13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-01-16, with 4,218 holding rows worth $115,126,358,000.
- Accession
- 0000950123-18-000228
- Filer
- CIK 927971
- Filed
- 2018-01-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 13,720 entries on the cover page, a total value of $115,126,358,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $115,126,358,000 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 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 |
|---|---|---|---|---|---|---|
| WINGSTOP INC COM | 974155103 | Stock | 657 | $26,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 1,547 | $26,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 360 | $26,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 411 | $26,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 7,500 | $26,000 | thousands by filing date | put |
| CEVA INC | 157210105 | COMMON STOCK | 568 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 245 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 949 | $26,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 627 | $26,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 1,268 | $26,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 2,677 | $25,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 200 | $25,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 434 | $25,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 519 | $25,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 1,300 | $25,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 1,256 | $25,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 299 | $25,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,200 | $25,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,277 | $25,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,737 | $25,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 31,008 | $25,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 812 | $25,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 11,210 | $25,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 11,000 | $25,000 | thousands by filing date | put |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 975 | $24,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 1,178 | $24,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 648 | $24,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 525 | $24,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,660 | $24,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,500 | $24,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,359 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 347 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 390 | $24,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 1,500 | $24,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,330 | $24,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,730 | $24,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 480 | $24,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 30,500 | $24,000 | thousands by filing date | put |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,189 | $24,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 461 | $24,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 815 | $23,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,000 | $23,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,000 | $23,000 | thousands by filing date | put |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 1,047 | $23,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 672 | $23,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,600 | $23,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 1,428 | $23,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,037 | $23,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 100,000 | $23,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,000 | $23,000 | thousands by filing date | put |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 946 | $23,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 200 | $23,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 1,364 | $23,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 837 | $22,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 500 | $22,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 180 | $22,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 1,011 | $22,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 880 | $22,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 1,485 | $22,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 1,700 | $22,000 | thousands by filing date | put |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 574 | $22,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,142 | $22,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 1,031 | $22,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 2,524 | $22,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 400 | $22,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 4,200 | $22,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 17,350 | $22,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,064 | $22,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,564 | $22,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 4,400 | $22,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 1,595 | $21,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 1,138 | $21,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 738 | $21,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 506 | $21,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 2,104 | $21,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 2,129 | $21,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,088 | $21,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 326 | $21,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 755 | $21,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 793 | $21,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 447 | $21,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 477 | $21,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 743 | $21,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 2,445 | $21,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 300 | $20,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 514 | $20,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,113 | $20,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 958 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 378 | $20,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 233 | $20,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 345 | $20,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 423 | $20,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 904 | $20,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 1,324 | $20,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 596 | $20,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 600 | $20,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,549 | $20,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,717 | $20,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 150 | $20,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 8,922 | $20,000 | thousands by filing date | |
| Invesco Wilderhill Clean Energy ETF | 73935x112 | COM | 757 | $20,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 100 | $19,000 | thousands by filing date | put |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 171 | $19,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 9,558 | $19,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 2,095 | $19,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 4,479 | $19,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 390 | $19,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 2,000 | $19,000 | thousands by filing date | put |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 693 | $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 | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 532 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 200 | $19,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 2,043 | $19,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 596 | $19,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1,016 | $19,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 500 | $19,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 681 | $19,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 444 | $18,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 3,000 | $18,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 352 | $18,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 838 | $18,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,297 | $18,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 1,000 | $18,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 500 | $18,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 2,403 | $18,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 1,017 | $18,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 2,760 | $18,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 50,000 | $18,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 600 | $17,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 1,705 | $17,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 16,900 | $17,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 275 | $17,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 4 | $17,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,720 | $17,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 146 | $17,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 966 | $17,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,500 | $17,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $17,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 600 | $17,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 700 | $17,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 753 | $17,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 128 | $16,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 9,128 | $16,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 205 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 384 | $16,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 390 | $16,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 423 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 316 | $16,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 769 | $16,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,339 | $16,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 441 | $16,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 307 | $16,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 443 | $16,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 1,149 | $16,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 3,000 | $16,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 3,209 | $16,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 918 | $16,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 586 | $16,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 734 | $16,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 123 | $15,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 8,600 | $15,000 | thousands by filing date | put |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 541 | $15,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 480 | $15,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 304 | $15,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 245 | $15,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 269 | $15,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 249 | $15,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 803 | $15,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,300 | $15,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 457 | $15,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 855 | $15,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 917 | $15,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 714 | $15,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 3,369 | $15,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 487 | $15,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 2,930 | $15,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,226 | $15,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 647 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 193 | $15,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 1,957 | $15,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,435 | $14,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 445 | $14,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 140 | $14,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 810 | $14,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 182 | $14,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 321 | $14,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 574 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 4,000 | $14,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 541 | $14,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 981 | $14,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 485 | $14,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 33 | $14,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 5,000 | $14,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 462 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 400 | $14,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $14,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 451 | $14,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 1,531 | $14,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 3,900 | $13,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 7,043 | $13,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $13,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,033 | $13,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 940 | $13,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,783 | $13,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 207 | $13,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,617 | $13,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 408 | $13,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 452 | $13,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 2,340 | $13,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 500 | $13,000 | thousands by filing date | put |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 3,710 | $13,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 7,470 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 1,000 | $13,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 1,000 | $12,000 | thousands by filing date | put |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 4,542 | $12,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 520 | $12,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 906 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 200 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,000 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 475 | $12,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 714 | $12,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 155 | $12,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 500 | $12,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 707 | $12,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 951 | $12,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,251 | $12,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 330 | $12,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 2,527 | $12,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,548 | $12,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,598 | $12,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 401 | $12,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,663 | $12,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 7,388 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 153 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 160 | $11,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 1,000 | $11,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 564 | $11,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 500 | $11,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 500 | $11,000 | thousands by filing date | put |
