13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-12, with 4,132 holding rows worth $72,382,025,000.
- Accession
- 0000950123-15-011373
- Filer
- CIK 927971
- Filed
- 2015-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 12,936 entries on the cover page, a total value of $72,382,025,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $72,382,025,000 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 managerBANK OF MONTREAL IRELAND P.L.C.
- included managerPYRFORD INTERNATIONAL LIMITED
- included managerBMO CAPITAL MARKETS CORP.
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 |
|---|---|---|---|---|---|---|
| ALLETE INC | 018522300 | COM NEW | 814 | $41,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 938 | $41,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 1,295 | $41,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 6,929 | $41,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 16,875 | $41,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 3,655 | $40,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 6,452 | $40,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 370 | $40,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 2,154 | $40,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 6,708 | $40,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 919 | $40,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 2,666 | $40,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 500 | $39,000 | thousands by filing date | put |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 338 | $39,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 730 | $39,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 710 | $39,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 801 | $39,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 1,320 | $39,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 3,175 | $39,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 3,868 | $39,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 899 | $39,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 4,065 | $39,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 1,588 | $39,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 7,500 | $39,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 1,485 | $39,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 434 | $38,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 1,189 | $38,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 1,816 | $38,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 1,183 | $38,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 2,000 | $38,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 10,000 | $37,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 1,000 | $37,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 876 | $37,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 2,307 | $37,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 3,922 | $37,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 2,050 | $37,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 1,216 | $37,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 1,365 | $37,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 3,696 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 1,000 | $37,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 1,000 | $36,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 313 | $36,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 463 | $36,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 883 | $35,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 2,041 | $35,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 3,226 | $35,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 1,694 | $35,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 4,309 | $35,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 2,741 | $35,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 2,319 | $35,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 1,054 | $35,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 86,402 | $35,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 13,442 | $35,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 423 | $34,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 711 | $34,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 479 | $34,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 717 | $34,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 863 | $34,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 3,768 | $34,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 1,340 | $34,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 1,951 | $34,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,390 | $34,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 2,842 | $34,000 | thousands by filing date | |
| SOLERA HOLDINGS INC | 83421A104 | COM | 640 | $34,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,140 | $34,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 648 | $33,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 157 | $33,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 1,475 | $33,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 644 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,572 | $33,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 358 | $33,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 3,000 | $33,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 1,228 | $33,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 3,450 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 1,632 | $33,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 2,275 | $33,000 | thousands by filing date | |
| REMY INTL INC NEW | 75971M108 | COM | 1,130 | $33,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 1,926 | $32,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 2,701 | $32,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 2,521 | $32,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 2,199 | $32,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 1,516 | $32,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 500 | $32,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 725 | $32,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 2,280 | $31,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,783 | $31,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,604 | $31,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 8,329 | $31,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 1,014 | $31,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,566 | $31,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 2,272 | $31,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 3,276 | $31,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 1,233 | $31,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 1,200 | $31,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 800 | $31,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 880 | $31,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 500 | $30,000 | thousands by filing date | call |
| ISHARES TR | 464288620 | SHS | 275 | $30,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 25,186 | $30,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,105 | $30,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 1,652 | $30,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 679 | $30,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 614 | $30,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 1,000 | $30,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 1,443 | $30,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 5,674 | $30,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 3,224 | $30,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 1,000 | $30,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 1,239 | $30,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 2,000 | $29,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,000 | $29,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 4,259 | $29,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 2,795 | $29,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 8,812 | $29,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 2,000 | $29,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 2,975 | $29,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 326 | $28,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 798 | $28,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 9 | $28,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 3,690 | $28,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 2,250 | $28,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 975 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 605 | $28,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 1,024 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,050 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 570 | $28,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 5,000 | $28,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 9,017 | $28,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 1,384 | $28,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 300 | $27,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 1,700 | $27,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 1,700 | $27,000 | thousands by filing date | call |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 265 | $27,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 524 | $27,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 437 | $27,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 810 | $27,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 2,041 | $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 | 2,532 | $27,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,380 | $27,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 14,527 | $27,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 2,000 | $27,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,637 | $27,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 2,236 | $27,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 70,335 | $27,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 4,208 | $26,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 755 | $26,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,920 | $26,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 2,000 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 257 | $26,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 3,495 | $26,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 1,782 | $26,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 290 | $26,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 5,076 | $26,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 264 | $26,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 341 | $26,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 974 | $26,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 8,234 | $26,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 200 | $26,000 | thousands by filing date | principal |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 