $39,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 1,013 | $39,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 1,239 | $39,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,000 | $39,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 2,413 | $39,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 10,000 | $39,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 5,000 | $39,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 2,710 | $38,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 4,360 | $38,000 | thousands by filing date | |
| CANTEL MEDICAL CORP | 138098108 | COM | 790 | $38,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 10,632 | $38,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 864 | $37,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 1,700 | $37,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 1,700 | $37,000 | thousands by filing date | call |
| RLI CORP COM | 749607107 | Stock | 716 | $37,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 814 | $37,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 2,554 | $37,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 9 | $37,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 523 | $37,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 945 | $37,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 897 | $37,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 5,500 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 1,000 | $37,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,273 | $36,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 587 | $36,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 2,016 | $36,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 694 | $36,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 320 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,572 | $36,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,673 | $36,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 3,276 | $36,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 2,400 | $36,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 5,000 | $36,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 1,000 | $35,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 265 | $35,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 3,623 | $35,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 2,521 | $35,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,970 | $35,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 2,158 | $35,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 500 | $35,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 4,237 | $35,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 2,727 | $35,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 3,374 | $35,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 667 | $35,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 1,074 | $35,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 366 | $34,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 754 | $34,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 889 | $34,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 1,200 | $34,000 | thousands by filing date | |
| FIRST CASH FINL SVCS INC | 31942D107 | COM | 731 | $34,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 199,026 | $34,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 11,985 | $33,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 809 | $33,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 72 | $33,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 1,290 | $33,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 123 | $33,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 1,000 | $33,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 1,272 | $33,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,000 | $33,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 2,200 | $33,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 2,311 | $33,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 445 | $33,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 4,643 | $33,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,666 | $33,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 764 | $33,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 8,812 | $33,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 2,000 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 1,200 | $33,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 7,000 | $33,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,486 | $32,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 657 | $32,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,000 | $32,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,765 | $32,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 636 | $32,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 285 | $32,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 2,000 | $32,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 269 | $32,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 10,736 | $32,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 3,905 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 275 | $31,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 363 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 1,140 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 2,010 | $31,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 350 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 1,003 | $31,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 1,417 | $31,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 858 | $31,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 670 | $31,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 671 | $31,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 3,217 | $31,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,121 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 320 | $30,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 696 | $30,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 45,944 | $30,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 670 | $30,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 1,235 | $30,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 697 | $30,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 1,724 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,050 | $30,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 1,259 | $30,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 1,200 | $30,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 1,123 | $30,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 2,165 | $29,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 531 | $29,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,920 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 331 | $29,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,171 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 1,050 | $29,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 1,625 | $29,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 3,200 | $29,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,400 | $29,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,400 | $29,000 | thousands by filing date | call |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 50,580 | $29,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 388 | $29,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 1,158 | $29,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 647 | $29,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 836 | $28,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 426 | $28,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 2,000 | $28,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 3,643 | $28,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 2,000 | $28,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 460 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 630 | $28,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 928 | $28,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 871 | $28,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,500 | $28,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 3,450 | $28,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 456 | $28,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 4,887 | $28,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 226 | $28,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 258 | $27,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 1,900 | $27,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 602 | $27,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 446 | $27,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 3,047 | $27,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 2,400 | $27,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 953 | $27,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,032 | $27,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 652 | $27,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 2,793 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 1,066 | $27,000 | thousands by filing date | principal |
| CTC MEDIA INC | 12642X106 | COM | 6,883 | $27,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 640 | $27,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 350 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 730 | $26,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 3,800 | $26,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,795 | $26,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,500 | $26,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 1,677 | $26,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 1,000 | $26,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 1,147 | $26,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 1,121 | $26,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,000 | $26,000 | thousands by filing date | principal |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 290 | $26,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 350 | $25,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 491 | $25,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 234 | $25,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 285 | $25,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,546 | $25,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 2,200 | $25,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,595 | $25,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 642 | $25,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 230 | $25,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 2,350 | $25,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 250 | $25,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 737 | $25,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 387 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 300 | $25,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 782 | $25,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 245 | $25,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 1,328 | $25,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 3,686 | $25,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 1,000 | $25,000 | thousands by filing date | principal |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,467 | $24,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 410 | $24,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 400 | $24,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 400 | $24,000 | thousands by filing date | call |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 626 | $24,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 1,000 | $24,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 2,415 | $24,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,147 | $24,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 761 | $24,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 843 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,200 | $24,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,000 | $24,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 590 | $24,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 537 | $24,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 1,750 | $24,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 1,250 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 429 | $24,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 663 | $23,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 500 | $23,000 | thousands by filing date | put |
| MOSAIC CO COM | 61945C103 | Stock | 500 | $23,000 | thousands by filing date | call |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 2,223 | $23,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 1,607 | $23,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,000 | $23,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,334 | $23,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 3,000 | $23,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 5,000 | $23,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 800 | $23,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 3,245 | $23,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,221 | $23,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 800 | $23,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 550 | $23,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 2,515 | $23,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,405 | $23,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,100 | $23,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 3,000 | $23,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 253 | $22,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 1,577 | $22,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 170 | $22,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 721 | $22,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 1,143 | $22,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 950 | $22,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,430 | $22,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 610 | $22,000 | thousands by filing date | |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 374 | $22,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,175 | $22,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 786 | $22,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 837 | $22,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 153 | $22,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 2,100 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 205 | $22,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 10,000 | $22,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 200 | $21,000 | thousands by filing date | put |
