13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-06, with 4,103 holding rows worth $95,082,226,000.
- Accession
- 0000950123-17-000856
- Filer
- CIK 927971
- Filed
- 2017-02-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 13,725 entries on the cover page, a total value of $95,082,226,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $95,082,226,000 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.
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 |
|---|---|---|---|---|---|---|
| TIDEWATER INC | 886423102 | COM | 6,237 | $14,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 620 | $14,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 1,490 | $14,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 930 | $14,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 279 | $13,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 128 | $13,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 123 | $13,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 363 | $13,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 1,040 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 274 | $13,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 9,655 | $13,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 304 | $13,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 556 | $13,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 736 | $13,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 536 | $13,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 587 | $13,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,000 | $13,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 1,257 | $13,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 328 | $13,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,156 | $13,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 1,331 | $13,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 2,780 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 193 | $13,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 256 | $13,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 500 | $13,000 | thousands by filing date | principal |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,424 | $13,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 6,328 | $12,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 407 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $12,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 1,000 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 425 | $12,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 1,389 | $12,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 3 | $12,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 824 | $12,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 773 | $12,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 768 | $12,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $12,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,476 | $12,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 6,915 | $12,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 400 | $12,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 284 | $12,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 686 | $12,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 1,508 | $12,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 2,227 | $12,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 462 | $12,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 1,225 | $12,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 3,328 | $12,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 4,310 | $12,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 400 | $12,000 | thousands by filing date | put |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 7,700 | $12,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 41 | $11,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 350 | $11,000 | thousands by filing date | call |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 808 | $11,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 599 | $11,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 914 | $11,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 377 | $11,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 1,232 | $11,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 237 | $11,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $11,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 376 | $11,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,000 | $11,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 254 | $11,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,000 | $11,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $11,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 1,444 | $11,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 156 | $11,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,356 | $11,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 221 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 380 | $11,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 751 | $11,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 628 | $11,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 712 | $11,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 42 | $11,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 309 | $11,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 819 | $11,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 770 | $11,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 495 | $11,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 229 | $11,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 303 | $11,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 978 | $11,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,000 | $11,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,000 | $11,000 | thousands by filing date | put |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 4,100 | $11,000 | thousands by filing date | put |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 54,000 | $11,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 484 | $11,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 738 | $11,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 1,300 | $11,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 444 | $10,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 945 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 203 | $10,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,200 | $10,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 389 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 290 | $10,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 785 | $10,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 171 | $10,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 600 | $10,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 860 | $10,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,000 | $10,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 452 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 600 | $10,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 155 | $10,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 457 | $10,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 275 | $10,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 992 | $10,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 707 | $10,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 387 | $10,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,600 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 200 | $10,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 22,200 | $10,000 | thousands by filing date | call |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,203 | $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 | 191 | $10,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 403 | $10,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 535 | $10,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,315 | $10,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 738 | $10,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 220 | $10,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 812 | $10,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,006 | $10,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 650 | $10,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 195 | $10,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,117 | $9,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 264 | $9,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 475 | $9,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 453 | $9,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 399 | $9,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 600 | $9,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 2,066 | $9,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 163 | $9,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 267 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,472 | $9,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 380 | $9,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,600 | $9,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 560 | $9,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 2,258 | $9,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 779 | $9,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 274 | $9,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 309 | $9,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 742 | $9,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 632 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 288 | $9,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 79 | $9,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 163 | $9,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 20,000 | $9,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,000 | $8,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 117 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 80 | $8,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,221 | $8,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 356 | $8,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 506 | $8,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 169 | $8,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 704 | $8,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 297 | $8,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 288 | $8,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 400 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 600 | $8,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 300 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 154 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $8,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 1,088 | $8,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,800 | $8,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,450 | $8,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,466 | $8,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $8,000 | thousands by filing date | principal |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 391 | $8,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $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 | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 148 | $7,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 223 | $7,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,835 | $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 | 251 | $7,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 343 | $7,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 358 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 255 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 160 | $7,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 666 | $7,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 274 | $7,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 79 | $7,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 600 | $7,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 228 | $7,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 150 | $7,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 274 | $7,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 305 | $7,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 432 | $7,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 1,222 | $7,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,099 | $7,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 225 | $7,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 76 | $7,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,000 | $7,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 546 | $7,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 587 | $7,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 3,166 | $7,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 132 | $7,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 100 | $7,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 779 | $7,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 3,937 | $7,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 294 | $7,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 23,000 | $7,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 8,500 | $7,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 14,042 | $7,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 776 | $7,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,000 | $6,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 596 | $6,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 196 | $6,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 514 | $6,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 4,811 | $6,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 230 | $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 | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 400 | $6,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 800 | $6,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 321 | $6,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 228 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 130 | $6,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 175 | $6,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 292 | $6,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 664 | $6,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 2,217 | $6,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 394 | $6,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 100 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 200 | $6,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,208 | $6,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 718 | $6,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 263 | $6,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 1,582 | $6,000 | thousands by filing date | |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 225 | $6,000 | thousands by filing date | principal |
