13F-HR/A filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR/A for the quarter ended 2016-09-30, filed 2016-11-18, with 2,427 holding rows worth $4,018,649,000.
- Accession
- 0001080107-16-000042
- Filer
- CIK 1080107
- Filed
- 2016-11-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, amendment of type restatement, 5,154 entries on the cover page, a total value of $4,018,649,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,018,649,000 with VALUE read as thousands by filing date, 13F file number 028-07602. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAlta Capital Management 028-05119
- reports for this filerAnchor Capital Advisors
- reports for this filerAshfield Capital Partners LLC
- reports for this filerAtalanta Sosnoff Management
- reports for this filerC.S. McKee
- reports for this filerConfluence Inv Management LLC
- reports for this filerContravisory
- reports for this filerD. A. Davidson & Co.
- reports for this filerDavidson Investment Advisors 028-10301
- reports for this filerDavis Investment Advisors
- reports for this filerDavis Selected Advisers, L.P.
- reports for this filerEagle Asset Management 028-01666
- reports for this filerEfficient Market Advisors
- reports for this filerEmerald Advisers Inc
- reports for this filerEstabrook Capital Management 028-01283
- reports for this filerFairpointe Capital
- reports for this filerGranite Investment Partners
- reports for this filerHahn
- reports for this filerHarding Loevner
- reports for this filerHays Advisory 028-10649
- reports for this filerJohn Hancock Asset Management 028-03955
- reports for this filerLazard Asset Management
- reports for this filerLegg Mason
- reports for this filerLegg Mason Private Portfolio Group, LLC
- reports for this filerLesa Sroufe & Co.
- reports for this filerLockwood AdvisorFlex Portfolios
- reports for this filerLockwood Asset Allocation Portfolio
- reports for this filerLockwood Investment Strategies
- reports for this filerLord, Abbett & Co.,LLC
- reports for this filerMarshfield Associates Inc
- reports for this filerMcDonnell Investment Mgmt
- reports for this filerMiller, Tabak & Co. LLC
- reports for this filerNWQ Investment Management Co., LLC
- reports for this filerNYLIM - Mackay Shields LLC
- reports for this filerOak Ridge Investments 028-06668
- reports for this filerOak Ridge Investments, LLC
- reports for this filerOcean Park
- reports for this filerPMC
- reports for this filerPacific Income Advisors
- reports for this filerParametric Portfolio Associates
- reports for this filerPlacemark
- reports for this filerRNC Genter Capital Management 028-00970
- reports for this filerReinhard Partners, Inc.
- reports for this filerRiverbridge Partners, LLC
- reports for this filerSFE Investment Counsel
- reports for this filerSIGMA
- reports for this filerSage Advisory Services, Ltd. Co.
- reports for this filerSterling Capital
- reports for this filerThornburg Investment Management 028-06605
- reports for this filerTodd Investment Advisors
- reports for this filerTrillium Asset Management
- reports for this filerUniplan Real Estate Advisors
- reports for this filerVictory Capital Management
- reports for this filerWHV Investment Management
- reports for this filerWasatch Advisors
- reports for this filerWedgewood Partners, Inc.
- reports for this fileriSectors Post
- included managerAlta Capital Management 028-05199
- included managerAnchor Capital Advisors
- included managerAshfield Capital Partners LLC
- included managerAtalanta Sosnoff Management
- included managerC.S. McKee
- included managerConfluence Inv Management LLC
- included managerContravisory
- included managerD. A. Davidson & Co.
- included managerDavidson Investment Advisors 028-10301
- included managerDavis Investment Advisors
- included managerDavis Selected Advisers, L.P.
- included managerEagle Asset Management 028-01666
- included managerEfficient Market Advisors
- included managerEmerald Advisers Inc
- included managerEstabrook Capital Management 028-01283
- included managerFairpointe Capital
- included managerGranite Investment Partners
- included managerHahn
- included managerHarding Loevner
- included managerHays Advisory 028-10649
- included managerJohn Hancock Asset Management 028-03955
- included managerLazard Asset Management
- included managerLegg Mason
- included managerLegg Mason Private Portfolio Group, LLC
- included managerLesa Sroufe & Co.
- included managerLockwood AdvisorFlex Portfolios.
