13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-14, with 6,700 holding rows worth $144,695,959,000.
- Accession
- 0001140361-15-032251
- Filer
- CIK 1000275
- Filed
- 2015-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 21,181 entries on the cover page, a total value of $144,695,959,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $144,695,959,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerROYAL BANK OF CANADA TRUST CO (BAHAMAS) LTD028-12693
- included managerRBC TRUSTEES (C.I.) LTD028-13008
- included managerRoyal Bank of Canada (Suisse) SA028-13851
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Trust Co (Jersey) Ltd028-14648
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 |
|---|---|---|---|---|---|---|
| LUMENIS LTD | M6778Q121 | SHS CL B | 864 | $12,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 2,597 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X384 | MSCI AUS STRTGIC | 252 | $12,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100 | $11,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 500 | $11,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 849 | $11,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 645 | $11,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $11,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 470 | $11,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 551 | $11,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 399 | $11,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 1,000 | $11,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,085 | $11,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 2,549 | $11,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 519 | $11,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 512 | $11,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 240 | $11,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,877 | $11,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 951 | $11,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 868 | $11,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,363 | $11,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 1,079 | $11,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 962 | $11,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 1,820 | $11,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 5,270 | $11,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 11,065 | $11,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 2,116 | $11,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,122 | $11,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 775 | $11,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 425 | $11,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 687 | $11,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 429 | $11,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 905 | $11,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,292 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 400 | $11,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 505 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 400 | $11,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 4,572 | $11,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 408 | $10,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 196 | $10,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 762 | $10,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,100 | $10,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 365 | $10,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 3,750 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $10,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 355 | $10,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,335 | $10,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 551 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,183 | $10,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,369 | $10,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 1,128 | $10,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 500 | $10,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 1,200 | $10,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 500 | $10,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 320 | $10,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 750 | $10,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,300 | $10,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 2,895 | $10,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 1,200 | $10,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 6,791 | $10,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 892 | $10,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,300 | $10,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 902 | $10,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 11,559 | $10,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 500 | $10,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 1,590 | $10,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 912 | $10,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 18,643 | $10,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $10,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 926 | $10,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 145 | $10,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 669 | $10,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 1,617 | $10,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 400 | $10,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 300 | $10,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 402 | $10,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 309 | $10,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 2,524 | $10,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 765 | $10,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 643 | $10,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 1,357 | $10,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 836 | $9,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 781 | $9,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 114 | $9,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 247 | $9,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,001 | $9,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 172 | $9,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 370 | $9,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 670 | $9,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 1,430 | $9,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 701 | $9,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 608 | $9,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 523 | $9,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,000 | $9,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,273 | $9,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,298 | $9,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 494 | $9,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 750 | $9,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,050 | $9,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 9,265 | $9,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 4,161 | $9,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 1,692 | $9,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 10,324 | $9,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 136 | $9,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 1,400 | $9,000 | thousands by filing date | principal |
| RIVER VY BANCORP | 768475105 | COM | 400 | $9,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $9,000 | thousands by filing date | principal |
| LIBERTY TAX INC | 53128T102 | CL A | 358 | $9,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 579 | $9,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 600 | $9,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 551 | $9,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 918 | $9,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 901 | $9,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 564 | $9,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 953 | $9,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 546 | $8,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 452 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 300 | $8,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 730 | $8,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 69 | $8,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 200 | $8,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,685 | $8,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 219 | $8,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 1,445 | $8,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 615 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 200 | $8,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 731 | $8,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 455 | $8,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,000 | $8,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,000 | $8,000 | thousands by filing date | call |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 537 | $8,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 510 | $8,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 1,472 | $8,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $8,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 425 | $8,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 424 | $8,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 820 | $8,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 2,116 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 278 | $8,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 450 | $8,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 646 | $8,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 4,361 | $8,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,000 | $8,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,653 | $8,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 3,000 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 200 | $8,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,441 | $8,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 1,162 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 9,660 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 145 | $8,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 475 | $8,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 370 | $8,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 411 | $8,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,157 | $8,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 567 | $8,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 2,384 | $8,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,445 | $8,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 392 | $8,000 | thousands by filing date | |
| SUPERTEL HOSPITALITY INC NEW | 86852R108 | COM | 3,562 | $8,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 100 | $7,000 | thousands by filing date | put |
| FIVE9 INC | 338307101 | COM | 1,379 | $7,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 100 | $7,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 814 | $7,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 459 | $7,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 293 | $7,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 500 | $7,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 554 | $7,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 832 | $7,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 166 | $7,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 110 | $7,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 1,735 | $7,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,600 | $7,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 150 | $7,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,010 | $7,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 300 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $7,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 210 | $7,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 8,000 | $7,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,068 | $7,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 500 | $7,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,024 | $7,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,000 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E317 | GLBLX CEN ASIA | 629 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 2,374 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 298 | $7,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 6,000 | $7,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 1,243 | $7,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 271 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 400 | $7,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 784 | $7,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 698 | $7,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 613 | $6,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 200 | $6,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 116 | $6,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 600 | $6,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 300 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 114 | $6,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 238 | $6,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 114 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| TRAVELZOO | 89421Q205 | CMN | 576 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 116 | $6,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 451 | $6,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 1,350 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,385 | $6,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 939 | $6,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 12,800 | $6,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,817 | $6,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,000 | $6,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 500 | $6,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 345 | $6,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $6,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 328 | $6,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $6,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 12,000 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 251 | $6,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 1,563 | $6,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 1,045 | $6,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 500 | $6,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 542 | $6,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 324 | $6,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 824 | $6,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 400 | $5,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 400 | $5,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 349 | $5,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 237 | $5,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 516 | $5,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 360 | $5,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 551 | $5,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 308 | $5,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 230 | $5,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 800 | $5,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 222 | $5,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 100 | $5,000 | thousands by filing date | call |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 329 | $5,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 12,866 | $5,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 525 | $5,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,599 | $5,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 108 | $5,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 89 | $5,000 | thousands by filing date | principal |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 400 | $5,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 500 | $5,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 723 | $5,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 3,745 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,126 | $5,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 3,823 | $5,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 573 | $5,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,219 | $5,000 | thousands by filing date | |
