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 |
|---|---|---|---|---|---|---|
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 3,047 | $24,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 2,000 | $24,000 | thousands by filing date | put |
| SOLAZYME INC | 83415T101 | COM | 9,130 | $24,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,713 | $24,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 950 | $24,000 | thousands by filing date | principal |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,391 | $24,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $24,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,250 | $24,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,239 | $24,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 5,666 | $24,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 18,949 | $23,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 1,278 | $23,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 1,427 | $23,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 622 | $23,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 2,175 | $23,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 435 | $23,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,300 | $23,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 2,170 | $23,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 25,728 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 393 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 297 | $23,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 1,574 | $23,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 1,286 | $23,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 157 | $22,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 731 | $22,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 711 | $22,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 192 | $22,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 1,000 | $22,000 | thousands by filing date | call |
| COCA COLA CONS INC | 191098102 | COM | 116 | $22,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 716 | $22,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 1,400 | $22,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 600 | $22,000 | thousands by filing date | put |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,300 | $22,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 1,007 | $22,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 393 | $22,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,754 | $22,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,000 | $22,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $22,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 768 | $22,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 12,911 | $22,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,814 | $22,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 3,032 | $22,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 8,150 | $22,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 481 | $22,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 674 | $22,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 5,065 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 951 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 736 | $22,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 1,150 | $22,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 1,888 | $22,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 1,036 | $21,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 700 | $21,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 1,460 | $21,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 779 | $21,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 483 | $21,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 500 | $21,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 799 | $21,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,119 | $21,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 3,543 | $21,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 924 | $21,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 3,575 | $21,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,800 | $21,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 2,084 | $21,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 473 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $21,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 2,847 | $21,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 1,784 | $21,000 | thousands by filing date | |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 5,731 | $21,000 | thousands by filing date | |
| Escalera Resources Co | 296064108 | Ordinary Shares | 129,390 | $21,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,000 | $20,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 1,490 | $20,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,414 | $20,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 877 | $20,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,600 | $20,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,887 | $20,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 7,345 | $20,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,579 | $20,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 1,014 | $20,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 1,519 | $20,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 618 | $20,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 2,984 | $20,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 776 | $20,000 | thousands by filing date | principal |
| AVOLON HLDGS LTD | G52237107 | COM | 652 | $20,000 | thousands by filing date | |
| OI SA-ADR | 670851401 | Com | 30,152 | $20,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 14,945 | $20,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 1,146 | $19,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 823 | $19,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 750 | $19,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 1,397 | $19,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 3,432 | $19,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,580 | $19,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 6,275 | $19,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 414 | $19,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 13,033 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 459 | $19,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 2,516 | $19,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 1,400 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 809 | $19,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,500 | $19,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,300 | $19,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 19,000 | $19,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 400 | $19,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 173 | $18,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 472 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 335 | $18,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 2,000 | $18,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 800 | $18,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 2,180 | $18,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,400 | $18,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,253 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 691 | $18,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,518 | $18,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 1,350 | $18,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 10,355 | $18,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 500 | $18,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 718 | $18,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,296 | $18,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 623 | $18,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,420 | $18,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 2,954 | $18,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 4,800 | $18,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 11,488 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 300 | $18,000 | thousands by filing date | |
| Pacific Datavision Inc | 694171307 | COM | 613 | $18,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,396 | $18,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 702 | $18,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 2,436 | $17,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 609 | $17,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 2,191 | $17,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 400 | $17,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 2,469 | $17,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 600 | $17,000 | thousands by filing date | call |
| METALLUS INC | 887399103 | COMMON STOCK | 1,640 | $17,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,084 | $17,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 420 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 476 | $17,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 604 | $17,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 5,065 | $17,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 977 | $17,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,300 | $17,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 2,200 | $17,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 206 | $17,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,802 | $17,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 1,005 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,361 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 740 | $17,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 1,113 | $17,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 689 | $17,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 1,000 | $17,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 3,305 | $17,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 2,300 | $17,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 936 | $17,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 797 | $17,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 697 | $16,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 695 | $16,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,063 | $16,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 877 | $16,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 542 | $16,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $16,000 | thousands by filing date | principal |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 408 | $16,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 1,233 | $16,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,518 | $16,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 407 | $16,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 7,033 | $16,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,480 | $16,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 600 | $16,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 9,109 | $16,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 736 | $16,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 367 | $16,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 944 | $16,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,162 | $16,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,863 | $16,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 719 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 165 | $16,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 1,445 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 442 | $16,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 1,541 | $16,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,173 | $16,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 915 | $16,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 1,880 | $16,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 1,706 | $16,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 3,717 | $16,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 292 | $15,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 702 | $15,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,115 | $15,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 3,046 | $15,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 500 | $15,000 | thousands by filing date | put |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,000 | $15,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,230 | $15,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 751 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $15,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,233 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 459 | $15,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,971 | $15,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 640 | $15,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 733 | $15,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 15,000 | $15,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 6,092 | $15,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 709 | $15,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 22,650 | $15,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 665 | $15,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 964 | $15,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,098 | $15,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,105 | $15,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 493 | $15,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 2,120 | $15,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 1,670 | $15,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 1,000 | $15,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,049 | $14,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,744 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 275 | $14,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 750 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 330 | $14,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 392 | $14,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $14,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 752 | $14,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 808 | $14,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 2,430 | $14,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 282 | $14,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 584 | $14,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,346 | $14,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 736 | $14,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,000 | $14,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 699 | $14,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 700 | $14,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,102 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 542 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 285 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 393 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $14,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 2,474 | $14,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 5,010 | $14,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,252 | $14,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 976 | $14,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 621 | $14,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 2,161 | $14,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 14,500 | $14,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 364 | $14,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,000 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 561 | $14,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 900 | $14,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 1,068 | $14,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 600 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 253 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 318 | $14,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 3,161 | $14,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,395 | $14,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 5,928 | $14,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 830 | $14,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 5,125 | $14,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $14,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 610 | $14,000 | thousands by filing date | |