20,650 | $26,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,121 | $26,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 296 | $25,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 1,114 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 331 | $25,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 1,245 | $25,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 2,400 | $25,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 2,000 | $25,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 2,207 | $25,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 1,500 | $25,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 1,675 | $25,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 1,724 | $25,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 8,223 | $25,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,282 | $25,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 3,602 | $25,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 1,705 | $25,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 3,368 | $25,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,000 | $25,000 | thousands by filing date | principal |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 6,000 | $25,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 1,184 | $25,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,019 | $24,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 969 | $24,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 776 | $24,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,128 | $24,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 1,353 | $24,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 5,000 | $24,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 815 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 630 | $24,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 4,250 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 949 | $24,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 2,700 | $24,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 522 | $24,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 810 | $24,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 908 | $24,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 456 | $24,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 2,368 | $24,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 4,075 | $24,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 663 | $24,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 10,736 | $24,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 728 | $23,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,595 | $23,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 1,385 | $23,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 1,439 | $23,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 2,000 | $23,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 170 | $23,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 350 | $23,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 3,597 | $23,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 1,447 | $23,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 1,070 | $23,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 1,207 | $23,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 800 | $23,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 515 | $23,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 5,664 | $23,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,000 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 1,102 | $23,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 6,500 | $23,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 300 | $22,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 251 | $22,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 795 | $22,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 513 | $22,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,795 | $22,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 1,590 | $22,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,000 | $22,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 339 | $22,000 | thousands by filing date | |
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| ISHARES TR | 464288794 | US BR DEL SE ETF | 583 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 300 | $22,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,323 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 850 | $22,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 6,625 | $22,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 537 | $22,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,663 | $22,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 970 | $22,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 7,350 | $21,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 230 | $21,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 551 | $21,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 778 | $21,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 1,341 | $21,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 368 | $21,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 2,500 | $21,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,226 | $21,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 296 | $21,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,130 | $21,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 3,401 | $21,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,473 | $21,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,321 | $21,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 1,123 | $21,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 1,743 | $20,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 170 | $20,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 1,000 | $20,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 1,642 | $20,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 1,450 | $20,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 556 | $20,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,500 | $20,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 3,681 | $20,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 800 | $20,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,500 | $20,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 875 | $20,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 477 | $20,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,400 | $20,000 | thousands by filing date | put |
| ENSCO PLC | G3157S106 | SHS CLASS A | 1,400 | $20,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q506 | COM NEW | 3,059 | $20,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 1,088 | $20,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 4,887 | $20,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 1,380 | $20,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 1,415 | $19,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,732 | $19,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 703 | $19,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 654 | $19,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 1,020 | $19,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 555 | $19,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 2,461 | $19,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 332 | $19,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 243 | $19,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 2,681 | $19,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 548 | $19,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,100 | $19,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 2,002 | $19,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 477 | $19,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 470 | $19,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,803 | $19,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 4,100 | $19,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 5,041 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 450 | $18,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 2,545 | $18,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 136 | $18,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 1,500 | $18,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 735 | $18,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,749 | $18,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 960 | $18,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 439 | $18,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 307 | $18,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 476 | $18,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 540 | $18,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 371 | $18,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 6,803 | $18,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 800 | $18,000 | thousands by filing date | put |
| BLUE NILE INC | 09578R103 | COM | 539 | $18,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,446 | $18,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 318 | $17,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 1,190 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 460 | $17,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 1,430 | $17,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 697 | $17,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,607 | $17,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 1,197 | $17,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 950 | $17,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 3,000 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 778 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 244 | $17,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 1,064 | $17,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 250 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 1,158 | $17,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 486 | $17,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 640 | $17,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 500 | $17,000 | thousands by filing date | |
| ZS PHARMA INC | 98979G105 | Common Stock | 263 | $17,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 515 | $16,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 500 | $16,000 | thousands by filing date | put |
