13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-16, with 6,777 holding rows worth $155,046,387,000.
- Accession
- 0001140361-16-053143
- Filer
- CIK 1000275
- Filed
- 2016-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 23,708 entries on the cover page, a total value of $155,046,387,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $155,046,387,000 with VALUE read as thousands by filing date, 13F file number 028-11396. A later restatement replaced it, so the quarter does not use it. 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 Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerRBC (BARBADOS) TRADING BANK CORPORATION
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerConvergent Wealth Advisors028-13933
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAston Asset Management, LLC028-12347
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
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 |
|---|---|---|---|---|---|---|
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 11,665 | $80,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,902 | $80,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 2,704 | $80,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 2,198 | $79,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 510 | $79,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 3,612 | $79,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 4,997 | $79,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 9,302 | $79,000 | thousands by filing date | |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 800 | $79,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 12,699 | $79,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 65,284 | $79,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 11,594 | $78,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 1,419 | $78,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 4,945 | $78,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 5,723 | $78,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 4,787 | $78,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 4,200 | $78,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 22,300 | $78,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 5,700 | $78,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 89,821 | $78,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $78,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 1,000 | $77,000 | thousands by filing date | put |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 7,034 | $77,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 2,918 | $77,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $77,000 | thousands by filing date | |
| PROSHARES TR | 74347X344 | ULTRASHT 3-7YR | 2,715 | $77,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R361 | Cmn | 1,861 | $77,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 14,948 | $76,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 46,081 | $76,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 4,738 | $76,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 6,961 | $76,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 1,642 | $76,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 2,479 | $75,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 22,944 | $75,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 1,438 | $75,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 13,155 | $75,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 7,070 | $75,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 1,435 | $75,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 283,201 | $75,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 2,193 | $75,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 1,308 | $75,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 28,875 | $74,000 | thousands by filing date | |
| FRESH MKT INC | 35804H106 | COM | 3,167 | $74,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 19,458 | $74,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 4,828 | $74,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,100 | $74,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,643 | $74,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 1,048 | $73,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 1,912 | $73,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 9,908 | $73,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 3,000 | $73,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 2,607 | $73,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 3,697 | $73,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 32,535 | $73,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 3,318 | $72,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 1,000 | $72,000 | thousands by filing date | put |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 1,478 | $72,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 3,643 | $72,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,014 | $72,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,622 | $72,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 5,322 | $72,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 7,862 | $72,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 44,175 | $72,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 2,235 | $72,000 | thousands by filing date | |
| PROSHARES ULTRASHORT MIDCAP 400 ETF | 74348A343 | ETF | 1,773 | $72,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 2,577 | $71,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 5,436 | $71,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 24,000 | $71,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 4,450 | $71,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,102 | $71,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 2,426 | $71,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 1,500 | $70,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 14,315 | $70,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 28,325 | $70,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 1,274 | $70,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 1,400 | $70,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 4,540 | $70,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 1,774 | $70,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 5,742 | $70,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 4,800 | $70,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 3,522 | $70,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 8,700 | $70,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 15,125 | $70,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $70,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 5,250 | $70,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 13,331 | $70,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 600 | $70,000 | thousands by filing date | principal |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 32,517 | $70,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 3,782 | $69,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,172 | $69,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 6,242 | $69,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 27,346 | $69,000 | thousands by filing date | |
| FERRARI NV | N3167J106 | COM | 1,415 | $69,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 15,350 | $68,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 4,958 | $68,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,678 | $68,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 607 | $68,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 4,757 | $67,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 4,000 | $67,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 135,241 | $67,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 7,987 | $67,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 6,669 | $67,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 3,784 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 3,981 | $67,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 4,000 | $67,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 10,135 | $67,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 229,897 | $67,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 10,968 | $67,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 1,391 | $67,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 1,961 | $67,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 7,000 | $67,000 | thousands by filing date | call |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $67,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 2,090 | $66,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 745 | $66,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 4,675 | $66,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 8,154 | $66,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 13,007 | $66,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 6,538 | $66,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $66,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 5,300 | $65,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 3,831 | $65,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,790 | $65,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,034 | $65,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 15,260 | $65,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 3,158 | $65,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 324 | $64,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 656 | $64,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 7,375 | $64,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 8,764 | $64,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 4,935 | $64,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 17,488 | $64,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 2,101 | $64,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 4,950 | $64,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 7,430 | $63,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 4,138 | $63,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 5,304 | $63,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 1,203 | $63,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 11,252 | $63,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 509 | $63,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 910 | $62,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 5,644 | $62,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,801 | $62,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 7,631 | $62,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 21,089 | $62,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 14,100 | $61,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 2,799 | $61,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 2,562 | $61,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 45 | $61,000 | thousands by filing date | principal |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 2,604 | $61,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 604 | $60,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 1,164 | $60,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 5,950 | $60,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 2,921 | $60,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,900 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,519 | $60,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 3,806 | $60,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 4,104 | $60,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,405 | $60,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 4,200 | $60,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,240 | $60,000 | thousands by filing date | |
