13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-04-29, with 4,337 holding rows worth $93,830,690,000.
- Accession
- 0000950123-16-016113
- Filer
- CIK 927971
- Filed
- 2016-04-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 14,799 entries on the cover page, a total value of $93,830,690,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $93,830,690,000 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 managerCTC MYCFO
- 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 |
|---|---|---|---|---|---|---|
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 798 | $15,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 1,900 | $15,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 711 | $15,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 1,000 | $15,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 419 | $15,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,132 | $15,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 171 | $14,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 169 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 270 | $14,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 3,055 | $14,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,668 | $14,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,100 | $14,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,442 | $14,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 6,312 | $14,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 1,105 | $14,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 1,500 | $14,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 769 | $14,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 855 | $14,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,563 | $14,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 1,000 | $14,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 658 | $14,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 1,000 | $14,000 | thousands by filing date | put |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 984 | $14,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,000 | $14,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 1,000 | $14,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 297 | $14,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 1,060 | $14,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 100 | $13,000 | thousands by filing date | call |
| AGREE RLTY CORP COM | 008492100 | REIT | 320 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 498 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $13,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 5,628 | $13,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 900 | $13,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 472 | $13,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 200 | $13,000 | thousands by filing date | call |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 1,500 | $13,000 | thousands by filing date | call |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 2,377 | $13,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,100 | $13,000 | thousands by filing date | call |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 1,005 | $13,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 2,121 | $13,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 2,703 | $13,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,568 | $13,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 1,549 | $13,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,328 | $13,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 3,517 | $13,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 500 | $13,000 | thousands by filing date | call |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 263 | $12,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 735 | $12,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 554 | $12,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 691 | $12,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 407 | $12,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 500 | $12,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 944 | $12,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 340 | $12,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 600 | $12,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 391 | $12,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 1,000 | $12,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 460 | $12,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 407 | $12,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,289 | $12,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 2,131 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 402 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 254 | $12,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,356 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 400 | $12,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 2,274 | $12,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 1,700 | $12,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,006 | $12,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 2,500 | $12,000 | thousands by filing date | put |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 800 | $12,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 998 | $12,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 1,200 | $12,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 581 | $12,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,630 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 600 | $12,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 500 | $12,000 | thousands by filing date | principal |
| Kelso Technologies Inc | 48826D201 | COM | 13,167 | $12,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 2,294 | $12,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 622 | $12,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 984 | $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 | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 470 | $11,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 20,050 | $11,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 715 | $11,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 201 | $11,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,154 | $11,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,880 | $11,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,000 | $11,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 970 | $11,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,000 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 1,000 | $11,000 | thousands by filing date | call |
| BJS RESTAURANTS INC | 09180C106 | COM | 275 | $11,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 471 | $11,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 844 | $11,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,580 | $11,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 243 | $11,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 505 | $11,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 5,530 | $11,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,928 | $11,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 1,900 | $11,000 | thousands by filing date | put |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 3,466 | $11,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 49 | $11,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 389 | $11,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 1,000 | $11,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 524 | $11,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,093 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 254 | $11,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 748 | $11,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 1,018 | $11,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 883 | $11,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 745 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W101 | ENH US LCP ETF | 326 | $11,000 | thousands by filing date | |
| PROSHARES TR II ULT VIX SHRT | 74347W312 | CEF | 550 | $11,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 851 | $11,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 2,365 | $11,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,000 | $10,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 9,655 | $10,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 886 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 55 | $10,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 270 | $10,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 4,061 | $10,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 480 | $10,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 270 | $10,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $10,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 1,963 | $10,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 28,000 | $10,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 28,000 | $10,000 | thousands by filing date | put |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 798 | $10,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 650 | $10,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 949 | $10,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 25 | $10,000 | thousands by filing date | principal |
