13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-10-16, with 4,228 holding rows worth $109,187,149,000.
- Accession
- 0000950123-17-009075
- Filer
- CIK 927971
- Filed
- 2017-10-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 14,034 entries on the cover page, a total value of $109,187,149,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $109,187,149,000 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 |
|---|---|---|---|---|---|---|
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 4,409 | $95,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 4,095 | $95,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 17,238 | $95,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 2,811 | $94,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 10,413 | $94,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 1,730 | $94,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 2,559 | $94,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 2,024 | $93,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 2,096 | $93,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 3,305 | $93,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 3,065 | $93,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 4,450 | $93,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 20,000 | $93,000 | thousands by filing date | call |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 15,172 | $93,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 3,945 | $93,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 79,000 | $93,000 | thousands by filing date | put |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 1,756 | $93,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 1,946 | $92,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 1,760 | $92,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 6,573 | $92,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 2,781 | $92,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 3,428 | $91,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 763 | $91,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 1,589 | $91,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 1,200 | $91,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 10,600 | $91,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 2,500 | $90,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 257,900 | $90,000 | thousands by filing date | call |
| LIVEPERSON, INC. | 538146101 | COM | 6,527 | $89,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 7,648 | $89,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 13,800 | $89,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 13,800 | $89,000 | thousands by filing date | put |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 454 | $89,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 783 | $88,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 2,453 | $88,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 2,273 | $88,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 8,000 | $88,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 20,000 | $88,000 | thousands by filing date | call |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 542 | $88,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 1,702 | $87,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 1,772 | $87,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 5,900 | $87,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 5,000 | $87,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 4,000 | $87,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 1,473 | $87,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 18,304 | $87,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 733 | $86,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 25,090 | $86,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 4,576 | $85,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 3,900 | $85,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 700 | $84,000 | thousands by filing date | call |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 1,769 | $84,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 4,226 | $84,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 853 | $84,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 1,200 | $83,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 595 | $83,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 2,779 | $83,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 2,118 | $83,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 3,342 | $83,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 922 | $83,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 12,684 | $83,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 7,500 | $83,000 | thousands by filing date | put |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 3,451 | $82,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 3,967 | $81,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 2,635 | $81,000 | thousands by filing date | |
| ISHARES TR | 46435G516 | COM | 1,200 | $80,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 565 | $80,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 896 | $80,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,596 | $80,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 22,952 | $80,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 4,675 | $80,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 21,856 | $80,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,400 | $79,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 15,000 | $79,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 23,200 | $79,000 | thousands by filing date | put |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 3,629 | $78,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 7,603 | $77,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 4,830 | $77,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 2,400 | $77,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,154 | $77,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 1,315 | $76,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 1,104 | $76,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 900 | $76,000 | thousands by filing date | |
| SCHNEIDER NATIONAL INC | 80689H102 | CL B | 3,000 | $76,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 1,784 | $76,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 7,860 | $76,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 4,591 | $76,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 1,833 | $76,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 1,227 | $75,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 3,933 | $75,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 382 | $75,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 1,995 | $74,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,319 | $74,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 829 | $73,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 193 | $73,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 2,114 | $73,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 382 | $73,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 2,040 | $73,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 28,100 | $73,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 5,725 | $72,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 3,110 | $72,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,715 | $71,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 4,000 | $71,000 | thousands by filing date | call |
| KELLY SVCS INC | 488152208 | CL A | 2,846 | $71,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 2,968 | $71,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 7,858 | $71,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 3,262 | $71,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 3,751 | $70,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,548 | $70,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 790 | $70,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 29,798 | $70,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 4,000 | $69,000 | thousands by filing date | put |
| ACCURAY INC DEL | 004397105 | COM | 17,152 | $69,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 2,581 | $69,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 1,146 | $69,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 1,525 | $69,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 15,785 | $69,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 2,000 | $68,000 | thousands by filing date | put |
| FORRESTER RESH INC | 346563109 | COM | 1,632 | $68,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 2,144 | $68,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 1,590 | $68,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 1,524 | $68,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 3,912 | $67,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 1,843 | $67,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 850 | $67,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 2,170 | $67,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 4,100 | $66,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 5,000 | $66,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 1,041 | $66,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 6,505 | $66,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 1,600 | $66,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 24,212 | $66,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 999 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 670 | $65,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 3,575 | $65,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 34,830 | $65,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 2,656 | $65,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 5,112 | $65,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 3,316 | $65,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,844 | $65,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 6,156 | $64,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 960 | $64,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 2,995 | $64,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,400 | $64,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 10,000 | $63,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 1,145 | $63,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 1,025 | $62,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,000 | $62,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 5,778 | $61,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 3,255 | $61,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 3,081 | $61,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 6,394 | $61,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 744 | $61,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 3,094 | $61,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 1,840 | $60,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 479 | $60,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 5,600 | $60,000 | thousands by filing date | put |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 4,000 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 895 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 1,612 | $60,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 1,410 | $60,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 5,800 | $60,000 | thousands by filing date | put |
