13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-19, with 4,061 holding rows worth $91,573,687,000.
- Accession
- 0000950123-16-020768
- Filer
- CIK 927971
- Filed
- 2016-10-19
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 13,282 entries on the cover page, a total value of $91,573,687,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $91,573,687,000 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 PRIVATE INVESTMENT COUNSEL INC.
- included managerBMO ASSET MANAGEMENT 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.
- included managerBMO HOLDING INC
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 |
|---|---|---|---|---|---|---|
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 589 | $13,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 165 | $12,000 | thousands by filing date | call |
| NVE CORP COM NEW | 629445206 | Stock | 203 | $12,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 554 | $12,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 483 | $12,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 363 | $12,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 1,040 | $12,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 691 | $12,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 169 | $12,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 824 | $12,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,070 | $12,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,200 | $12,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 700 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,000 | $12,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,356 | $12,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 798 | $12,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 535 | $12,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 770 | $12,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 9,000 | $12,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 755 | $12,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 4,538 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 193 | $12,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 1,363 | $12,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 85 | $11,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 808 | $11,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 188 | $11,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 600 | $11,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 407 | $11,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 1,880 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 200 | $11,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 400 | $11,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 751 | $11,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 5,107 | $11,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 309 | $11,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 331 | $11,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 426 | $11,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 462 | $11,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 259 | $11,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 2,954 | $11,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 146 | $11,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 3,517 | $11,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 4,500 | $11,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 407 | $10,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 694 | $10,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 453 | $10,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 607 | $10,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 3 | $10,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 340 | $10,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 538 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 670 | $10,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $10,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 768 | $10,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 265 | $10,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 1,335 | $10,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 240 | $10,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 5,030 | $10,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,600 | $10,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 372 | $10,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 207 | $10,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 4,800 | $10,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,450 | $10,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,748 | $10,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 3,166 | $10,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 3,738 | $10,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 3,803 | $10,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 599 | $9,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 1,232 | $9,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,200 | $9,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 600 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 375 | $9,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 254 | $9,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 736 | $9,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $9,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 275 | $9,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 143 | $9,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,188 | $9,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 741 | $9,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 1,000 | $9,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 705 | $9,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 42 | $9,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 358 | $9,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 779 | $9,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 495 | $9,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 858 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,594 | $9,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 1,018 | $9,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 79 | $9,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 341 | $9,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $9,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 1,327 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 500 | $9,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 792 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 140 | $8,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 345 | $8,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 600 | $8,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 5,485 | $8,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 171 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 255 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 427 | $8,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 163 | $8,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 482 | $8,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 151 | $8,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 992 | $8,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 707 | $8,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 400 | $8,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 300 | $8,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 380 | $8,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,000 | $8,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 269 | $8,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 636 | $8,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,196 | $8,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 560 | $8,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 341 | $8,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,368 | $8,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 2,326 | $8,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 25 | $8,000 | thousands by filing date | principal |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $8,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 200 | $8,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 1,360 | $8,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 283 | $8,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 8,500 | $8,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 653 | $8,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 836 | $8,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 681 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 340 | $8,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 451 | $7,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 407 | $7,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 279 | $7,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 94 | $7,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 800 | $7,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 399 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 82 | $7,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 389 | $7,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 253 | $7,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 679 | $7,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 343 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 160 | $7,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 539 | $7,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 352 | $7,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 288 | $7,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 731 | $7,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 225 | $7,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 532 | $7,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 196 | $7,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 988 | $7,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 2,014 | $7,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 310 | $7,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 681 | $7,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 160 | $7,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,500 | $7,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 100 | $7,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 364 | $7,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 908 | $7,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 496 | $7,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 294 | $7,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 140 | $7,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 394 | $7,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 391 | $7,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 1,582 | $7,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 3,043 | $7,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 552 | $7,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 459 | $7,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 294 | $7,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 241 | $6,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 514 | $6,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 142 | $6,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 152 | $6,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $6,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 274 | $6,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 321 | $6,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 532 | $6,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 175 | $6,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 392 | $6,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 132 | $6,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 386 | $6,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,500 | $6,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 660 | $6,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 100 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 180 | $6,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 309 | $6,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 500 | $6,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 178 | $6,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 709 | $6,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 2,458 | $6,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 50 | $5,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 50 | $5,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 779 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 200 | $5,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 862 | $5,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 227 | $5,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 2,819 | $5,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 493 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 100 | $5,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 162 | $5,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 336 | $5,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,292 | $5,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 228 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 275 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 35 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 100 | $5,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 627 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 400 | $5,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 124 | $5,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 790 | $5,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 189 | $5,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,267 | $5,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $5,000 | thousands by filing date | principal |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 116 | $5,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 1,821 | $5,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 245 | $5,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 12 | $5,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 881 | $5,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 349 | $5,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 656 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 305 | $5,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 124 | $5,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,863 | $5,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 205 | $5,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 360 | $5,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 2,637 | $5,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 851 | $5,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,208 | $5,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,930 | $5,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,000 | $5,000 | thousands by filing date | put |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 236 | $5,000 | thousands by filing date | |
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| MORGANS HOTEL GROUP CO | 61748W108 | COM | 2,465 | $5,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 356 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 130 | $5,000 | thousands by filing date | |
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| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 300 | $5,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 1,000 | $5,000 | thousands by filing date | principal |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 130 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,857 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 211 | $5,000 | thousands by filing date | |
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| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 200 | $5,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 340 | $5,000 | thousands by filing date | |
