13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-02, with 737 holding rows worth $1,315,235,000.
- Accession
- 0001085146-17-001610
- Filer
- CIK 1492262
- Filed
- 2017-08-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 737 entries on the cover page, a total value of $1,315,235,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,315,235,000 with VALUE read as thousands by filing date, 13F file number 028-13971. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerPRUDENTIAL PLC028-03582
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 |
|---|---|---|---|---|---|---|
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 46,914 | $360,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 16,480 | $357,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 26,508 | $357,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 35,792 | $357,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 25,126 | $354,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 12,111 | $350,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 4,137 | $349,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 28,000 | $347,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 15,164 | $346,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 37,244 | $346,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 17,509 | $345,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,762 | $343,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 8,613 | $342,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 4,542 | $341,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 6,546 | $341,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 18,977 | $335,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 123,725 | $333,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 11,636 | $333,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,302 | $332,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,219 | $332,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 5,087 | $332,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 5,516 | $332,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 7,486 | $331,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 8,256 | $330,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 7,439 | $328,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 4,807 | $327,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 5,092 | $325,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 5,150 | $324,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 15,612 | $323,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 5,364 | $323,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 8,370 | $322,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 6,179 | $321,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,399 | $321,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,965 | $320,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 17,345 | $318,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 2,554 | $317,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 5,779 | $317,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 9,446 | $317,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 6,087 | $316,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 21,023 | $316,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,000 | $316,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 12,958 | $316,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 5,208 | $315,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 9,038 | $315,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 2,190 | $314,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 21,596 | $314,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 2,521 | $314,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 9,066 | $313,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 44,414 | $312,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 14,574 | $312,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 6,952 | $312,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 7,809 | $310,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 12,500 | $309,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 4,803 | $306,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 18,600 | $306,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 3,648 | $304,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 5,799 | $302,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,353 | $301,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 7,281 | $300,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,538 | $300,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 25,212 | $298,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 26,256 | $297,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,587 | $296,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 4,317 | $296,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 21,304 | $293,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 12,607 | $291,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 14,433 | $290,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 6,636 | $287,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 6,588 | $286,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,174 | $286,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 21,397 | $285,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,527 | $284,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 3,835 | $283,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,043 | $282,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 4,851 | $282,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 14,591 | $280,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 1,976 | $279,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 13,589 | $279,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 31,990 | $277,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 2,429 | $275,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 4,607 | $274,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 4,356 | $273,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 11,331 | $272,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,062 | $271,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,895 | $271,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,781 | $271,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,447 | $268,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 20,125 | $268,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,879 | $268,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,099 | $267,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 4,000 | $267,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 20,025 | $267,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,621 | $266,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 14,266 | $265,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 4,210 | $260,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,756 | $260,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 3,315 | $259,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 6,054 | $259,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 10,841 | $258,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 9,833 | $258,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 3,910 | $257,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 7,974 | $256,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,401 | $254,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 18,204 | $253,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 1,550 | $252,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 4,023 | $251,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 7,295 | $251,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 4,139 | $250,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 26,500 | $249,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 4,305 | $246,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 12,866 | $245,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 2,732 | $244,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 8,390 | $244,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 4,554 | $243,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 23,646 | $242,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,914 | $241,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 3,140 | $240,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,910 | $239,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 6,807 | $236,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 3,129 | $234,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 22,275 | $234,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 3,596 | $232,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,198 | $232,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,345 | $232,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 15,400 | $232,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 5,290 | $231,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 500 | $229,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 3,425 | $229,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 8,030 | $228,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,716 | $228,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 5,165 | $228,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 4,085 | $228,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,355 | $227,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 7,738 | $226,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 4,459 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 2,960 | $224,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 6,965 | $223,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 6,852 | $223,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 3,520 | $221,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 4,028 | $221,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,884 | $221,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 19,186 | $221,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 7,124 | $220,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 5,800 | $219,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 25,750 | $219,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 10,105 | $218,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 14,369 | $217,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 14,472 | $217,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 5,777 | $217,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 9,370 | $217,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,269 | $216,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 440 | $215,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 40,040 | $215,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 25,160 | $215,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,696 | $213,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,595 | $212,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 2,698 | $211,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,710 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 3,049 | $211,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,683 | $211,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 36,000 | $210,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 4,881 | $210,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,775 | $210,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 5,609 | $209,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 2,778 | $209,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 7,595 | $209,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 3,400 | $208,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 1,712 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 3,279 | $208,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,755 | $208,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 5,725 | $207,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,813 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 2,538 | $206,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 1,807 | $205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,486 | $205,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 5,477 | $205,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,113 | $204,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 9,430 | $204,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 2,405 | $204,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 3,399 | $204,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 5,823 | $203,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 2,553 | $202,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 3,090 | $202,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 3,703 | $201,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 6,209 | $200,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 3,700 | $200,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,600 | $189,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,369 | $188,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 58,233 | $186,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,800 | $184,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 21,715 | $182,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,674 | $178,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 12,987 | $174,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 35,334 | $173,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 24,039 | $173,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 15,460 | $171,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 14,007 | $170,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 13,717 | $165,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 13,523 | $164,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 34,465 | $163,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 96,795 | $163,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 12,757 | $162,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 12,835 | $160,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 10,666 | $158,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 61,550 | $158,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 12,890 | $157,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 18,743 | $157,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,281 | $155,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 11,802 | $149,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 17,405 | $144,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 21,408 | $143,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 19,590 | $133,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 16,796 | $132,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 12,450 | $125,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,643 | $120,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 11,800 | $120,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 171,250 | $118,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 11,100 | $115,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 10,800 | $103,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 11,005 | $101,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,593 | $100,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 19,639 | $99,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,515 | $98,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 17,306 | $89,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 24,000 | $85,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 12,128 | $82,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 12,000 | $74,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 12,346 | $69,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,512 | $49,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,000 | $46,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,000 | $40,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,539 | $39,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 13,005 | $22,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 14,650 | $22,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $16,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 12,335 | $14,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,000 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-001610 | this filing | 2017-08-02 | acceptance time not in the bulk data set |