| TIVO INC | 888706AF5 | NOTE 2.000%10/0 | 70,000 | $60,000 | thousands by filing date | principal |
| 1ST SOURCE CORP COM | 336901103 | Stock | 1,940 | $59,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 900 | $59,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 2,000 | $59,000 | thousands by filing date | call |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 3,550 | $59,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,159 | $59,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,775 | $59,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 1,931 | $59,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 584 | $59,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 3,314 | $59,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 5,700 | $59,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 1,128 | $59,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 5,093 | $59,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,000 | $59,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 12,000 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347B888 | CDS NA HY CRDT | 1,501 | $59,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 37,350 | $58,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 1,386 | $58,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 5,294 | $58,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 3,580 | $58,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 1,269 | $58,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 22,276 | $58,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 2,795 | $58,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 1,340 | $58,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 6,354 | $57,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 7,641 | $57,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 3,590 | $57,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 2,312 | $57,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 11,223 | $57,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 1,928 | $57,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 1,635 | $57,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,559 | $57,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,601 | $57,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,873 | $57,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 1,922 | $57,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 53,736 | $57,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 2,330 | $57,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 2,200 | $56,000 | thousands by filing date | put |
| OIL STS INTL INC | 678026105 | COM | 2,067 | $56,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 8,479 | $56,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,000 | $56,000 | thousands by filing date | call |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 2,173 | $56,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,167 | $56,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,401 | $56,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 3,204 | $56,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 2,380 | $56,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 3,200 | $56,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 2,300 | $56,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 1,000 | $55,000 | thousands by filing date | call |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,668 | $55,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 4,754 | $55,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 2,505 | $55,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 31,770 | $55,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 1,117 | $55,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 20,743 | $55,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $55,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 17,358 | $55,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,732 | $54,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 700 | $54,000 | thousands by filing date | call |
| OLD NATL BANCORP IND | 680033107 | COM | 3,981 | $54,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 1,000 | $54,000 | thousands by filing date | call |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 4,266 | $54,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,900 | $54,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 19,173 | $54,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,600 | $54,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,274 | $54,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 4,700 | $54,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 1,340 | $54,000 | thousands by filing date | principal |
| ATRICURE INC | 04963C209 | COM | 2,350 | $53,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 21,050 | $53,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 13,414 | $53,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 12,570 | $53,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 177,531 | $53,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 4,030 | $53,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 79,391 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 2,667 | $53,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,703 | $53,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 10,000 | $53,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 27,924 | $52,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 1,151 | $52,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 857 | $52,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 52,000 | $52,000 | thousands by filing date | principal |
| XOMA CORP DEL | 98419J107 | COM | 39,689 | $52,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 684 | $52,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 1,162 | $52,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,692 | $51,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 2,923 | $51,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,536 | $51,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 8,272 | $51,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 1,000 | $51,000 | thousands by filing date | call |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 387 | $51,000 | thousands by filing date | principal |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 2,021 | $51,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 19,894 | $51,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 1,028 | $50,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 400 | $50,000 | thousands by filing date | call |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 2,724 | $50,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $50,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,380 | $50,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 4,722 | $50,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 2,154 | $50,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 1,601 | $50,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 2,400 | $50,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 3,707 | $50,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 40,829 | $49,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 2,916 | $49,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 2,470 | $49,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 624 | $49,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 2,024 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 1,016 | $49,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,865 | $49,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 2,817 | $48,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 4,414 | $48,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 8,614 | $48,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 4,394 | $48,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 34,253 | $48,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,900 | $48,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 500 | $47,000 | thousands by filing date | call |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 3,693 | $47,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,830 | $47,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 6,365 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 4,174 | $47,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 5,317 | $47,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 2,664 | $47,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,785 | $47,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,300 | $47,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 2,000 | $47,000 | thousands by filing date | put |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 1,930 | $47,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 49,662 | $47,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 1,856 | $46,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 7,000 | $46,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 49,678 | $46,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 2,822 | $46,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,915 | $46,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,515 | $46,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,045 | $46,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 2,697 | $46,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,000 | $46,000 | thousands by filing date | put |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 7,000 | $46,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,400 | $46,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,620 | $46,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 642 | $46,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 2,056 | $46,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 3,249 | $46,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 500 | $46,000 | thousands by filing date | principal |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,000 | $45,000 | thousands by filing date | put |
