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 |
|---|---|---|---|---|---|---|
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,066 | $21,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 2,104 | $21,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 1,765 | $21,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 596 | $21,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 3,486 | $21,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 3,150 | $21,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 400 | $21,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 1,000 | $21,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 756 | $21,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 946 | $21,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 8,640 | $21,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,000 | $20,000 | thousands by filing date | put |
| SENECA FOODS CORP NEW | 817070501 | CL A | 591 | $20,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 472 | $20,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 305 | $20,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 478 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 378 | $20,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 345 | $20,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 299 | $20,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 585 | $20,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,123 | $20,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 1,149 | $20,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 6,600 | $20,000 | thousands by filing date | put |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,425 | $20,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,930 | $20,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 5,524 | $20,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,733 | $20,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 1,590 | $20,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 2,157 | $20,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 497 | $19,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 7,642 | $19,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 4 | $19,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 3,397 | $19,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 912 | $19,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 350 | $19,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 1,461 | $19,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 755 | $19,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 1,508 | $19,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 4,178 | $19,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 500 | $19,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 812 | $19,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,453 | $19,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,500 | $19,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,500 | $19,000 | thousands by filing date | put |
| Engility Holdings Inc | 29286C107 | COM | 547 | $19,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 3,638 | $19,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 599 | $18,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,113 | $18,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 918 | $18,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 346 | $18,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 816 | $18,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 254 | $18,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 352 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 374 | $18,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 620 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 200 | $18,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,500 | $18,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 922 | $18,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 596 | $18,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 2,344 | $18,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 5,495 | $18,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 50,000 | $18,000 | thousands by filing date | put |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 3,439 | $18,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 3,209 | $18,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 4,118 | $18,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 150 | $18,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,642 | $18,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 786 | $18,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 670 | $17,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 278 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 275 | $17,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 603 | $17,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 1,150 | $17,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 146 | $17,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 501 | $17,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 9,600 | $17,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 541 | $16,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 13,900 | $16,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 308 | $16,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 769 | $16,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,000 | $16,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 228 | $16,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 7,500 | $16,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 7,500 | $16,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 585 | $16,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,600 | $16,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 3,369 | $16,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 1,426 | $16,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 22,500 | $16,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,297 | $16,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 2,415 | $16,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 128 | $15,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 123 | $15,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 205 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 384 | $15,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 9,655 | $15,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 304 | $15,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,300 | $15,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,690 | $15,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 855 | $15,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 541 | $15,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 899 | $15,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 326 | $15,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 732 | $15,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 224 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 193 | $15,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,412 | $15,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 1,000 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 300 | $14,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 1,705 | $14,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 851 | $14,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 321 | $14,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 393 | $14,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 280 | $14,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 981 | $14,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 714 | $14,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 462 | $14,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 639 | $14,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 2,239 | $14,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 6,128 | $13,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 500 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $13,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,548 | $13,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $13,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,477 | $13,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,033 | $13,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $13,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,472 | $13,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 247 | $13,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 2,314 | $13,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,177 | $13,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 207 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 160 | $13,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,417 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 514 | $13,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 451 | $13,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 899 | $13,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 5,813 | $13,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 3,500 | $13,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 2,000 | $12,000 | thousands by filing date | put |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 250 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,000 | $12,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 327 | $12,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 740 | $12,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 1,335 | $12,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 707 | $12,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,251 | $12,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $12,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 2,779 | $12,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $12,000 | thousands by filing date | principal |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 1,253 | $12,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,544 | $12,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 793 | $12,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,445 | $12,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 9,000 | $12,000 | thousands by filing date | principal |