| ICAD INC | 44934S206 | COM NEW | 13,500 | $60,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 2,302 | $59,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 2,641 | $59,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 1,405 | $59,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 4,000 | $59,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 3,171 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 1,292 | $59,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 2,495 | $59,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 1,200 | $58,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 13,478 | $58,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 1,600 | $58,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 877 | $58,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 470 | $58,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 10,600 | $58,000 | thousands by filing date | call |
| LGI HOMES INC COM | 50187T106 | Stock | 1,159 | $57,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 500 | $57,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 2,304 | $56,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 523 | $56,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 1,062 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,270 | $56,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,200 | $56,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,495 | $56,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 1,470 | $55,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 2,521 | $55,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 3,000 | $55,000 | thousands by filing date | put |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 4,060 | $55,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 1,959 | $55,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 12,309 | $55,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 3,715 | $54,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 2,146 | $54,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 1,400 | $54,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 1,445 | $54,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 1,013 | $54,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 21,841 | $54,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 2,322 | $54,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 1,082 | $54,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 4,777 | $54,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 490 | $54,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,221 | $54,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 1,126 | $53,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 3,480 | $53,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 3,143 | $53,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 1,150 | $53,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 2,039 | $53,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 3,696 | $53,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,170 | $53,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 1,325 | $53,000 | thousands by filing date | |
| HAEMONETICS CORP MASS COM | 405024100 | Stock | 1,164 | $52,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 852 | $52,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 772 | $52,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 996 | $52,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 716 | $52,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 6,367 | $52,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 5,050 | $52,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 42,500 | $52,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 42,500 | $52,000 | thousands by filing date | put |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 12,833 | $51,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,250 | $51,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 2,775 | $51,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 1,762 | $50,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 2,000 | $50,000 | thousands by filing date | put |
| KEANE GROUP INC | 48669A108 | COM | 3,000 | $50,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 3,000 | $50,000 | thousands by filing date | put |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 4,534 | $50,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 4,407 | $50,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 3,800 | $50,000 | thousands by filing date | put |
| TFS FINL CORP | 87240R107 | COM | 3,008 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 1,500 | $49,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 741 | $49,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 3,856 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 700 | $49,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,372 | $49,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 3,132 | $49,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 51,430 | $49,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 3,646 | $49,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 904 | $49,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 556 | $49,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 6,000 | $49,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 1,554 | $48,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 2,365 | $48,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,000 | $48,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 1,218 | $48,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 496 | $48,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 34,000 | $47,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 34,000 | $47,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 5,000 | $47,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 920 | $47,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 792 | $46,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 12,028 | $46,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 600 | $46,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 800 | $46,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 350 | $46,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 25,000 | $46,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 25,000 | $46,000 | thousands by filing date | put |
| PATRIOT NATL INC | 70338T102 | COM | 34,000 | $46,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 34,000 | $46,000 | thousands by filing date | put |
| SCORPIO BULKERS INC | Y7546A122 | COM | 6,557 | $46,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 1,520 | $45,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 1,455 | $45,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 7,500 | $45,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 4,851 | $45,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 5,059 | $44,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 81,450 | $44,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 2,888 | $44,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 2,542 | $44,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 7,175 | $44,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 3,059 | $44,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 463 | $44,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 4,975 | $44,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 6,300 | $44,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 584 | $44,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 964 | $43,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 397 | $43,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 3,000 | $43,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 3,591 | $43,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 942 | $43,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 865 | $43,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,265 | $43,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 30,000 | $43,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 5,000 | $42,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 658 | $42,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 949 | $42,000 | thousands by filing date | |
| RH | 74967X103 | COM | 600 | $42,000 | thousands by filing date | call |
| MEDIFAST INC | 58470H101 | COM | 712 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 1,705 | $42,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 394 | $42,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,981 | $42,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 1,307 | $42,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,303 | $42,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 35,023 | $42,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 1,995 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 1,665 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 1,654 | $42,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 2,965 | $41,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 899 | $41,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 1,690 | $41,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 2,379 | $41,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,000 | $41,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 710 | $41,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 900 | $41,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 7,000 | $41,000 | thousands by filing date | call |
| LUMOS NETWORKS CORP | 550283105 | COM | 2,307 | $41,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 3,609 | $41,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 740 | $40,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 3,000 | $40,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 2,950 | $40,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 2,095 | $40,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 4,500 | $40,000 | thousands by filing date | put |