| ANCHOR BANCORP WIS INC DEL | 03283P106 | COM | 330 | $14,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y791 | DP500 WEIG ETF | 447 | $14,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 968 | $13,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 427 | $13,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 897 | $13,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 2,226 | $13,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 831 | $13,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 818 | $13,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,136 | $13,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,233 | $13,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 573 | $13,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 152 | $13,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 553 | $13,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,740 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,514 | $13,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $13,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 240 | $13,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 3,433 | $13,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 612 | $13,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 496 | $13,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 1,153 | $13,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,370 | $13,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 2,049 | $13,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 555 | $13,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,090 | $13,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 2,821 | $13,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,260 | $13,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 1,557 | $13,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 775 | $13,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 29,645 | $13,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,500 | $13,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 454 | $13,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 2,982 | $13,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,187 | $13,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $13,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 1,000 | $13,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 310 | $13,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 314 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,134 | $13,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 2,086 | $13,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 951 | $13,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,200 | $13,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 1,230 | $13,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 1,000 | $13,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 15,000 | $13,000 | thousands by filing date | principal |
| POWERSHARES ACTIVE MNG ETF T | 73935B888 | PWRSH CHI A PT | 385 | $13,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 258 | $12,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 597 | $12,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,241 | $12,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 512 | $12,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 141 | $12,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $12,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 335 | $12,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 551 | $12,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 443 | $12,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 500 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 700 | $12,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 17,936 | $12,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,627 | $12,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 4,886 | $12,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 6,887 | $12,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,899 | $12,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,498 | $12,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 850 | $12,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,130 | $12,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 290 | $12,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 3,167 | $12,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 6,475 | $12,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,765 | $12,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $12,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 7,909 | $12,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 888 | $12,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 1,768 | $12,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,175 | $12,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 718 | $12,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 794 | $12,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 5,707 | $12,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 12,978 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 450 | $12,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $12,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 864 | $12,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 803 | $12,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W101 | ENH US LCP ETF | 378 | $12,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 600 | $12,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 2,879 | $12,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 413 | $12,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 2,143 | $12,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 3,069 | $11,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 500 | $11,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 170 | $11,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 1,814 | $11,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 3,040 | $11,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 3,764 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 405 | $11,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,039 | $11,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 599 | $11,000 | thousands by filing date | |
| ALDERON IRON ORE CORP | 01434T100 | COM | 76,731 | $11,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,373 | $11,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 369 | $11,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,296 | $11,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 63,100 | $11,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,056 | $11,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 663 | $11,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 943 | $11,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 600 | $11,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 16,191 | $11,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 5,385 | $11,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 1,875 | $11,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 838 | $11,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643507 | ADR PRF SER A | 1,400 | $11,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 412 | $11,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 580 | $11,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 776 | $11,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,495 | $11,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 273 | $11,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 7,438 | $11,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,567 | $10,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 600 | $10,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 350 | $10,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100 | $10,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,098 | $10,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 858 | $10,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,404 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 185 | $10,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 580 | $10,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $10,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 553 | $10,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 907 | $10,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 355 | $10,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 524 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,187 | $10,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,200 | $10,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 904 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 2,138 | $10,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 913 | $10,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $10,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 1,370 | $10,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 1,092 | $10,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 25,361 | $10,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 9,000 | $10,000 | thousands by filing date | principal |
| UNILIFE CORP NEW | 90478E103 | COM | 10,676 | $10,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 462 | $10,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,877 | $10,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $10,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 8,361 | $10,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,787 | $10,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 695 | $10,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 4,651 | $10,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 477 | $10,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 1,521 | $10,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 364 | $10,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 392 | $10,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 12,799 | $10,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 530 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 684 | $10,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,441 | $10,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $10,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,550 | $10,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 202 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 370 | $10,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 2,660 | $10,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 799 | $10,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 400 | $10,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 926 | $10,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 900 | $10,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,042 | $10,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 575 | $10,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 400 | $9,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 824 | $9,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,365 | $9,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 759 | $9,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 534 | $9,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 833 | $9,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 482 | $9,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 172 | $9,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 900 | $9,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 543 | $9,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 419 | $9,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 188 | $9,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 705 | $9,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 546 | $9,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 309 | $9,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 376 | $9,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 366 | $9,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 374 | $9,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,082 | $9,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 320 | $9,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 80,000 | $9,000 | thousands by filing date | principal |
| BRIGHTCOVE INC | 10921T101 | COM | 1,732 | $9,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,055 | $9,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 1,200 | $9,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 760 | $9,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 300 | $9,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,700 | $9,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,438 | $9,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,536 | $9,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,010 | $9,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 1,614 | $9,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 800 | $9,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 963 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 13,213 | $9,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $9,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,091 | $9,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 698 | $9,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,082 | $9,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 534 | $9,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,415 | $9,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,117 | $9,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 1,508 | $9,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 348 | $9,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,031 | $9,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 441 | $9,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 312 | $9,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 1,144 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 500 | $8,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,117 | $8,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,100 | $8,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 195 | $8,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 252 | $8,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 300 | $8,000 | thousands by filing date | put |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,348 | $8,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 500 | $8,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 641 | $8,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 1,232 | $8,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 358 | $8,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 488 | $8,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 423 | $8,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 523 | $8,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 656 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 288 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 210 | $8,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,366 | $8,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 990 | $8,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 315 | $8,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 308 | $8,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $8,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 454 | $8,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 654 | $8,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 251 | $8,000 | 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 |