13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-07, with 3,666 holding rows worth $210,102,682,000.
- Accession
- 0000950123-17-009689
- Filer
- CIK 820027
- Filed
- 2017-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A combination report, 6,930 entries on the cover page, a total value of $210,102,682,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $210,102,682,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Co 028-10458
- reports for this filerAmeriprise Certificate Co 028-00140
- reports for this filerRiverSource Life Insurance Co 028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 20,429 | $913,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 82,643 | $910,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 17,348 | $910,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 33,961 | $908,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 29,528 | $908,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 38,370 | $906,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 34,067 | $903,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 71,136 | $903,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 42,238 | $900,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 18,359 | $900,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 13,117 | $895,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 30,972 | $892,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 39,666 | $888,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 8,697 | $885,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 134,617 | $883,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 37,896 | $882,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 110,474 | $881,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 17,141 | $879,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 52,308 | $879,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 25,959 | $875,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 15,197 | $875,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 4,562 | $871,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 34,023 | $870,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 47,685 | $869,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 89,633 | $868,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 155,777 | $865,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 67,346 | $862,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 17,112 | $860,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 33,282 | $859,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 44,547 | $856,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 34,284 | $856,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 9,149 | $854,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 10,464 | $849,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 110,504 | $845,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 27,745 | $839,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 34,273 | $838,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 20,446 | $838,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 10,606 | $836,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 37,460 | $833,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 46,184 | $828,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 139,548 | $823,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 87,826 | $819,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 8,980 | $816,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 12,976 | $807,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 17,088 | $805,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 25,072 | $804,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 61,559 | $803,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 58,305 | $797,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 38,917 | $797,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 62,692 | $797,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 150,879 | $796,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 44,776 | $795,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 2,617 | $794,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 24,198 | $794,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 21,642 | $789,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 6,988 | $786,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 48,702 | $785,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 6,500 | $779,000 | thousands by filing date | put |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 36,985 | $778,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 144,100 | $775,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 25,100 | $774,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 74,054 | $772,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 15,637 | $770,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 70,800 | $766,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 38,731 | $766,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 69,584 | $762,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 19,111 | $760,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 48,579 | $760,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 68,332 | $757,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 51,099 | $757,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 22,488 | $757,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 29,620 | $757,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 12,576 | $753,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 6,834 | $752,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 11,613 | $751,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 49,950 | $751,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 30,090 | $749,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 7,591 | $748,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 29,573 | $746,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 37,633 | $745,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 28,987 | $745,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 65,603 | $741,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 42,820 | $737,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 25,087 | $732,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 38,636 | $730,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 82,965 | $728,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 60,727 | $726,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 8,530 | $725,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 81,347 | $720,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 16,320 | $719,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 24,344 | $718,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 15,170 | $715,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 19,567 | $713,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 53,133 | $711,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 8,086 | $710,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 82,335 | $708,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 14,255 | $708,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 11,974 | $706,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 55,857 | $704,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 25,591 | $704,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 21,293 | $702,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 61,442 | $701,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 14,314 | $700,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 51,292 | $696,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 15,980 | $691,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 195,554 | $690,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 114,630 | $690,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 8,982 | $689,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 54,075 | $686,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 37,627 | $684,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 18,436 | $684,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 55,066 | $683,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 43,220 | $681,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 6,106 | $677,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 12,319 | $676,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 35,078 | $676,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 315,705 | $676,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 11,933 | $673,000 | thousands by filing date | |
| ANDEAVOR LOGISTICS LP NPV | 03350F106 | COM UNIT LP INT | 13,424 | $672,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 37,102 | $668,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 68,684 | $666,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 20,418 | $662,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 24,451 | $662,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 14,448 | $655,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 100,161 | $651,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 106,015 | $649,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 7,045 | $649,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 34,757 | $649,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 12,756 | $647,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 26,384 | $645,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 19,922 | $643,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 25,578 | $641,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 161,400 | $641,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 34,072 | $640,000 | thousands by filing date | |
| NETSHOES CAYMAN LTD | G6455X107 | COM | 48,518 | $638,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 55,056 | $637,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 27,821 | $637,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 22,984 | $634,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 47,115 | $631,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 47,861 | $630,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 42,019 | $627,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 15,415 | $622,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 52,405 | $620,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 17,515 | $620,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 9,347 | $620,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 7,152 | $617,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 9,377 | $616,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 58,070 | $614,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 30,177 | $606,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 14,933 | $606,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 19,564 | $604,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 17,252 | $604,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 6,183 | $604,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 105,314 | $599,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 89,165 | $595,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 10,100 | $593,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 32,800 | $593,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 54,725 | $593,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 45,793 | $593,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 70,784 | $591,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 26,897 | $589,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 44,642 | $588,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 22,115 | $587,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 18,715 | $586,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 32,988 | $584,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 9,473 | $584,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 94,528 | $583,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 59,150 | $583,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 100,373 | $582,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 9,447 | $582,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 128,939 | $579,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 19,076 | $578,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 32,152 | $573,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 79,801 | $572,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 16,302 | $572,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 15,592 | $572,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 18,596 | $571,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 11,013 | $566,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 10,987 | $566,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 24,600 | $562,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 33,435 | $557,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 13,700 | $556,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 16,256 | $554,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 51,503 | $552,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 39,462 | $550,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 30,152 | $550,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 11,478 | $550,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 18,365 | $549,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 27,341 | $546,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 8,814 | $544,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 15,157 | $542,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 17,509 | $542,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 17,133 | $540,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 30,113 | $539,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 21,415 | $539,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 21,793 | $537,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 10,155 | $531,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 57,721 | $531,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 21,131 | $531,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 23,232 | $526,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 355 | $526,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 7,663 | $524,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 15,537 | $524,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 14,792 | $523,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 13,302 | $522,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 65,311 | $520,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 41,465 | $517,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 20,894 | $514,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 42,077 | $512,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 7,944 | $511,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 5,700 | $511,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 19,826 | $510,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 15,135 | $509,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 32,800 | $509,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 17,838 | $509,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 24,022 | $508,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 17,761 | $506,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 12,227 | $502,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 45,092 | $502,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 19,508 | $502,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 4,203 | $499,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 6,140 | $498,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 19,080 | $497,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 10,033 | $496,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 24,792 | $493,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 32,593 | $491,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 13,509 | $490,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 22,404 | $487,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 43,880 | $487,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 25,659 | $487,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 7,296 | $486,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 37,306 | $485,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 19,184 | $485,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 10,994 | $485,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 15,882 | $484,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 22,844 | $484,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 18,933 | $483,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 9,209 | $482,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 7,688 | $481,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 13,754 | $481,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 8,900 | $481,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 25,425 | $479,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 24,298 | $475,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 37,999 | $473,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 9,430 | $472,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 103,179 | $472,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 29,024 | $464,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 28,925 | $460,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 19,660 | $459,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 31,347 | $459,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 31,574 | $459,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 8,978 | $456,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 13,164 | $456,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 6,825 | $453,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 18,726 | $452,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 53,466 | $452,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 52,646 | $451,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 63,388 | $450,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 31,563 | $449,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 29,128 | $444,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 7,383 | $444,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 11,692 | $444,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 3,569 | $443,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 87,290 | $441,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 11,814 | $441,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 18,269 | $439,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 34,442 | $439,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 17,306 | $439,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 29,017 | $438,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 15,094 | $435,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,921 | $434,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 11,966 | $431,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 10,671 | $429,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 8,446 | $428,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 12,390 | $427,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 32,200 | $426,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 19,895 | $425,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 28,056 | $420,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 7,333 | $420,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 9,515 | $419,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 6,885 | $419,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 8,901 | $417,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 83,814 | $415,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 7,599 | $414,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 12,146 | $414,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 28,817 | $412,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 16,279 | $412,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 4,006 | $411,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 15,461 | $410,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 19,493 | $409,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 3,682 | $407,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 4,114 | $407,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 27,681 | $407,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 182,009 | $404,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 22,289 | $403,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 25,910 | $402,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 7,925 | $402,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 29,099 | $400,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 4,446 | $396,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 17,453 | $395,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 27,592 | $393,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 120,171 | $392,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 9,329 | $390,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 7,280 | $390,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 150,000 | $389,000 | thousands by filing date | principal |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 2,975 | $388,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 31,698 | $388,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 24,762 | $386,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,109 | $381,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 16,063 | $381,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 16,678 | $378,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 14,707 | $377,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 10,485 | $374,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 10,352 | $374,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 21,243 | $374,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 5,602 | $374,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,830 | $373,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 8,415 | $373,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 71,237 | $373,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 14,459 | $371,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 8,487 | $371,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 188,167 | $369,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 24,513 | $369,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 9,583 | $369,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 111,000 | $364,000 | thousands by filing date | principal |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 65,204 | $363,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 10,541 | $363,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 5,425 | $362,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 14,553 | $360,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 19,144 | $359,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 23,442 | $357,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 201,772 | $357,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 5,635 | $357,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 10,448 | $356,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 26,301 | $355,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 16,688 | $352,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 7,078 | $351,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 26,577 | $350,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 11,135 | $350,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 13,301 | $349,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 13,467 | $349,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 38,732 | $348,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 4,526 | $348,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 9,812 | $348,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 2,940 | $347,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 8,800 | $345,000 | thousands by filing date | call |