| PALMETTO BANCSHARES INC | 697062206 | COM | 268 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 82 | $5,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 981 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 648 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 114 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 200 | $5,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 197 | $5,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 519 | $5,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 452 | $5,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 559 | $5,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 131 | $4,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 9,040 | $4,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 254 | $4,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 45 | $4,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 100 | $4,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 350 | $4,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 185 | $4,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 100 | $4,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 704 | $4,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 540 | $4,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,033 | $4,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 316 | $4,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 4,800 | $4,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 1,588 | $4,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 7,500 | $4,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 413 | $4,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 477 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 400 | $4,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,600 | $4,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,500 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 500 | $4,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 401 | $4,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 893 | $4,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 1,800 | $4,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 9,000 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 259 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 151 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,535 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 300 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 65 | $4,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 703 | $4,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 115 | $4,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 468 | $4,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 764 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461365 | BLUE CHIP ETF | 201 | $4,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 100 | $3,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 200 | $3,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 148 | $3,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 403 | $3,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 227 | $3,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 100 | $3,000 | thousands by filing date | call |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 183 | $3,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 200 | $3,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 71 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 526 | $3,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 439 | $3,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $3,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 800 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 70 | $3,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,200 | $3,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 201 | $3,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 73 | $3,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 2,682 | $3,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 307 | $3,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,000 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 420 | $3,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 56 | $3,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 400 | $3,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,500 | $3,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 1,456 | $3,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 60 | $3,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 23 | $3,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,000 | $3,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,000 | $3,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 40 | $3,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 160 | $3,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 396 | $3,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,316 | $3,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 3,000 | $3,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 80 | $3,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 14,000 | $3,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 144 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 50 | $3,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 300 | $3,000 | thousands by filing date | |
| VIMICRO INTL CORP | 92718N109 | ADR | 280 | $3,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 661 | $3,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 524 | $3,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 164 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 61 | $3,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 248 | $3,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 100 | $3,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V209 | COM | 2,433 | $3,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 493 | $3,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 187 | $3,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 2,053 | $3,000 | thousands by filing date | |
| CODE REBEL CORP | 19200J106 | COM | 80 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A800 | FALAH RUS LG CAP | 100 | $3,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 150 | $2,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 37 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 26 | $2,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 319 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,000 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 500 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 57 | $2,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 42 | $2,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 59 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 250 | $2,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $2,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 225 | $2,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,053 | $2,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 272 | $2,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 15 | $2,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 640 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,140 | $2,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 697 | $2,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 350 | $2,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 600 | $2,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 116 | $2,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,000 | $2,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,201 | $2,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 901 | $2,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,009 | $2,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 61 | $2,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 3,152 | $2,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 2,000 | $2,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 2,209 | $2,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 1,000 | $2,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 1,648 | $2,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 4,300 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 738 | $2,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $2,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 108 | $2,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 1,000 | $2,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 17 | $2,000 | thousands by filing date | principal |
| EGA EMERGING GLOBAL SHS TR | 268461464 | EGSHS EMKTSCOR | 105 | $2,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 73 | $2,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 500 | $2,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 82 | $2,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 100 | $2,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $2,000 | thousands by filing date | principal |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 59 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E838 | GLB X BRZ FINL | 200 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $2,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 1,249 | $2,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 500 | $2,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 1,042 | $2,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 400 | $2,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 29 | $2,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 1,226 | $2,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,000 | $2,000 | thousands by filing date | |
| NANOSPHERE INC COM NEW | 63009F204 | Stock | 700 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 94 | $2,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 100 | $2,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P401 | Cmn | 2,563 | $2,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 1,196 | $2,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 25 | $1,000 | thousands by filing date | put |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 40 | $1,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 33 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 1,090 | $1,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 463 | $1,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 50 | $1,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 50 | $1,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 52 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 105 | $1,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 311 | $1,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 100 | $1,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 64 | $1,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 84 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 53 | $1,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 155 | $1,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 50 | $1,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 141 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 196 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 9 | $1,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 80 | $1,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 39 | $1,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 23 | $1,000 | thousands by filing date | principal |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 100 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 27 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 20 | $1,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 249 | $1,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 102 | $1,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,640 | $1,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 490 | $1,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 700 | $1,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 400 | $1,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 29 | $1,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 39 | $1,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 73 | $1,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 48 | $1,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 58 | $1,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 158 | $1,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 68 | $1,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 100 | $1,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 3,000 | $1,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 105 | $1,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 3,400 | $1,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 75 | $1,000 | thousands by filing date | |
| TARGACEPT INC | 87611R306 | COM | 197 | $1,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 1,255 | $1,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 35 | $1,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 276 | $1,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 1,503 | $1,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 13 | $1,000 | thousands by filing date | principal |
| NEW YORK & CO INC | 649295102 | COM | 326 | $1,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 140 | $1,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 498 | $1,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 356 | $1,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 195 | $1,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 95 | $1,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 782 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 364 | $1,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 120 | $1,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 1,852 | $1,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 1,400 | $1,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 1,170 | $1,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 198 | $1,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 400 | $1,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 300 | $1,000 | thousands by filing date | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 106 | $1,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 105 | $1,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 2,850 | $1,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 32 | $1,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 66 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-032251 | this filing | 2015-08-14 | acceptance time not in the bulk data set |