- included managerLockwood Asset Allocation Portfolio
- included managerLockwood Investment Strategies
- included managerLord, Abbett & Co., LLC
- included managerMarshfield Associates Inc
- included managerMcDonnell Investment Mgmt
- included managerMiller, Tabak & Co. LLC
- included managerNWQ Investment Management Co., LLC
- included managerNYLIM - Mackay Shields LLC
- included managerOak Ridge Investments 028-06668
- included managerOak Ridge Investments, LLC
- included managerOcean Park
- included managerPMC
- included managerPacific Income Advisors
- included managerParametric Portfolio Associates
- included managerPlacemark
- included managerRNC Genter Capital Management 028-00970
- included managerReinhart Partners, Inc.
- included managerRiverbridge Partners, LLC
- included managerSFE Investment Counsel
- included managerSIGMA
- included managerSage Advisory Services, Ltd. Co.
- included managerSterling Capital
- included managerThornburg Investment Management 028-06605
- included managerTodd Investment Advisors
- included managerTrillium Asset Management
- included managerUniplan Real Estate Advisors
- included managerVictory Capital Management
- included managerWHV Investment Management
- included managerWasatch Advisors
- included managerWedgewood Partners, Inc.
- included manageriSectors Post
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 |
|---|---|---|---|---|---|---|
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 5,000 | $53,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 3,976 | $53,000 | thousands by filing date | |
| CEB INC | 125134106 | COM | 982 | $53,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 2,724 | $52,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 3,050 | $52,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 480 | $52,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 850 | $52,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 992 | $52,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 980 | $52,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 1,208 | $52,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 1,761 | $52,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 1,216 | $52,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 1,879 | $52,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 32,200 | $52,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 1,291 | $51,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 1,025 | $51,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 375 | $51,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 473 | $50,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 1,616 | $50,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 1,312 | $50,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 4,000 | $50,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 1,908 | $50,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 1,031 | $50,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 1,250 | $50,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 2,839 | $50,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 536 | $49,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 1,378 | $49,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 1,000 | $49,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 1,515 | $49,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 820 | $49,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 1,023 | $49,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 1,042 | $49,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 3,150 | $49,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 1,112 | $49,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 356 | $49,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 3,810 | $48,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 1,832 | $48,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 1,389 | $48,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 2,350 | $48,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 4,700 | $48,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 4,100 | $48,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 1,005 | $48,000 | thousands by filing date | |
| CAMBREX CORP | 132011107 | COM | 1,100 | $48,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 3,100 | $48,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 1,714 | $48,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 719 | $47,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 1,251 | $47,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 1,446 | $47,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 313 | $47,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 816 | $47,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 2,110 | $47,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 2,718 | $47,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 1,925 | $47,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 1,732 | $47,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 600 | $46,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 803 | $46,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 3,341 | $46,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 840 | $46,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 1,750 | $46,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 735 | $45,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,939 | $45,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 6,380 | $45,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 109 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 1,555 | $45,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 1,570 | $45,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 595 | $45,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 1,290 | $45,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 990 | $45,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 16,148 | $45,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 5,168 | $45,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 1,186 | $44,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 4,200 | $44,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 1,301 | $44,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 600 | $44,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 1,358 | $44,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 739 | $44,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 4,300 | $44,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 1,750 | $44,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 787 | $43,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 4,486 | $43,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 15,937 | $43,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 257 | $43,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 2,552 | $43,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 3,200 | $43,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 2,417 | $43,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 1,479 | $43,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 2,356 | $43,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 1,087 | $43,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 1,157 | $43,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 1,750 | $43,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 1,243 | $43,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,025 | $42,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 1,210 | $42,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 819 | $42,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,077 | $42,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 244 | $42,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 3,550 | $42,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,870 | $42,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 548 | $41,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 1,052 | $41,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 538 | $41,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 2,363 | $41,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 2,071 | $41,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 1,765 | $41,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 3,000 | $41,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,834 | $41,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 3,150 | $41,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 1,585 | $41,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 797 | $41,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 2,317 | $41,000 | thousands by filing date | |
| EMCOR GROUP INC COM | 29084Q100 | Stock | 684 | $40,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 544 | $40,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,702 | $40,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 3,722 | $40,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 5,000 | $40,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,044 | $40,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 3,000 | $40,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 2,000 | $40,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 456 | $39,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 4,981 | $39,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 4,596 | $39,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 780 | $39,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 3,000 | $39,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 947 | $39,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 1,600 | $39,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,623 | $38,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 2,500 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 2,350 | $38,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 3,340 | $38,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 841 | $38,000 | thousands by filing date | |