| QAD INC-A | 74727D306 | CL A | 10,049 | $345,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 5,405 | $345,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 22,792 | $345,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 19,800 | $343,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,855 | $342,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 20,520 | $341,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 35,092 | $340,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 5,984 | $338,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 5,979 | $338,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 8,600 | $337,000 | thousands by filing date | put |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 49,971 | $336,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 10,781 | $335,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 6,294 | $335,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 13,265 | $330,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 6,125 | $329,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,188 | $328,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 6,922 | $326,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 37,365 | $320,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 70,187 | $320,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 6,054 | $318,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 20,820 | $316,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 22,060 | $316,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 32,566 | $316,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 15,780 | $316,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 13,242 | $315,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 21,472 | $314,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 23,225 | $312,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 6,846 | $312,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 18,227 | $312,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 18,022 | $312,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 21,409 | $312,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 4,795 | $311,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 5,233 | $311,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 15,463 | $310,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 9,152 | $307,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 9,967 | $306,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 10,766 | $304,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 12,293 | $303,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 23,417 | $303,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 20,197 | $302,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 14,265 | $302,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 32,610 | $302,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 6,108 | $301,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 7,856 | $301,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 8,374 | $300,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 6,686 | $300,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 5,015 | $300,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 33,251 | $297,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 14,241 | $295,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 11,646 | $293,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 13,923 | $292,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 14,748 | $292,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 13,103 | $292,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 5,103 | $291,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 19,753 | $288,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 10,081 | $288,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 63,000 | $287,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 24,813 | $286,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 31,570 | $285,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 15,098 | $284,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 26,237 | $283,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 18,274 | $282,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 280,000 | $282,000 | thousands by filing date | principal |
| RED LION HOTELS CORP | 756764106 | COM | 32,622 | $282,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 13,545 | $281,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 22,143 | $280,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 6,435 | $279,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 19,919 | $278,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 16,837 | $278,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 74,425 | $276,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 13,329 | $276,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 6,446 | $276,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 9,814 | $275,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 13,584 | $273,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 9,979 | $273,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 11,271 | $273,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 18,198 | $272,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 3,749 | $270,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 10,264 | $270,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,008 | $268,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 6,039 | $268,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 22,107 | $266,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 8,223 | $264,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 29,951 | $264,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 4,567 | $264,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 41,998 | $264,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 67,954 | $264,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 3,551 | $263,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 4,583 | $261,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 21,858 | $261,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 5,530 | $261,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 89,123 | $261,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 8,221 | $258,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 2,172 | $255,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 24,729 | $253,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 9,346 | $253,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 4,318 | $250,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 6,555 | $249,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 10,112 | $249,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 18,714 | $247,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 9,245 | $246,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 9,323 | $246,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 23,780 | $245,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 5,835 | $245,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 161,000 | $245,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 9,827 | $244,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 18,218 | $243,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 14,546 | $240,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 3,544 | $240,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 35,715 | $239,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 52,686 | $239,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 34,559 | $238,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 11,646 | $238,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 34,546 | $237,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 2,591 | $236,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 7,442 | $236,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 10,413 | $236,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 25,342 | $235,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 8,451 | $235,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 24,601 | $234,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 10,174 | $234,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,184 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 4,723 | $233,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 40,164 | $233,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 10,098 | $232,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 9,482 | $232,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 13,377 | $231,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 19,890 | $230,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 7,064 | $228,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 22,237 | $227,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 15,997 | $226,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 8,936 | $226,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 16,621 | $225,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 15,984 | $222,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 14,366 | $222,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 11,499 | $222,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 3,993 | $221,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 7,203 | $221,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 12,572 | $221,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 8,458 | $221,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 9,673 | $220,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 12,643 | $220,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 15,032 | $219,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,452 | $219,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 10,133 | $218,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 3,510 | $217,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 22,500 | $215,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 8,198 | $215,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 5,229 | $214,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 7,868 | $214,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,502 | $213,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 27,642 | $212,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 2,620 | $211,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 10,032 | $211,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-009689 | this filing | 2017-11-07 | acceptance time not in the bulk data set |