| STEIN MART INC | 858375108 | COM | 1,325 | $10,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 364 | $10,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 2,549 | $10,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 1,000 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 589 | $10,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 2,602 | $10,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 790 | $10,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 747 | $10,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 76 | $9,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 243 | $9,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 306 | $9,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 500 | $9,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 28,700 | $9,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 483 | $9,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $9,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 254 | $9,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 690 | $9,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 740 | $9,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 224 | $9,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,600 | $9,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 202 | $9,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 893 | $9,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 6,000 | $9,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 309 | $9,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 296 | $9,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 268 | $9,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 512 | $9,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 2,388 | $9,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,153 | $9,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,294 | $9,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 90 | $8,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 133 | $8,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 355 | $8,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 100 | $8,000 | thousands by filing date | call |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 700 | $8,000 | thousands by filing date | call |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 367 | $8,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 2,867 | $8,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 409 | $8,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 495 | $8,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 600 | $8,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 343 | $8,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 200 | $8,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 547 | $8,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 1,334 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 255 | $8,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 768 | $8,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 172 | $8,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 417 | $8,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 361 | $8,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 337 | $8,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 5,000 | $8,000 | thousands by filing date | principal |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,574 | $8,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 181 | $8,000 | thousands by filing date | principal |
| GROUPON INC | 399473107 | COMMON STOCK | 2,122 | $8,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 7,460 | $8,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 569 | $8,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 582 | $8,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 908 | $8,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 4,524 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 200 | $8,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 1,000 | $8,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 1,471 | $8,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 686 | $8,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 324 | $8,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 325 | $8,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 450 | $8,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 9 | $8,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,466 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 340 | $8,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 800 | $7,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 759 | $7,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 1,274 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 82 | $7,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 282 | $7,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,300 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 160 | $7,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 470 | $7,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $7,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 558 | $7,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,000 | $7,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 574 | $7,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 534 | $7,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 705 | $7,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 173 | $7,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 776 | $7,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 495 | $7,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 11,784 | $7,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 5,000 | $7,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 7,268 | $7,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $7,000 | thousands by filing date | principal |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 439 | $7,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 1,222 | $7,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 971 | $7,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 500 | $7,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 373 | $7,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 692 | $7,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 703 | $7,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 653 | $7,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 681 | $7,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 50 | $6,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 100 | $6,000 | thousands by filing date | call |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 407 | $6,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 300 | $6,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 1,232 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 120 | $6,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 399 | $6,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 142 | $6,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 437 | $6,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 539 | $6,000 | thousands by filing date | |
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| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 313 | $6,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 296 | $6,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 321 | $6,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 600 | $6,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 449 | $6,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,055 | $6,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 17,499 | $6,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,002 | $6,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 600 | $6,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 537 | $6,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 2,821 | $6,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 926 | $6,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 409 | $6,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 185 | $6,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 496 | $6,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 620 | $6,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 4,000 | $6,000 | thousands by filing date | principal |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 3,166 | $6,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 521 | $6,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $6,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 410 | $6,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,857 | $6,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 3,074 | $6,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 633 | $6,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 371 | $5,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 45 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 58 | $5,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 100 | $5,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 50 | $5,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 77 | $5,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,732 | $5,000 | thousands by filing date | |
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| MOVADO GROUP INC COM | 624580106 | Stock | 172 | $5,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 267 | $5,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 2,352 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 176 | $5,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 700 | $5,000 | thousands by filing date | call |
| NOVOCURE LTD | G6674U108 | ORD SHS | 350 | $5,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 280 | $5,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 286 | $5,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $5,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 400 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $5,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 430 | $5,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 318 | $5,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 400 | $5,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 730 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 275 | $5,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 175 | $5,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 314 | $5,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 292 | $5,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 309 | $5,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 181 | $5,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 790 | $5,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 160 | $5,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 2,249 | $5,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $5,000 | thousands by filing date | principal |
| Biglari Holdings | 08986r101 | COM | 15 | $5,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 320 | $5,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 354 | $5,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 266 | $5,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 5,000 | $5,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 124 | $5,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 1,899 | $5,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 400 | $5,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 700 | $5,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 400 | $5,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 350 | $5,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 177 | $5,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 3,086 | $5,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 250 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 170 | $5,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 200 | $5,000 | thousands by filing date | principal |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 356 | $5,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 528 | $5,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 200 | $5,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 328 | $5,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 627 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 70 | $5,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 376 | $5,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 400 | $5,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,413 | $5,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,200 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 836 | $5,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 2,500 | $5,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 1,832 | $5,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 50 | $4,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 637 | $4,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 102 | $4,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 400 | $4,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 37 | $4,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 103 | $4,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 200 | $4,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 153 | $4,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 330 | $4,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 369 | $4,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 135 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 65 | $4,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 154 | $4,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 1,288 | $4,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 200 | $4,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 228 | $4,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 87 | $4,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 174 | $4,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 150 | $4,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,485 | $4,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 298 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 163 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 115 | $4,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 124 | $4,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 200 | $4,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 254 | $4,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 234 | $4,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,000 | $4,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 362 | $4,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 245 | $4,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 349 | $4,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 298 | $4,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,000 | $4,000 | thousands by filing date | principal |
| ULTRATECH INC | 904034105 | COM | 205 | $4,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,025 | $4,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 1,061 | $4,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,421 | $4,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 254 | $4,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,458 | $4,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 380 | $4,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 263 | $4,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 4,176 | $4,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 214 | $4,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 3,520 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 130 | $4,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 2,000 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 200 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 1,000 | $4,000 | thousands by filing date | principal |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 500 | $4,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 4,000 | $4,000 | thousands by filing date | principal |
| CONTROL4 CORP | 21240D107 | COM | 500 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 211 | $4,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 684 | $4,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 1,322 | $4,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 279 | $4,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 131 | $4,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 918 | $4,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 240 | $4,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 4,000 | $4,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 2,000 | $4,000 | thousands by filing date | principal |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ANCHOR BANCORP WIS INC DEL | 03283P106 | COM | 98 | $4,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 150 | $4,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 50 | $3,000 | thousands by filing date | call |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 400 | $3,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 100 | $3,000 | thousands by filing date | put |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 324 | $3,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 400 | $3,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 5,000 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 45 | $3,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,500 | $3,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 108 | $3,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 54 | $3,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 666 | $3,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 431 | $3,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 502 | $3,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 431 | $3,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 177 | $3,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 385 | $3,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 138 | $3,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 421 | $3,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 152 | $3,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 283 | $3,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 130 | $3,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 644 | $3,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 256 | $3,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 40 | $3,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 293 | $3,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 756 | $3,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 442 | $3,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 3,125 | $3,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 177 | $3,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 1,390 | $3,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 180 | $3,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 460 | $3,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 242 | $3,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 300 | $3,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 109 | $3,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 100 | $3,000 | thousands by filing date | put |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,000 | $3,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 712 | $3,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 227 | $3,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 83,657 | $3,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 184 | $3,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 35 | $3,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 5,000 | $3,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 209 | $3,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 165 | $3,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 2,465 | $3,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,001 | $3,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 600 | $3,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 120 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 1,573 | $3,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 370 | $3,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 300 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 357 | $3,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 1,140 | $3,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 437 | $3,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 2,000 | $3,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 175 | $3,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 1,000 | $3,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 55 | $3,000 | thousands by filing date | principal |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 3,500 | $3,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 24 | $3,000 | thousands by filing date | principal |
| UNITED ONLINE INC | 911268209 | COM NEW | 222 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 36 | $2,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,000 | $2,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 259 | $2,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 53 | $2,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 200 | $2,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,000 | $2,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 160 | $2,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 254 | $2,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 328 | $2,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 64 | $2,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 159 | $2,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 39 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 75 | $2,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 129 | $2,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 161 | $2,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 783 | $2,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 730 | $2,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 310 | $2,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 110 | $2,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 273 | $2,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 109 | $2,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 55 | $2,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 660 | $2,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 66 | $2,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 152 | $2,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 95 | $2,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 142 | $2,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 172 | $2,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 91 | $2,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 58 | $2,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 190 | $2,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 375 | $2,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 3,564 | $2,000 | thousands by filing date | |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 43 | $2,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 1,630 | $2,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 62 | $2,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 430 | $2,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 790 | $2,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 188 | $2,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 285 | $2,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 41 | $2,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 112 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-016113 | this filing | 2016-04-29 | acceptance time not in the bulk data set |