| B2GOLD CORP COM | 11777Q209 | Stock | 4,000 | $11,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 160 | $11,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 1,363 | $11,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 497 | $11,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 814 | $11,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,000 | $11,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 124 | $11,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 714 | $11,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 155 | $11,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 457 | $11,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,048 | $11,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 704 | $11,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 297 | $11,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 856 | $11,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 554 | $11,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 543 | $11,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 330 | $11,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 372 | $11,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 856 | $11,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 33 | $11,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 388 | $11,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 280 | $11,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $11,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,615 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 401 | $11,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 7,370 | $11,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,505 | $11,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 653 | $11,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 2,187 | $11,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 3,280 | $10,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 377 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 400 | $10,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 1,000 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 300 | $10,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 564 | $10,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,221 | $10,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 343 | $10,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 171 | $10,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 257 | $10,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,000 | $10,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,052 | $10,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 313 | $10,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 308 | $10,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,311 | $10,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,000 | $10,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 369 | $10,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 500 | $10,000 | thousands by filing date | put |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 1,410 | $10,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 798 | $10,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 3,000 | $10,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,350 | $10,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 309 | $10,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 778 | $10,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 8,000 | $10,000 | thousands by filing date | principal |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 568 | $10,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 248 | $10,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 899 | $10,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 2,426 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 480 | $10,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 4,007 | $10,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 500 | $9,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 109 | $9,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 324 | $9,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 211 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 105 | $9,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 500 | $9,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 33 | $9,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 266 | $9,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 344 | $9,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 534 | $9,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 387 | $9,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 1,131 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 600 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 380 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 300 | $9,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 5,000 | $9,000 | thousands by filing date | principal |
| ETF | 26923A106 | EXCHANGE TRADED | 100 | $9,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 488 | $9,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 6,998 | $9,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 457 | $9,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 2,000 | $9,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266S106 | COM | 2,045 | $9,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 318 | $9,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 7,200 | $9,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 7,200 | $9,000 | thousands by filing date | put |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $9,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,208 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 288 | $9,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 937 | $9,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 429 | $9,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,000 | $9,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 22,729 | $9,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 5,100 | $9,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 1,124 | $9,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 7,000 | $9,000 | thousands by filing date | principal |
| WOORI BK | 98105T104 | ADR | 186 | $9,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 380 | $9,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 410 | $9,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 145 | $8,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,000 | $8,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 492 | $8,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 525 | $8,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 500 | $8,000 | thousands by filing date | put |
| CBIZ INC | 124805102 | COM | 517 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 160 | $8,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $8,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 145 | $8,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 589 | $8,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,443 | $8,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 570 | $8,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 331 | $8,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 228 | $8,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 992 | $8,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 513 | $8,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 276 | $8,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 446 | $8,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 2,623 | $8,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 565 | $8,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 4,925 | $8,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 357 | $8,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 580 | $8,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 160 | $8,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 689 | $8,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 278 | $8,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,116 | $8,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,936 | $8,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 579 | $8,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 779 | $8,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 1,573 | $8,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 399 | $8,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 4,000 | $8,000 | thousands by filing date | principal |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 1,668 | $8,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 1,376 | $8,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 800 | $8,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 249 | $8,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 806 | $8,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 257 | $8,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 69 | $8,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 7,000 | $8,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 400 | $8,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 245 | $8,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 275 | $7,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 223 | $7,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 116 | $7,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 389 | $7,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 314 | $7,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 283 | $7,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 216 | $7,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 79 | $7,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 305 | $7,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 109 | $7,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 76 | $7,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 406 | $7,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 132 | $7,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 697 | $7,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 935 | $7,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 4,000 | $7,000 | thousands by filing date | principal |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 562 | $7,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 334 | $7,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 693 | $7,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 263 | $7,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 200 | $7,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $7,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 376 | $7,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 530 | $7,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 8,524 | $7,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 400 | $7,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 1,000 | $6,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 40 | $6,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 176 | $6,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 374 | $6,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,000 | $6,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 792 | $6,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 267 | $6,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 100 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 35 | $6,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 314 | $6,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 170 | $6,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 540 | $6,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 5,460 | $6,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 1,512 | $6,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 881 | $6,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 1,730 | $6,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 2,000 | $6,000 | thousands by filing date | principal |
