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 |
|---|---|---|---|---|---|---|
| PFSWEB INC | 717098206 | COM | 568 | $8,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 20,397 | $8,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 12,578 | $8,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 1,173 | $8,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,719 | $8,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,039 | $8,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 800 | $8,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 670 | $8,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 605 | $8,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,006 | $8,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 25,211 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 321 | $8,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 148 | $8,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 892 | $8,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,312 | $8,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 95,604 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 549 | $8,000 | thousands by filing date | |
| FIRST TR ISE GLBL PLAT INDX | 33737C104 | COM | 1,538 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 885 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 9,852 | $8,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 496 | $8,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,102 | $8,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 1,137 | $8,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,000 | $8,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 850 | $8,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $8,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 706 | $8,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 967 | $8,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 431 | $8,000 | thousands by filing date | |
| NORANDA ALUMINUM HOLDING CORP | 65542W206 | COM | 4,930 | $8,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 100 | $7,000 | thousands by filing date | put |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 757 | $7,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 700 | $7,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 550 | $7,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 300 | $7,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 541 | $7,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 220 | $7,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 669 | $7,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 299 | $7,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 412 | $7,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 342 | $7,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 150 | $7,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 703 | $7,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 550 | $7,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $7,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 179 | $7,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 608 | $7,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,742 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 731 | $7,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 256 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 565 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 400 | $7,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 202 | $7,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,178 | $7,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 354 | $7,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 3,724 | $7,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,300 | $7,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,096 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $7,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 1,222 | $7,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 220 | $7,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 282 | $7,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 4,050 | $7,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,085 | $7,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 322 | $7,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 2,977 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 278 | $7,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 450 | $7,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 3,224 | $7,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,440 | $7,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,304 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 209 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 136 | $7,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 8,100 | $7,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 2,764 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 235 | $7,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 376 | $7,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 911 | $7,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 794 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 275 | $7,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 786 | $7,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 442 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,000 | $7,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 400 | $7,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,452 | $7,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,209 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 214 | $7,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,471 | $7,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 612 | $7,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 889 | $7,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T308 | COMMON | 1,095 | $7,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 383 | $6,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 274 | $6,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 144 | $6,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 142 | $6,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 54 | $6,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 106 | $6,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 687 | $6,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 722 | $6,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 729 | $6,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $6,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 456 | $6,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 554 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| IRIDEX CORP | 462684101 | COM | 832 | $6,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 395 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $6,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 464 | $6,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 364 | $6,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,064 | $6,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,115 | $6,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 14,881 | $6,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 5,067 | $6,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,010 | $6,000 | thousands by filing date | |
| VWR CORP | 91843L103 | COM | 226 | $6,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 7,308 | $6,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P203 | COM NEW | 14,800 | $6,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 368 | $6,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 1,958 | $6,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 679 | $6,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 500 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,024 | $6,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 654 | $6,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 521 | $6,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| WARREN RESOURCES INC | 93564A100 | COM | 11,219 | $6,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 139 | $6,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 875 | $6,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 7,339 | $6,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 440 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 500 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 575 | $6,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 300 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 369 | $6,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 471 | $6,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 28,817 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 298 | $6,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $6,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 587 | $6,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 482 | $6,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 3,042 | $6,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 275 | $6,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 300 | $6,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 600 | $6,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 221 | $6,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 826 | $6,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 1,942 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q635 | STOXX EURO 600 | 271 | $6,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 300 | $5,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 183 | $5,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 273 | $5,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 200 | $5,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 104 | $5,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 300 | $5,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $5,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 249 | $5,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 238 | $5,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 390 | $5,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 140 | $5,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 306 | $5,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 4,357 | $5,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 669 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $5,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 800 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 155 | $5,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,066 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,860 | $5,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 331 | $5,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 575 | $5,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,094 | $5,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 7,603 | $5,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 1,348 | $5,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 2,298 | $5,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 2,287 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,300 | $5,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 1,401 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,000 | $5,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 3,000 | $5,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 626 | $5,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,000 | $5,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 184 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $5,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 553 | $5,000 | thousands by filing date | |
| REVENUESHARES FINANCIALS | 761396506 | S&P500 FINL FD | 109 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 82 | $5,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $5,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 487 | $5,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 1,000 | $5,000 | thousands by filing date | principal |
| WSI INDS INC | 92932Q102 | COM | 900 | $5,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 426 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 223 | $5,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 4,012 | $5,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 391 | $5,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 387 | $5,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 993 | $5,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 245 | $5,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 572 | $5,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,300 | $5,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 540 | $5,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 3,811 | $5,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 324 | $5,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 100 | $5,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,420 | $5,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 16,124 | $5,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 991 | $5,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 519 | $5,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,180 | $4,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 841 | $4,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 325 | $4,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 463 | $4,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,750 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 90 | $4,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 200 | $4,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 200 | $4,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 395 | $4,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 300 | $4,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 254 | $4,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 45 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 600 | $4,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 118 | $4,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 100 | $4,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 646 | $4,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 350 | $4,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 158 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 230 | $4,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 610 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 70 | $4,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 298 | $4,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 100 | $4,000 | thousands by filing date | call |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 400 | $4,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 548 | $4,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 92 | $4,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 540 | $4,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 87 | $4,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 3,504 | $4,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 924 | $4,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 300 | $4,000 | thousands by filing date | put |