| CHATHAM LODGING TR | 16208T102 | COM | 497 | $11,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 1,324 | $11,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 171 | $11,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 244 | $11,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,000 | $11,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 163 | $11,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 360 | $11,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 313 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 600 | $11,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 369 | $11,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 2,471 | $11,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 5,000 | $11,000 | thousands by filing date | principal |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 247 | $11,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,936 | $11,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 466 | $11,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 568 | $11,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 280 | $11,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 8,370 | $11,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 1,206 | $11,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 2,647 | $11,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 6,362 | $11,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 542 | $10,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 143 | $10,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 326 | $10,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,221 | $10,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 601 | $10,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,000 | $10,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 550 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 336 | $10,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 854 | $10,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 357 | $10,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 2,162 | $10,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 704 | $10,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 297 | $10,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 308 | $10,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 387 | $10,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 1,131 | $10,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 82 | $10,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 1,523 | $10,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 372 | $10,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 100 | $10,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,329 | $10,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 766 | $10,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,300 | $10,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 2,153 | $10,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 318 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $10,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 288 | $10,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 1,000 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 480 | $10,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 5,000 | $10,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 530 | $10,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 409 | $10,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 380 | $10,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 400 | $10,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 506 | $9,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 145 | $9,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 355 | $9,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 64 | $9,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 109 | $9,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 247 | $9,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 223 | $9,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 377 | $9,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 230 | $9,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 322 | $9,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 500 | $9,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 168 | $9,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 589 | $9,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 461 | $9,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 331 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 634 | $9,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,000 | $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 | |
| IXYS CORP | 46600W106 | COMMON STOCK | 357 | $9,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 160 | $9,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 689 | $9,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 798 | $9,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 388 | $9,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 318 | $9,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 457 | $9,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 417 | $9,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 4,000 | $9,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 693 | $9,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 937 | $9,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 946 | $9,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 34,500 | $9,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 1,376 | $9,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 2,426 | $9,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 69 | $9,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 400 | $9,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 1,000 | $9,000 | thousands by filing date | |
| O'SHARES FTSE ASIA PACIFIC QUALITY DIVIDEND ETF | 351680822 | ETF | 300 | $9,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 754 | $8,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 937 | $8,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 324 | $8,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 256 | $8,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 324 | $8,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 140 | $8,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 211 | $8,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 83 | $8,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 517 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 55 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 160 | $8,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 124 | $8,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 500 | $8,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 344 | $8,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 94 | $8,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 406 | $8,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 264 | $8,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 1,328 | $8,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,116 | $8,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 856 | $8,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 666 | $8,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,687 | $8,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 925 | $8,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 410 | $8,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,000 | $8,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 5,600 | $8,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 405 | $8,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 2,801 | $8,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 800 | $8,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 257 | $8,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 186 | $8,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 245 | $8,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 76 | $7,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 212 | $7,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 838 | $7,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 206 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 201 | $7,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 283 | $7,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 200 | $7,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 889 | $7,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 520 | $7,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 276 | $7,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 446 | $7,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 140 | $7,000 | thousands by filing date | principal |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 1,187 | $7,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 132 | $7,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 777 | $7,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 1,207 | $7,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 935 | $7,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,470 | $7,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 501 | $7,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 5,298 | $7,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 133 | $7,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 22,500 | $7,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 1,790 | $7,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 264 | $7,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 249 | $7,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 265 | $7,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,000 | $6,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 820 | $6,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 492 | $6,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 240 | $6,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 2,750 | $6,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,798 | $6,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 389 | $6,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 69 | $6,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 800 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 35 | $6,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 170 | $6,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 579 | $6,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 3,000 | $6,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 3,000 | $6,000 | thousands by filing date | put |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 1,171 | $6,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 341 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 100 | $6,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 739 | $6,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 3,077 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 165 | $6,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 176 | $5,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 1,000 | $5,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,000 | $5,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 530 | $5,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 164 | $5,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 160 | $5,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 692 | $5,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 292 | $5,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 538 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $5,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 137 | $5,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 268 | $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 | |
| KEANE GROUP INC | 48669A108 | COM | 272 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 160 | $5,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 314 | $5,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 116 | $5,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 1,001 | $5,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 298 | $5,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 75 | $5,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 130 | $5,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 201 | $5,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 199 | $5,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 727 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 60 | $5,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 416 | $5,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,037 | $5,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 2,223 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 130 | $5,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 122 | $5,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 200 | $5,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 400 | $5,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 4 | $5,000 | thousands by filing date | principal |
| ENTEGRA FINL CORP | 29363J108 | COM | 158 | $5,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 40 | $5,000 | thousands by filing date | principal |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 4,262 | $5,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 50 | $4,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 305 | $4,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 285 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 155 | $4,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 9,500 | $4,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 321 | $4,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 437 | $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 | |
| QUINSTREET INC | 74874Q100 | COM | 438 | $4,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 50 | $4,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 152 | $4,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 408 | $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 | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 75 | $4,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 168 | $4,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 150 | $4,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 748 | $4,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,600 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 1,400 | $4,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 631 | $4,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 114 | $4,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 5,000 | $4,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 227 | $4,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 274 | $4,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 349 | $4,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 1,062 | $4,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,500 | $4,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 232 | $4,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 219 | $4,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 328 | $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 | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 531 | $4,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 251 | $4,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,170 | $4,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,350 | $4,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 87 | $4,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 230 | $4,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 722 | $3,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 70 | $3,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 130 | $3,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 116 | $3,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 34 | $3,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 63 | $3,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 600 | $3,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 1,381 | $3,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 76 | $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 |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-000228 | this filing | 2018-01-16 | acceptance time not in the bulk data set |