13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-16, with 6,801 holding rows worth $133,582,709,000.
- Accession
- 0001140361-15-041632
- Filer
- CIK 1000275
- Filed
- 2015-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 21,015 entries on the cover page, a total value of $133,582,709,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $133,582,709,000 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 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 |
|---|---|---|---|---|---|---|
| Onconova Therapeutics | 68232V108 | Common | 49,662 | $67,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 11,359 | $66,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 3,468 | $66,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 4,514 | $66,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 2,056 | $66,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 2,165 | $65,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 7,651 | $65,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 7,300 | $65,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 7,042 | $65,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 4,925 | $65,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,775 | $65,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 5,100 | $65,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 2,892 | $65,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 11,637 | $65,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 1,140 | $65,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 8,000 | $65,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 4,391 | $65,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 1,745 | $64,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 1,668 | $64,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 90,729 | $64,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 19,152 | $64,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 3,550 | $64,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 1,786 | $64,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 2,401 | $64,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 3,368 | $63,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 1,341 | $63,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 8,154 | $63,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 1,430 | $63,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 2,300 | $63,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 3,205 | $63,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 1,217 | $63,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 3,423 | $62,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,041 | $62,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 2,210 | $62,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 3,367 | $62,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 3,526 | $62,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 1,392 | $61,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 10,301 | $61,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 20,425 | $61,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 4,888 | $61,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 961 | $61,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,240 | $61,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 4,500 | $61,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,000 | $61,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 2,439 | $61,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 3,695 | $60,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 6,150 | $60,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,401 | $60,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 45 | $60,000 | thousands by filing date | principal |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 2,240 | $60,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 5,000 | $60,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 3,280 | $60,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 312 | $59,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 4,702 | $59,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 20,996 | $58,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 6,007 | $58,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 3,134 | $58,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 2,933 | $58,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 1,809 | $57,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 4,114 | $57,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 5,196 | $57,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,167 | $57,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 1,003 | $57,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 5,611 | $57,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,813 | $57,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 5,755 | $57,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $57,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 3,218 | $56,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,067 | $56,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 1,369 | $56,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,960 | $56,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 3,239 | $56,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 6,608 | $56,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 4,308 | $56,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 2,300 | $56,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 2,505 | $55,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 3,780 | $55,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 2,774 | $55,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 2,400 | $55,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 10,000 | $55,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 2,722 | $54,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 2,887 | $54,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 860 | $54,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 7,371 | $54,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 2,455 | $54,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,614 | $54,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 16,600 | $54,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 28,564 | $54,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 11,265 | $54,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 3,495 | $54,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,600 | $54,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 761 | $54,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,160 | $54,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 4,102 | $54,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 2,326 | $54,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 1,955 | $53,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 2,135 | $53,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 2,639 | $53,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 29,069 | $53,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,756 | $53,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 52,000 | $53,000 | thousands by filing date | principal |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 24,499 | $53,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 1,869 | $53,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,483 | $53,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 3,364 | $53,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 2,380 | $53,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $53,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,643 | $52,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 2,423 | $52,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 5,022 | $52,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 2,060 | $52,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 5,029 | $52,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 4,543 | $52,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 2,416 | $52,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,515 | $52,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 3,634 | $52,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 17,627 | $52,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,900 | $52,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 4,207 | $52,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 4,722 | $52,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 8,808 | $52,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 2,577 | $51,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 13,530 | $51,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 10,268 | $51,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,240 | $51,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 10,869 | $51,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 2,172 | $51,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 1,240 | $51,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 3,032 | $51,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 555 | $50,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 3,488 | $50,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 3,039 | $50,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 1,242 | $50,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,993 | $50,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 6,657 | $50,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 857 | $50,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $50,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 2,502 | $50,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 14,932 | $50,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 1,531 | $50,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 7,483 | $50,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 1,994 | $50,000 | thousands by filing date | principal |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 2,500 | $50,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,860 | $49,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 1,005 | $49,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 4,331 | $49,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 4,308 | $49,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,536 | $49,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 21,050 | $49,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 65,320 | $49,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 5,449 | $49,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 1,885 | $49,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 3,429 | $48,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 5,487 | $48,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 22,942 | $48,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 1,763 | $48,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 4,610 | $48,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 5,547 | $48,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,463 | $48,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 2,050 | $48,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 3,349 | $47,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 497 | $47,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 3,422 | $47,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 3,173 | $47,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 2,949 | $47,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,785 | $47,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 6,244 | $47,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 2,312 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 1,987 | $47,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,274 | $47,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 42,471 | $47,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 4,019 | $47,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 3,061 | $47,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 7,891 | $47,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,861 | $46,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 1,594 | $46,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 1,551 | $46,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 1,505 | $46,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 27,026 | $46,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 10,056 | $46,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,382 | $46,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 6,681 | $46,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 2,519 | $46,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 17,239 | $46,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 6,605 | $46,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 1,265 | $46,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 3,015 | $46,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 2,804 | $46,000 | thousands by filing date | |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 500,000 | $46,000 | thousands by filing date | principal |
| TELADOC HEALTH INC | 87918A105 | COM | 2,025 | $45,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 7,623 | $45,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 3,603 | $45,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 4,842 | $45,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,552 | $45,000 | thousands by filing date | |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 3,749 | $45,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 25,868 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y173 | DLY MID CP BULL | 1,595 | $45,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 7,000 | $44,000 | thousands by filing date | call |
| TRANSUNION COM | 89400J107 | Stock | 1,781 | $44,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 4,442 | $44,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 1,335 | $44,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 1,479 | $44,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 2,037 | $44,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 8,150 | $44,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,706 | $44,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 6,281 | $44,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $44,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,455 | $43,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 114,185 | $43,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 2,187 | $43,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 1,050 | $43,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 1,212 | $43,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 2,824 | $43,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 1,127 | $43,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 2,969 | $43,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 4,168 | $43,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,976 | $43,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,045 | $43,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 4,558 | $43,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 3,266 | $43,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 7,850 | $43,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 2,694 | $43,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 785 | $43,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 909 | $43,000 | thousands by filing date | principal |
| AURIS MED HLDG AG | H03579101 | COM | 12,000 | $43,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 2,939 | $42,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 700 | $42,000 | thousands by filing date | put |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 2,901 | $42,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 4,248 | $42,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,991 | $42,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 6,140 | $42,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 3,002 | $42,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 695 | $42,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 3,004 | $42,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 1,500 | $42,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 12,400 | $42,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 2,536 | $41,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 4,000 | $41,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 1,876 | $41,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,361 | $41,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 8,500 | $41,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 1,390 | $41,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 3,024 | $41,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 15,273 | $41,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,600 | $41,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 18,425 | $41,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 900 | $40,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 1,000 | $40,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,657 | $40,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 4,837 | $40,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 1,475 | $40,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 3,000 | $40,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 766 | $40,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 17,642 | $40,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $40,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 12,021 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,291 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,803 | $40,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,435 | $39,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 3,681 | $39,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 4,367 | $39,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 1,028 | $39,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 4,146 | $39,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 806 | $39,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 7,733 | $39,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 1,404 | $39,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 1,958 | $39,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 4,850 | $39,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 3,102 | $39,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 115,474 | $39,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 1,423 | $39,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,695 | $39,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 1,744 | $39,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 1,340 | $39,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R585 | RUSSIA SMALLCP | 2,125 | $39,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,330 | $38,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 472 | $38,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,943 | $38,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 2,998 | $38,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 499 | $38,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,881 | $38,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,400 | $38,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 7,016 | $38,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 27,296 | $38,000 | thousands by filing date | |
| HUNTINGTON STRATEGY SHS | 446698201 | ECOL STRAT ETF | 1,102 | $38,000 | thousands by filing date | |
| REMY INTL INC NEW | 75971M108 | COM | 1,301 | $38,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 19,659 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,431 | $37,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 2,344 | $37,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 2,536 | $37,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 4,545 | $37,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,538 | $37,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 641 | $37,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,760 | $37,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $37,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 939 | $37,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,619 | $37,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 3,563 | $37,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 109,574 | $37,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 4,694 | $37,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 3,457 | $37,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 2,907 | $36,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 1,553 | $36,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 2,044 | $36,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 8,024 | $36,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,000 | $36,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 3,984 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 4,331 | $36,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 3,000 | $36,000 | thousands by filing date | |