| MARINE PRODS CORP | 568427108 | cs | 578 | $4,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 256 | $4,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 294 | $4,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 1,062 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 400 | $4,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 536 | $4,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 1,774 | $4,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,000 | $4,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 257 | $4,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 125 | $4,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 1,539 | $4,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,093 | $4,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 292 | $4,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 1,745 | $4,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,000 | $4,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 573 | $4,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 150 | $4,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 3,000 | $4,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 471 | $4,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 275 | $4,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,500 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 191 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 179 | $4,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 1,800 | $4,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 2,000 | $4,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 228 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 260 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 604 | $4,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 103 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 65 | $4,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 6,000 | $4,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 200 | $4,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 600 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 200 | $4,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 364 | $4,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,042 | $4,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,071 | $4,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 211 | $4,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 274 | $4,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 391 | $4,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 200 | $4,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 209 | $4,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 377 | $4,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 376 | $4,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 519 | $4,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 589 | $4,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 650 | $4,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y833 | US 500 VOL WT | 112 | $4,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 70 | $3,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 200 | $3,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 681 | $3,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 300 | $3,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 303 | $3,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 187 | $3,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 447 | $3,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,586 | $3,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 330 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 526 | $3,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,082 | $3,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 145 | $3,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 100 | $3,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 438 | $3,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 453 | $3,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 367 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $3,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 156 | $3,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,200 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,000 | $3,000 | thousands by filing date | put |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,000 | $3,000 | thousands by filing date | call |
| RENTECH INC | 760112201 | COMMON STOCK | 632 | $3,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 326 | $3,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 608 | $3,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 500 | $3,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 1,000 | $3,000 | thousands by filing date | call |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 388 | $3,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 2,298 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,009 | $3,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,076 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 7,500 | $3,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 564 | $3,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 600 | $3,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 1,363 | $3,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 400 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 239 | $3,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 416 | $3,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 80 | $3,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 12,346 | $3,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 1,000 | $3,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 88 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 259 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 75 | $3,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 12,000 | $3,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 408 | $3,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 1,564 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 300 | $3,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 200 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 91 | $3,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 319 | $3,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 1,067 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 622 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 172 | $3,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 916 | $3,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $3,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,227 | $3,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 331 | $3,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 200 | $3,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 673 | $3,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 265 | $3,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 251 | $3,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 539 | $3,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 811 | $3,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 494 | $3,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,555 | $3,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 200 | $3,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 550 | $3,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 300 | $3,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 764 | $3,000 | thousands by filing date | |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 183 | $2,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 150 | $2,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,040 | $2,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 42 | $2,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,000 | $2,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 463 | $2,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 500 | $2,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 111 | $2,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 42 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 767 | $2,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 137 | $2,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 100 | $2,000 | thousands by filing date | put |
| RYERSON HLDG CORP | 783754104 | COM | 454 | $2,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 100 | $2,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 100 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 42 | $2,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 300 | $2,000 | thousands by filing date | call |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 528 | $2,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 44 | $2,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 89 | $2,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 97 | $2,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 3,000 | $2,000 | thousands by filing date | principal |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $2,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 415 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 420 | $2,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,053 | $2,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 133 | $2,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 217 | $2,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 400 | $2,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 710 | $2,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 226 | $2,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| AMYRIS INC | 03236M101 | COM | 1,181 | $2,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 800 | $2,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 901 | $2,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 204 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 16 | $2,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,000 | $2,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 355 | $2,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| FX ENERGY INC | 302695101 | COM | 2,000 | $2,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 2,209 | $2,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 307 | $2,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 2,500 | $2,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,070 | $2,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 258 | $2,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 1,600 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 6,635 | $2,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 1,000 | $2,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 754 | $2,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 413 | $2,000 | thousands by filing date | |
| ELONG - ADR | 290138205 | ADR | 103 | $2,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 17 | $2,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 29 | $2,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 9,758 | $2,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 2,000 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 78 | $2,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 500 | $2,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 906 | $2,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 373 | $2,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $2,000 | thousands by filing date | principal |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 5,535 | $2,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 626 | $2,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 403 | $2,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 661 | $2,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 400 | $2,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 412 | $2,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 100 | $2,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 100 | $2,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 524 | $2,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 477 | $2,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 200 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 367 | $2,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 1,226 | $2,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 555 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 98 | $2,000 | thousands by filing date | |
| Emerald Oil Inc | 29101U407 | Common Stock | 1,118 | $2,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 301 | $2,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 84 | $2,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 300 | $2,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 562 | $2,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 229 | $2,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 432 | $2,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 380 | $2,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 113 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A800 | FALAH RUS LG CAP | 100 | $2,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 706 | $1,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 100 | $1,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 121 | $1,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 19 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 26 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 1,090 | $1,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 183 | $1,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 62 | $1,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 103 | $1,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 17 | $1,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 50 | $1,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 40 | $1,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 62 | $1,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 81 | $1,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 42 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 40 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 9 | $1,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 218 | $1,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 24 | $1,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 48 | $1,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 84 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 40 | $1,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 200 | $1,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 9,107 | $1,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 38 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 196 | $1,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 59 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 250 | $1,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 62 | $1,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 58 | $1,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 80 | $1,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 108 | $1,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 100 | $1,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 22 | $1,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 108 | $1,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 39 | $1,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 241 | $1,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 400 | $1,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 1,424 | $1,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 39 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,000 | $1,000 | 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 |