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| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 88 | $4,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 445 | $4,000 | thousands by filing date | |
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| V2X INC | 92242T101 | COM | 246 | $4,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 200 | $4,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 263 | $4,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 101 | $4,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 110 | $4,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 400 | $4,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 606 | $4,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 227 | $4,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 314 | $4,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 292 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 150 | $4,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 464 | $4,000 | thousands by filing date | |
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| TELENAV INC | 879455103 | COMMON STOCK | 748 | $4,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 1,706 | $4,000 | thousands by filing date | |
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| WEST CORP | 952355204 | COM | 192 | $4,000 | thousands by filing date | |
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| SERES THERAPEUTICS INC | 81750R102 | COM | 300 | $4,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 300 | $4,000 | thousands by filing date | put |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,103 | $4,000 | thousands by filing date | |
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| U S GEOTHERMAL INC | 90338S102 | COM | 5,000 | $4,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 370 | $4,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 61 | $4,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,000 | $4,000 | thousands by filing date | put |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 208 | $4,000 | thousands by filing date | |
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| EP ENERGY CORP | 268785102 | CL A | 918 | $4,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 1,000 | $4,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 80 | $4,000 | thousands by filing date | principal |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 80 | $4,000 | thousands by filing date | principal |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 750 | $3,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 105 | $3,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 350 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 100 | $3,000 | thousands by filing date | |
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| UNITED STS LIME & MINERALS I | 911922102 | COM | 39 | $3,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 98 | $3,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 538 | $3,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $3,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 748 | $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 | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 95 | $3,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 152 | $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 | 413 | $3,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 232 | $3,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 256 | $3,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 268 | $3,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 612 | $3,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 226 | $3,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 177 | $3,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 1,240 | $3,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 1,545 | $3,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 180 | $3,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 395 | $3,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 453 | $3,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 242 | $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 |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 238 | $3,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 750 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 800 | $3,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 430 | $3,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 350 | $3,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 35 | $3,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 543 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 100 | $3,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 869 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 2,422 | $3,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 7,200 | $3,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 809 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 90 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 230 | $3,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 131 | $3,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 26 | $3,000 | thousands by filing date | principal |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 2,500 | $3,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,344 | $3,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 867 | $3,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,354 | $3,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 502 | $3,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 80 | $3,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 175 | $3,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 3,500 | $3,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2 | $2,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 2 | $2,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 27 | $2,000 | thousands by filing date | call |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 53 | $2,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 50 | $2,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 100 | $2,000 | thousands by filing date | put |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 80 | $2,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 394 | $2,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 64 | $2,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 396 | $2,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 75 | $2,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 54 | $2,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 68 | $2,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 219 | $2,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 223 | $2,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 89 | $2,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 57 | $2,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 41 | $2,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 152 | $2,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 283 | $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 | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,081 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 40 | $2,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 200 | $2,000 | thousands by filing date | put |
| LOXO ONCOLOGY INC | 548862101 | COM | 71 | $2,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 262 | $2,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,600 | $2,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 7,435 | $2,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 665 | $2,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 259 | $2,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 180 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 215 | $2,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 102 | $2,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 1,100 | $2,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 702 | $2,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 610 | $2,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 775 | $2,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 500 | $2,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 161 | $2,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 186 | $2,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 838 | $2,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 367 | $2,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 305 | $2,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 910 | $2,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 67 | $2,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 72 | $2,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,000 | $2,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 1,000 | $2,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 130 | $2,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 7,400 | $2,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 100 | $2,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 264 | $2,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 690 | $2,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 2,088 | $2,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 114 | $2,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 265 | $2,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 440 | $2,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 737 | $2,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 154 | $2,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 322 | $2,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 109 | $2,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 399 | $2,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 527 | $2,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 101 | $2,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 1,365 | $2,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 275 | $2,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 564 | $2,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 10 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 25 | $1,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 199 | $1,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,000 | $1,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 20 | $1,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 156 | $1,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 59 | $1,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 500 | $1,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 13 | $1,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 196 | $1,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 203 | $1,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 185 | $1,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 201 | $1,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 20 | $1,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 91 | $1,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 139 | $1,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 505 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 29 | $1,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 21 | $1,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 92 | $1,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 41 | $1,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 161 | $1,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 1,000 | $1,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 27 | $1,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 440 | $1,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 87 | $1,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 18 | $1,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 310 | $1,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 86 | $1,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 250 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 800 | $1,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 25 | $1,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 96 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 350 | $1,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 34 | $1,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 22 | $1,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 38 | $1,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 50 | $1,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 131 | $1,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 450 | $1,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 11,499 | $1,000 | thousands by filing date | |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 43 | $1,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 659 | $1,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 608 | $1,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 1,000 | $1,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 1,500 | $1,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 49 | $1,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 27 | $1,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 203 | $1,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 79 | $1,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 27 | $1,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 808 | $1,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 174 | $1,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 966 | $1,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 35 | $1,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 274 | $1,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 34 | $1,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 410 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 96,896 | $1,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 260 | $1,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 100 | $1,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 310 | $1,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 70 | $1,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 67 | $1,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 950 | $1,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 97 | $1,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 249 | $1,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 500 | $1,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 87 | $1,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 68 | $1,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 202 | $1,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 1,000 | $1,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 2,422 | $1,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 200 | $1,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 256 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 20 | $1,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 400 | $1,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 617 | $1,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 496 | $1,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 184 | $1,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 216 | $1,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 66 | $1,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 111 | $1,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 63 | $1,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 1,587 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 83 | $1,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 1,250 | $1,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 247 | $1,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 250 | $1,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 529 | $1,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 166 | $1,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 526,923 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL ELEC CO | 369604103 | COM | 0 | $0 | thousands by filing date | putValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-020768 | this filing | 2016-10-19 | acceptance time not in the bulk data set |