| MOSAIC CO COM | 61945C103 | Stock | 500 | $16,000 | thousands by filing date | call |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 343 | $16,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 304 | $16,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 656 | $16,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,537 | $16,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 500 | $16,000 | thousands by filing date | put |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 791 | $16,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 510 | $16,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 212 | $16,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 550 | $16,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,000 | $16,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $16,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 3,040 | $16,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 286 | $16,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 1,180 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 175 | $16,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 533 | $16,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 769 | $16,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,000 | $16,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 238 | $16,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 1,276 | $16,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 430 | $16,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 2,000 | $16,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 750 | $16,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $16,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 605 | $16,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 432 | $15,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,146 | $15,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 1,098 | $15,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 400 | $15,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 400 | $15,000 | thousands by filing date | call |
| ATI INC COM | 01741R102 | Stock | 1,062 | $15,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 960 | $15,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 317 | $15,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 815 | $15,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 434 | $15,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 236 | $15,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 526 | $15,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 487 | $15,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 970 | $15,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,400 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 1,280 | $15,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 328 | $15,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 2,750 | $15,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,078 | $15,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 5,630 | $15,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 567 | $15,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 735 | $15,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 837 | $15,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 738 | $15,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,510 | $15,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 1,109 | $15,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 4,103 | $15,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 5,000 | $15,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 240 | $14,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,764 | $14,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 472 | $14,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 498 | $14,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 460 | $14,000 | thousands by filing date | |
| QUAKER HOUGHTON | 747316107 | COM | 172 | $14,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 385 | $14,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 313 | $14,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,890 | $14,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 595 | $14,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 580 | $14,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 5,000 | $14,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 6,228 | $14,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 382 | $14,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 1,520 | $14,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 725 | $14,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 24,000 | $14,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 338 | $13,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 485 | $13,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 500 | $13,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 2,400 | $13,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 315 | $13,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 769 | $13,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,000 | $13,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,258 | $13,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 565 | $13,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 1,875 | $13,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,000 | $13,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 825 | $13,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 940 | $13,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 210 | $13,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 753 | $13,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,393 | $13,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 1,000 | $13,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 118 | $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 |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 206 | $13,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 579 | $13,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 387 | $13,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 600 | $12,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 283 | $12,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 667 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $12,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 361 | $12,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 339 | $12,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 700 | $12,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 391 | $12,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 470 | $12,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 407 | $12,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 623 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 281 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 500 | $12,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,500 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 280 | $12,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 396 | $12,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 2,000 | $12,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 525 | $12,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 5,900 | $12,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 759 | $12,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,230 | $12,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 2,100 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 600 | $12,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 275 | $11,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 275 | $11,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 875 | $11,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 646 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 498 | $11,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 756 | $11,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 231 | $11,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 944 | $11,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 254 | $11,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 248 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 116 | $11,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 480 | $11,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $11,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 726 | $11,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 366 | $11,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,045 | $11,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 1,824 | $11,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 342 | $11,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,025 | $11,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 480 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 900 | $11,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 221 | $11,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 2,550 | $11,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 208 | $10,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 500 | $10,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 144 | $10,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 730 | $10,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 2,500 | $10,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 300 | $10,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 866 | $10,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 612 | $10,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 536 | $10,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 280 | $10,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 1,020 | $10,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 243 | $10,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 639 | $10,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 798 | $10,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 595 | $10,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,527 | $10,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 734 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 400 | $10,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 5,000 | $10,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 8,000 | $10,000 | thousands by filing date | principal |
| ERA GROUP INC | 26885G109 | COM | 654 | $10,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 653 | $10,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 1,500 | $10,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 238 | $10,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 2,284 | $10,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W101 | ENH US LCP ETF | 323 | $10,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 850 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 64 | $9,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 1,464 | $9,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 2,419 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 28,700 | $9,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 588 | $9,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 664 | $9,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 320 | $9,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 700 | $9,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 700 | $9,000 | thousands by filing date | call |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 485 | $9,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 383 | $9,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 520 | $9,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 2,000 | $9,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 3,172 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 52 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-011373 | this filing | 2015-11-12 | acceptance time not in the bulk data set |