| BANKUNITED INC | 06652K103 | COM | 1,297 | $38,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 917 | $38,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 300 | $38,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 1,600 | $38,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 388 | $38,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 10,000 | $38,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 255 | $38,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 1,900 | $38,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 964 | $37,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 1,692 | $37,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 1,200 | $37,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 382 | $37,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 4,059 | $37,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 774 | $37,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 771 | $37,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 5,130 | $37,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 2,000 | $37,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $37,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 2,300 | $37,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 730 | $37,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 6,262 | $37,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 3,000 | $37,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 1,450 | $37,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 373 | $36,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 2,468 | $36,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 984 | $36,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 2,340 | $36,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,165 | $36,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 1,691 | $36,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 607 | $36,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 3,268 | $36,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 281 | $36,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 1,193 | $36,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 1,585 | $36,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 1,691 | $36,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 1,694 | $36,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 674 | $36,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 33,000 | $36,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 1,450 | $36,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 1,718 | $35,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 1,025 | $35,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 3,518 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 1,210 | $35,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 516 | $35,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 7,950 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 1,622 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 450 | $35,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 5,000 | $35,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 1,565 | $35,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 35,000 | $35,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 800 | $34,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 274 | $34,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 600 | $34,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,772 | $34,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 2,362 | $34,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 600 | $34,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 4,900 | $34,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 650 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,000 | $34,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 1,342 | $34,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 789 | $33,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 2,870 | $33,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 956 | $33,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 2,448 | $33,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 2,025 | $33,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 940 | $33,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 200 | $32,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 300 | $32,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 604 | $32,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 1,048 | $32,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 866 | $32,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 835 | $32,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 300 | $32,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,785 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 330 | $32,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 1,300 | $32,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,290 | $32,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 473 | $31,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 1,002 | $31,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 391 | $31,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 456 | $31,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 648 | $31,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 429 | $31,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 2,221 | $31,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 263 | $31,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 475 | $31,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 507 | $31,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 1,000 | $31,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 746 | $30,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 401 | $30,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 1,455 | $30,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 2,069 | $30,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 2,000 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 500 | $30,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 728 | $30,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 2,125 | $30,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 3,800 | $30,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 295 | $30,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,200 | $30,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 649 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 1,410 | $30,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 30,000 | $30,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 555 | $29,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 1,792 | $29,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,055 | $29,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 602 | $29,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 400 | $29,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 1,293 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 591 | $29,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 375 | $29,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 1,140 | $29,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,075 | $29,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 1,775 | $28,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 815 | $28,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 3,307 | $28,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 919 | $28,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 560 | $28,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,500 | $28,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 862 | $28,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 15,000 | $28,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 1,100 | $28,000 | thousands by filing date | |
| ALLIED WRLD ASSUR COM HLDG A | H01531104 | SHS | 694 | $28,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 186 | $28,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 2,638 | $28,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 3,044 | $28,000 | thousands by filing date | |
| ISHARES TR | 46434VAJ9 | Cmn | 1,150 | $28,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 380 | $27,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 600 | $27,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 240 | $27,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 426 | $27,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 1,059 | $27,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 1,000 | $27,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 588 | $27,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 2,100 | $27,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 630 | $27,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 5,197 | $27,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,929 | $27,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 230 | $26,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 6,500 | $26,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 164 | $26,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 1,889 | $26,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 2,600 | $26,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 955 | $26,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 400 | $26,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 500 | $26,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 716 | $26,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 5,000 | $26,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 951 | $26,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 3,689 | $26,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,355 | $26,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 1,525 | $26,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 250 | $26,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 2,000 | $26,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 622 | $25,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 402 | $25,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,642 | $25,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 3,198 | $25,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 780 | $25,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 580 | $25,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 1,700 | $25,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 5,200 | $25,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $25,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 930 | $24,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 5,500 | $24,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 1,300 | $24,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 700 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 589 | $24,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 1,194 | $24,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 1,950 | $24,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 5,342 | $24,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 500 | $24,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 1,000 | $24,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 5,000 | $24,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 4,400 | $24,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 1,875 | $24,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 2,400 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 1,000 | $23,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 1,050 | $23,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 301 | $23,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,020 | $23,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 740 | $23,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 187 | $23,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 2,752 | $23,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 1,000 | $23,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 306 | $23,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 993 | $23,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 1,234 | $23,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 3,270 | $23,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605109 | COM CL A | 1,041 | $23,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 2,250 | $23,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 1,327 | $23,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 966 | $23,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 1,170 | $23,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 500 | $23,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 445 | $22,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 1,051 | $22,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 715 | $22,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 474 | $22,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 362 | $22,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 2,325 | $22,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 500 | $22,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 286 | $22,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 658 | $22,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,300 | $22,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 5,000 | $22,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,296 | $22,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 3,867 | $22,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 992 | $22,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 333 | $22,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 350 | $22,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 200 | $21,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 657 | $21,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 1,023 | $21,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 1,050 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 3,000 | $21,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 841 | $21,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 400 | $21,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,650 | $21,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 373 | $20,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 484 | $20,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 401 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 1,000 | $20,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 238 | $20,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 560 | $20,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,150 | $20,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 2,000 | $20,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 8,162 | $20,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,477 | $20,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,969 | $20,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 1,195 | $20,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 479 | $20,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 501 | $20,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,700 | $20,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,500 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 20,000 | $20,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,388 | $19,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 736 | $19,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 300 | $19,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 1,490 | $19,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 898 | $19,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 543 | $19,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 800 | $19,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 1,102 | $19,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 4,000 | $19,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,000 | $19,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 100 | $19,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 1,546 | $19,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 800 | $19,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 325 | $18,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 600 | $18,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 2,289 | $18,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 516 | $18,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 1,202 | $18,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 849 | $18,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 990 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 285 | $18,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 35 | $18,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 165 | $18,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,760 | $18,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 3,500 | $18,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 1,468 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 1,152 | $18,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,056 | $18,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 334 | $17,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 265 | $17,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 360 | $17,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 1,115 | $17,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,614 | $17,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 626 | $17,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,235 | $17,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 1,108 | $17,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 577 | $17,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 1,000 | $17,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 349 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 500 | $17,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 600 | $17,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 6,000 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 1,200 | $17,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 500 | $17,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 138 | $16,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 75 | $16,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 900 | $16,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,050 | $16,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 350 | $16,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 420 | $16,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 293 | $16,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 947 | $16,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 528 | $16,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 4,448 | $16,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 360 | $16,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 1,500 | $16,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 1,250 | $16,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,000 | $16,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 294 | $16,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 531 | $16,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 873 | $16,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 10,000 | $16,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 476 | $16,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 1,000 | $16,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,000 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 453 | $16,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 1,500 | $16,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 200 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 378 | $15,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 593 | $15,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 700 | $15,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,039 | $15,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 962 | $15,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 735 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 561 | $15,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 275 | $15,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 315 | $15,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 1,632 | $15,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 600 | $15,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 15,000 | $15,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 15,000 | $15,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 1,000 | $15,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 185 | $14,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 320 | $14,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 1,050 | $14,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 244 | $14,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 615 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 540 | $14,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 786 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 327 | $14,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 537 | $14,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 1,000 | $14,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 974 | $14,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 953 | $14,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 222 | $14,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 840 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 400 | $14,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 2,800 | $14,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 794 | $14,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 600 | $14,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 300 | $14,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,000 | $14,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 882 | $14,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 2,300 | $14,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 800 | $14,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,000 | $14,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 286 | $13,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 307 | $13,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 200 | $13,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,227 | $13,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 295 | $13,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 814 | $13,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 185 | $13,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $13,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 475 | $13,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 2,400 | $13,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 165 | $13,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 415 | $13,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 4,300 | $13,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 452 | $13,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,000 | $13,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 1,000 | $13,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 401 | $13,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 200 | $13,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 2,000 | $13,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 500 | $13,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 200 | $12,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 800 | $12,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 112 | $12,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 358 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 108 | $12,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 351 | $12,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 212 | $12,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 135 | $12,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 345 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-16-000040 | superseded | 2016-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001080107-16-000042 | this filing | 2016-11-18 | acceptance time not in the bulk data set |