| POLYONE CORP | 73179P106 | COM | 1,023 | $40,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 991 | $40,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 1,561 | $40,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,000 | $39,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,000 | $39,000 | thousands by filing date | put |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 624 | $39,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 642 | $39,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 19,000 | $39,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 1,450 | $39,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 1,804 | $39,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 7,473 | $39,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 4,328 | $39,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 897 | $39,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 444 | $38,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 1,648 | $38,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 2,471 | $38,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 83,204 | $38,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 1,085 | $38,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 2,732 | $38,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 4,187 | $38,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,676 | $38,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 775 | $38,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 1,984 | $38,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 2,409 | $38,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 4,040 | $38,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 2,290 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 645 | $38,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 680 | $37,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 937 | $37,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 2,329 | $37,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 3,245 | $37,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,542 | $37,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,984 | $37,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 6,971 | $37,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 1,397 | $36,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 470 | $36,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 12,692 | $36,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,514 | $36,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 587 | $36,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 2,741 | $36,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 3,921 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 550 | $36,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 3,127 | $36,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 8,400 | $36,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 8,000 | $36,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 1,519 | $35,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 2,050 | $35,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 3,415 | $35,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 840 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 750 | $35,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 600 | $35,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 12,200 | $35,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 12,200 | $35,000 | thousands by filing date | put |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 1,938 | $34,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 2,215 | $34,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 893 | $34,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 538 | $34,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 2,880 | $34,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 456 | $34,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 5,119 | $34,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,751 | $34,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,734 | $34,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 3,000 | $34,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,601 | $34,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 2,080 | $34,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 600 | $33,000 | thousands by filing date | call |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 1,920 | $33,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 331 | $33,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 692 | $33,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 2,170 | $33,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 4,703 | $33,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 1,388 | $32,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 1,000 | $32,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 5,896 | $31,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 434 | $31,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,200 | $31,000 | thousands by filing date | call |
| INTERFACE INC | 458665304 | COM | 1,431 | $31,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 2,272 | $31,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 627 | $31,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 958 | $30,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 960 | $30,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 1,864 | $30,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 1,000 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 590 | $30,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 474 | $30,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,478 | $30,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 1,882 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 630 | $30,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,158 | $30,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 5,727 | $30,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,668 | $30,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,681 | $30,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 10,643 | $30,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 1,894 | $30,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 900 | $29,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 809 | $29,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 622 | $29,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 3,776 | $29,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 867 | $29,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 200 | $29,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 535 | $29,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 6,424 | $29,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 2,000 | $28,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 880 | $28,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 200 | $28,000 | thousands by filing date | put |
| CAESARSTONE LTD | M20598104 | ORD SHS | 936 | $28,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 1,182 | $28,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 488 | $28,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 1,313 | $28,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 2,215 | $28,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 4,799 | $28,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 2,241 | $28,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 692 | $27,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 1,224 | $27,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 750 | $27,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 800 | $27,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,838 | $27,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 2,645 | $27,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,623 | $27,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 2,460 | $27,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 602 | $26,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 1,547 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 518 | $26,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,446 | $26,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,181 | $26,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 810 | $26,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,359 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,200 | $26,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 19,952 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 949 | $26,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 535 | $26,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 50,000 | $26,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 200 | $25,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 408 | $25,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 170 | $25,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 830 | $25,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 1,755 | $25,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 2,361 | $25,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,000 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 245 | $25,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 1,562 | $25,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 513 | $25,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 1,410 | $25,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 1,300 | $25,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 2,677 | $24,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 594 | $24,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 317 | $24,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 1,370 | $24,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 360 | $24,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 9,558 | $24,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 830 | $24,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 649 | $24,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 715 | $24,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,500 | $24,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 568 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 390 | $24,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,277 | $24,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 3,536 | $24,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 653 | $24,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,400 | $24,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,330 | $24,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 637 | $24,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 1,807 | $24,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 131 | $24,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 6,100 | $23,000 | thousands by filing date | call |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 1,138 | $23,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 738 | $23,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 958 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 155 | $23,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 720 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 347 | $23,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,000 | $23,000 | thousands by filing date | put |
| WINGSTOP INC COM | 974155103 | Stock | 657 | $22,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,595 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 180 | $22,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 991 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 525 | $22,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 2,524 | $22,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 902 | $22,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,984 | $22,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,738 | $22,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 2,375 | $22,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,189 | $22,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 14,756 | $22,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 444 | $21,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 548 | $21,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 277 | $21,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 900 | $21,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 545 | $21,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 233 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-009075 | this filing | 2017-10-16 | acceptance time not in the bulk data set |