| CONTROL4 CORP | 21240D107 | COM | 500 | $6,000 | thousands by filing date | |
| MTGE INVT CORP COM | 55378A105 | REIT | 339 | $6,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 245 | $6,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 398 | $6,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 693 | $6,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 145 | $5,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 300 | $5,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 453 | $5,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 361 | $5,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 779 | $5,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 1,000 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 103 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 180 | $5,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 246 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 100 | $5,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 142 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 192 | $5,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 1,157 | $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 | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 227 | $5,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 314 | $5,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 585 | $5,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 1,760 | $5,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 116 | $5,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 245 | $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 | |
| ULTRATECH INC | 904034105 | COM | 205 | $5,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 2,000 | $5,000 | thousands by filing date | put |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 456 | $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 | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 5,451 | $5,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 200 | $5,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $5,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 3,517 | $5,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 2,204 | $5,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 918 | $5,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 3,803 | $5,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 305 | $4,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 146 | $4,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 600 | $4,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 600 | $4,000 | thousands by filing date | put |
| SUNRUN INC | 86771W105 | COM | 862 | $4,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 336 | $4,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 471 | $4,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $4,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 289 | $4,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 138 | $4,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 95 | $4,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 145 | $4,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 238 | $4,000 | thousands by filing date | put |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 292 | $4,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 150 | $4,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 124 | $4,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 790 | $4,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 612 | $4,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 748 | $4,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 357 | $4,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 990 | $4,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 1,706 | $4,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 298 | $4,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,103 | $4,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 360 | $4,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 73 | $4,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 318 | $4,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 543 | $4,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 328 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 1,000 | $4,000 | thousands by filing date | principal |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 213 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 130 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 500 | $4,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 178 | $4,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 400 | $4,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 36 | $4,000 | thousands by filing date | principal |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 833 | $4,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 80 | $4,000 | thousands by filing date | principal |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 143 | $3,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 300 | $3,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 71 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 50 | $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 | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 39 | $3,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 101 | $3,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 538 | $3,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 437 | $3,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 110 | $3,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 190 | $3,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 748 | $3,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 85 | $3,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 421 | $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 | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 600 | $3,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 256 | $3,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 229 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 150 | $3,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 488 | $3,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 61 | $3,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 226 | $3,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 7,435 | $3,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 636 | $3,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 1,821 | $3,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 180 | $3,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 453 | $3,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 114 | $3,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 109 | $3,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 2,600 | $3,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 300 | $3,000 | thousands by filing date | put |
| REVLON INC | 761525609 | OPT | 124 | $3,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 2,013 | $3,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 222 | $3,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 582 | $3,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 908 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 800 | $3,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 838 | $3,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 495 | $3,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 35 | $3,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 305 | $3,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 1,159 | $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 | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,089 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 90 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,857 | $3,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 564 | $3,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 109 | $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 | |
| COTIVITI HLDGS INC | 22164K101 | COM | 102 | $3,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,354 | $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 | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 80 | $3,000 | thousands by filing date | principal |
| UCP INC - CL A | 90265Y106 | Common Stock | 275 | $3,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 17 | $2,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 2,500 | $2,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 2,500 | $2,000 | thousands by filing date | put |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 50 | $2,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 750 | $2,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 500 | $2,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 100 | $2,000 | thousands by filing date | put |
| 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 | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 75 | $2,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 92 | $2,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 75 | $2,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 87 | $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 | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 50 | $2,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 96 | $2,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 132 | $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 | |
| 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 | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,052 | $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 |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 262 | $2,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,500 | $2,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 125 | $2,000 | thousands by filing date | |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 43 | $2,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 1,328 | $2,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 128 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 500 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 215 | $2,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 473 | $2,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 702 | $2,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 100 | $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 | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 430 | $2,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 39 | $2,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 364 | $2,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 121 | $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 | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 100 | $2,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 367 | $2,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 200 | $2,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 657 | $2,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 264 | $2,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 279 | $2,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 817 | $2,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 265 | $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 | |
| BOJANGLES INC | 097488100 | COM | 121 | $2,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 527 | $2,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,344 | $2,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 101 | $2,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 502 | $2,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 750 | $2,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 750 | $2,000 | thousands by filing date | put |
| ESSA PHARMA INC | 29668H104 | COM | 1,000 | $2,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 411 | $2,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 40 | $2,000 | thousands by filing date | principal |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 3,500 | $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 | |
| 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 | 21 | $1,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 113 | $1,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 68 | $1,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 13 | $1,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 45 | $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 | |
| 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 | |
| ATLASSIAN CORP | G06242104 | CL A | 25 | $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 | |
| IMMUNOMEDICS INC | 452907108 | COM | 440 | $1,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 310 | $1,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 61 | $1,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 89 | $1,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 69 | $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 | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 123 | $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 | 29 | $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 | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 235 | $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 | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 14 | $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 | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 762 | $1,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 2,000 | $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 | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 72 | $1,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 27 | $1,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 330 | $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 | |
| YAMANA GOLD INC | 98462Y100 | COM | 300 | $1,000 | thousands by filing date | call |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 20 | $1,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 27 | $1,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 101 | $1,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 610 | $1,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 808 | $1,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 775 | $1,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 35 | $1,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 34 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 97,589 | $1,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 202 | $1,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 67 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 100 | $1,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 97 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-000856 | this filing | 2017-02-06 | acceptance time not in the bulk data set |