| CATALYST | 14888D109 | COM | 7,699 | $36,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 1,440 | $35,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 2,048 | $35,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 860 | $35,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 7,538 | $35,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 938 | $35,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,014 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 640 | $35,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 708 | $35,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 760 | $35,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 2,225 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 1,600 | $35,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 3,400 | $35,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 347 | $35,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,560 | $35,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,500 | $35,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,468 | $35,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 5,252 | $35,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 2,200 | $35,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,107 | $34,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 500 | $34,000 | thousands by filing date | put |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 1,063 | $34,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 746 | $34,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 807 | $34,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 2,285 | $34,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,076 | $34,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 819 | $34,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 2,873 | $34,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,436 | $34,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 570 | $34,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 4,108 | $34,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 2,685 | $34,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 1,162 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347B888 | CDS NA HY CRDT | 885 | $34,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 3,613 | $33,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $33,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,700 | $33,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 848 | $33,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,886 | $33,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 1,343 | $33,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 28,000 | $33,000 | thousands by filing date | principal |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 2,745 | $33,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 1,334 | $33,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 1,736 | $33,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 5,000 | $33,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 5,000 | $33,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,004 | $33,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 791 | $33,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 7,000 | $33,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,605 | $33,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 1,581 | $32,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 2,608 | $32,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 511 | $32,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,194 | $32,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 645 | $32,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,832 | $32,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,000 | $32,000 | thousands by filing date | put |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 1,559 | $32,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 2,948 | $32,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 4,698 | $32,000 | thousands by filing date | |
| HUBBELL INC -CL A | 443510102 | CL A | 300 | $32,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,500 | $32,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,140 | $32,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 649 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 743 | $32,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 1,849 | $31,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 11,037 | $31,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $31,000 | thousands by filing date | put |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 2,865 | $31,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 6,879 | $31,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 19,970 | $31,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,490 | $31,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 790 | $31,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 1,877 | $31,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 907 | $31,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 16,725 | $31,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 494 | $31,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 466 | $31,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 9,134 | $31,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 2,211 | $31,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,335 | $31,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 4,643 | $31,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 9,564 | $31,000 | thousands by filing date | |
| SEQUENTIAL BRANDS GROUP INC | 817340201 | COM NEW | 2,110 | $31,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,300 | $30,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,168 | $30,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 1,121 | $30,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,300 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,000 | $30,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,149 | $30,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,003 | $30,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,076 | $30,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 32,633 | $30,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 10,000 | $30,000 | thousands by filing date | call |
| HILL INTERNATIONAL INC | 431466101 | COM | 9,083 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $30,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,950 | $30,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 6,700 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 639 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 1,500 | $30,000 | thousands by filing date | |
| YODLEE INC | 98600P201 | COM | 1,822 | $30,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,074 | $29,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 1,810 | $29,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,306 | $29,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,813 | $29,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,000 | $29,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $29,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 2,000 | $29,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 1,000 | $29,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 1,842 | $29,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 17,520 | $29,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,119 | $29,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 22,940 | $29,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 5,910 | $29,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 1,361 | $29,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 1,393 | $29,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 709 | $28,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 854 | $28,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,427 | $28,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 2,675 | $28,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,540 | $28,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 829 | $28,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 9,021 | $28,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 288 | $28,000 | thousands by filing date | principal |
| ZS PHARMA INC | 98979G105 | Common Stock | 420 | $28,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 437 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 2,035 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $27,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 1,003 | $27,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 6,000 | $27,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,750 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 361 | $27,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 2,441 | $27,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 13,887 | $27,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 12,270 | $27,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,027 | $27,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 2,808 | $27,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,000 | $27,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 1,344 | $27,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,823 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,162 | $27,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 566 | $26,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,100 | $26,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 1,041 | $26,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,517 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,525 | $26,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 2,393 | $26,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 3,397 | $26,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 3,908 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 516 | $26,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 676 | $26,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 31,185 | $26,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 3,070 | $26,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 2,034 | $26,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,708 | $26,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 873 | $26,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 613 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $26,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 9,641 | $26,000 | thousands by filing date | |
| XURA INC COM | 98420V107 | COM | 1,162 | $26,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 2,247 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 250 | $26,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $26,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 998 | $25,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,833 | $25,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 3,526 | $25,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 4,253 | $25,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 1,233 | $25,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 815 | $25,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 1,734 | $25,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 5,400 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 748 | $25,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 11,500 | $25,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 2,649 | $25,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 678 | $25,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,565 | $25,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 3,122 | $25,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 1,391 | $24,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,233 | $24,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 5,761 | $24,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,245 | $24,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $24,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 2,997 | $24,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,313 | $24,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 3,543 | $24,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 3,762 | $24,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,179 | $24,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 3,542 | $24,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,650 | $24,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 967 | $24,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-041632 | this filing | 2015-11-16 | acceptance time not in the bulk data set |