| KONA GRILL INC | 50047H201 | COM | 1,660 | $6,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 1,490 | $6,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 200 | $6,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 264 | $6,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 224 | $6,000 | thousands by filing date | |
| O'SHARES FTSE ASIA PACIFIC QUALITY DIVIDEND ETF | 351680822 | ETF | 200 | $6,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 99 | $5,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 36 | $5,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,000 | $5,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 492 | $5,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 862 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 179 | $5,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 153 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $5,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 800 | $5,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 141 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 119 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 400 | $5,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 231 | $5,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 124 | $5,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 3,166 | $5,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 748 | $5,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 718 | $5,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 298 | $5,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 4,000 | $5,000 | thousands by filing date | principal |
| ASANKO GOLD INC | 04341Y105 | COM | 5,000 | $5,000 | thousands by filing date | put |
| PROSHARES TR II | 74347W395 | FUND | 75 | $5,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 132 | $5,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 958 | $5,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 1,000 | $5,000 | thousands by filing date | put |
| BROADSOFT INC | 11133B409 | COM | 98 | $5,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $5,000 | thousands by filing date | principal |
| DSP GROUP INC | 23332B106 | COM | 349 | $5,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 118 | $5,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,500 | $5,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 300 | $5,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,223 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 130 | $5,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 1,344 | $5,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 122 | $5,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 61 | $5,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 1,230 | $5,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 200 | $5,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 98 | $5,000 | thousands by filing date | principal |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 400 | $5,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,941 | $5,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 2,562 | $5,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 40 | $5,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 5,000 | $5,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 73 | $5,000 | thousands by filing date | principal |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 50 | $4,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 440 | $4,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 305 | $4,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 39 | $4,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 100 | $4,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 196 | $4,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 2,697 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 101 | $4,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 213 | $4,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 321 | $4,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 538 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 103 | $4,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 400 | $4,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 138 | $4,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 130 | $4,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 1,381 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 75 | $4,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 168 | $4,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 1,200 | $4,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 150 | $4,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 167 | $4,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,600 | $4,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 116 | $4,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 180 | $4,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 2,000 | $4,000 | thousands by filing date | principal |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 114 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 153 | $4,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 109 | $4,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 166 | $4,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 227 | $4,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 222 | $4,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 199 | $4,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 291 | $4,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 5,000 | $4,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 838 | $4,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 286 | $4,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 232 | $4,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 328 | $4,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 170 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 265 | $4,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 90 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 125 | $4,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| GREEN BANCORP INC | 39260X100 | COM | 154 | $4,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 322 | $4,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 4 | $4,000 | thousands by filing date | principal |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ENTEGRA FINL CORP | 29363J108 | COM | 158 | $4,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 4,000 | $4,000 | thousands by filing date | principal |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 1,391 | $4,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $4,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 4,000 | $4,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 4,000 | $4,000 | thousands by filing date | principal |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 100 | $4,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 36 | $4,000 | thousands by filing date | principal |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 100 | $3,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 101 | $3,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 100 | $3,000 | thousands by filing date | call |
| MESA LABS INC COM | 59064R109 | Stock | 17 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 50 | $3,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 394 | $3,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 100 | $3,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 70 | $3,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 333 | $3,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 99 | $3,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 39 | $3,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 100 | $3,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 437 | $3,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 338 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 100 | $3,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 50 | $3,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 581 | $3,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 429 | $3,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 63 | $3,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 91 | $3,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 600 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 100 | $3,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 167 | $3,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 268 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 150 | $3,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 60 | $3,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 134 | $3,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 145 | $3,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 511 | $3,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 345 | $3,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 139 | $3,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 702 | $3,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 700 | $3,000 | thousands by filing date | call |
| EXFO INC | 302046107 | SUB VTG SHS | 800 | $3,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 259 | $3,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 35 | $3,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,000 | $3,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 219 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 100 | $3,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 103 | $3,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 367 | $3,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 8,500 | $3,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 260 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 4,000 | $3,000 | thousands by filing date | principal |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 191 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 2,857 | $3,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 2,000 | $3,000 | thousands by filing date | principal |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 2,000 | $3,000 | thousands by filing date | principal |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 465 | $3,000 | 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 |