| COSTAR GROUP INC COM | 22160N109 | Stock | 104 | $21,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 1,113 | $21,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 202 | $21,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 712 | $21,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 1,700 | $21,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 235 | $21,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 3,477 | $21,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 3,253 | $21,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 681 | $21,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,000 | $21,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1,004 | $21,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 330 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 1,178 | $21,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 1,380 | $21,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 485 | $20,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,999 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 297 | $20,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 469 | $20,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 680 | $20,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 3,845 | $20,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 279 | $20,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 3,422 | $20,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 971 | $20,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 307 | $20,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 800 | $20,000 | thousands by filing date | put |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 370 | $20,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 3,700 | $20,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 5,320 | $20,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 2,075 | $19,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 261 | $19,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 545 | $19,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 739 | $19,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 1,252 | $19,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 520 | $19,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 756 | $19,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,000 | $19,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,003 | $19,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,347 | $19,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 259 | $19,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 700 | $19,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 2,433 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 466 | $19,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 3,275 | $19,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 1,187 | $19,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 33,414 | $19,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 800 | $19,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,000 | $18,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 487 | $18,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 315 | $18,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 301 | $18,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 514 | $18,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 4,561 | $18,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 183 | $18,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 1,300 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 784 | $18,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 4,100 | $18,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $18,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,446 | $18,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 189 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 575 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 321 | $17,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 692 | $17,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 491 | $17,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 1,059 | $17,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 550 | $17,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 500 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 188 | $17,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 277 | $17,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,180 | $17,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 676 | $17,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 792 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 1,280 | $17,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 200 | $17,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 1,000 | $17,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 2,430 | $17,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 11,300 | $17,000 | thousands by filing date | call |
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 2,414 | $17,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 2,000 | $17,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 398 | $17,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 285 | $17,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 150 | $17,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 741 | $17,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 850 | $17,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 200 | $16,000 | thousands by filing date | put |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 800 | $16,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 376 | $16,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 680 | $16,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 843 | $16,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 375 | $16,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 1,000 | $16,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,000 | $16,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,400 | $16,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 600 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 394 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 240 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 280 | $16,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 700 | $16,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 1,879 | $16,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 271 | $16,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,210 | $16,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 785 | $16,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 4,682 | $16,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 277 | $16,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 1,775 | $16,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 1,774 | $16,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 250 | $16,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 400 | $16,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 9,017 | $16,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 4,086 | $15,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,104 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 251 | $15,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 172 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 466 | $15,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 633 | $15,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 558 | $15,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 769 | $15,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 1,200 | $15,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 493 | $15,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 539 | $15,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,500 | $15,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,065 | $15,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 637 | $15,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,110 | $15,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 200 | $15,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 1,131 | $15,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 1,970 | $15,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 19,399 | $15,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,555 | $15,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 2,600 | $15,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,520 | $15,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 14,000 | $15,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,289 | $15,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 500 | $15,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 235 | $14,000 | thousands by filing date | put |
| MURPHY OIL CORP COM | 626717102 | Stock | 300 | $14,000 | thousands by filing date | put |
| MURPHY OIL CORP COM | 626717102 | Stock | 300 | $14,000 | thousands by filing date | call |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 495 | $14,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 435 | $14,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 558 | $14,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 420 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 275 | $14,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 280 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 244 | $14,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 17,000 | $14,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 18,600 | $14,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 2,885 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 600 | $14,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 2,991 | $14,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 653 | $14,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,000 | $14,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 810 | $14,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 287 | $14,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 613 | $14,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 600 | $14,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 392 | $13,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,025 | $13,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 1,000 | $13,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 667 | $13,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 3,979 | $13,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 679 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 309 | $13,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 1,271 | $13,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 700 | $13,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 181 | $13,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 470 | $13,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 714 | $13,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 800 | $13,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 798 | $13,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 1,326 | $13,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,105 | $13,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 5,000 | $13,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,157 | $13,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 505 | $13,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 381 | $13,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 459 | $13,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 2,601 | $13,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 500 | $13,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 3,243 | $13,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 500 | $13,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 289 | $13,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 250 | $12,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 416 | $12,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 850 | $12,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 144 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 498 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $12,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 550 | $12,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $12,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 761 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 226 | $12,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 1,000 | $12,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $12,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 2,000 | $12,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 388 | $12,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 477 | $12,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 933 | $12,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 315 | $12,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 620 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 244 | $12,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 2,443 | $12,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 1,500 | $12,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 230 | $12,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 225 | $12,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 235 | $12,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 2,427 | $12,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 176 | $11,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 28,701 | $11,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 796 | $11,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 500 | $11,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 407 | $11,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 1,229 | $11,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 812 | $11,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 216 | $11,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,000 | $11,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 147 | $11,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 627 | $11,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 1,020 | $11,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 1,250 | $11,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,527 | $11,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 1,000 | $11,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 407 | $11,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 1,443 | $11,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 209 | $11,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 374 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 435 | $11,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 1,263 | $11,000 | thousands by filing date | |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 264 | $11,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 4,400 | $11,000 | thousands by filing date | call |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 1,462 | $11,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 480 | $11,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 10,000 | $11,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 10,490 | $11,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 3,803 | $11,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 785 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 750 | $11,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,250 | $11,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,149 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 500 | $11,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 850 | $11,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 100 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 378 | $10,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 228 | $10,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 866 | $10,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 2,000 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 52 | $10,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 536 | $10,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 425 | $10,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 176 | $10,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 230 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-005679 | this filing | 2015-05-13 | acceptance time not in the bulk data set |