| AH RLTY TR INC | 04208T108 | COM | 4,335 | $45,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 300 | $45,000 | thousands by filing date | put |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,116 | $45,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 2,901 | $45,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 4,241 | $45,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $45,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 4,577 | $45,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 4,877 | $45,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 4,503 | $45,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 756 | $45,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 33,941 | $45,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 6,000 | $45,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 1,451 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 3,683 | $44,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 300 | $44,000 | thousands by filing date | put |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,991 | $44,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 5,832 | $44,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 5,639 | $44,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,337 | $44,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,856 | $44,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 1,000 | $43,000 | thousands by filing date | call |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 2,833 | $43,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 11,711 | $43,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 2,781 | $43,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 1,000 | $43,000 | thousands by filing date | put |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 3,276 | $43,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,015 | $43,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 25,300 | $43,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 2,510 | $43,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y686 | DLY EMRGMKT BULL | 3,702 | $43,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $43,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 2,804 | $43,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 462 | $43,000 | thousands by filing date | |
| HUNTINGTON STRATEGY SHS | 446698201 | ECOL STRAT ETF | 1,202 | $43,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,000 | $42,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 2,098 | $42,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,825 | $42,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $42,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,056 | $42,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 205,784 | $42,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 13,350 | $42,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,191 | $42,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 3,346 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 2,515 | $42,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 2,100 | $42,000 | thousands by filing date | call |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,250 | $42,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 2,531 | $41,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 4,000 | $41,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 1,563 | $41,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 3,814 | $41,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 6,331 | $41,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 3,102 | $41,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,334 | $41,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 18,153 | $41,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 3,000 | $41,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 20,027 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,803 | $41,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,220 | $41,000 | thousands by filing date | principal |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 12,400 | $41,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 600 | $40,000 | thousands by filing date | call |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 3,358 | $40,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 5,370 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 999 | $40,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,235 | $40,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 3,901 | $40,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,881 | $40,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 106 | $40,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 39,913 | $40,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,708 | $40,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 37,038 | $40,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 27,715 | $40,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 2,350 | $40,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 650 | $40,000 | thousands by filing date | principal |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 3,223 | $39,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $39,000 | thousands by filing date | put |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 700 | $39,000 | thousands by filing date | put |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 594 | $39,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 2,538 | $39,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 4,160 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 2,345 | $39,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 4,200 | $39,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 3,102 | $39,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 1,956 | $39,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 2,388 | $39,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 8,436 | $39,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 8,296 | $38,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,286 | $38,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 5,000 | $38,000 | thousands by filing date | put |
| SOTHERLY HOTELS INC | 83600C103 | COM | 6,209 | $38,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 3,298 | $38,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 2,914 | $38,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 491 | $38,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 1,423 | $38,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 1,744 | $38,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 5,973 | $38,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 200,006 | $38,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,976 | $38,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 10,000 | $38,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 200 | $37,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 2,344 | $37,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,772 | $37,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 2,661 | $37,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 800 | $37,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 28,000 | $37,000 | thousands by filing date | principal |
| RTI BIOLOGICS INC | 74975N105 | COM | 9,335 | $37,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,600 | $37,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 12,763 | $36,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 2,294 | $36,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 926 | $36,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 11,494 | $36,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,249 | $36,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,003 | $36,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,115 | $36,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 62,500 | $36,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 10,010 | $36,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 1,139 | $36,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 3,023 | $36,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 718 | $35,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 1,264 | $35,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $35,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 6,872 | $35,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,832 | $35,000 | thousands by filing date | |
| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 2,225 | $35,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 2,786 | $35,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 750 | $35,000 | thousands by filing date | principal |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,000 | $35,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,000 | $35,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,591 | $35,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 2,214 | $35,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $35,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 3,941 | $35,000 | thousands by filing date | |
| AVOLON HLDGS LTD | G52237107 | COM | 1,128 | $35,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,757 | $35,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,000 | $34,000 | thousands by filing date | put |
| PPL CORP COM | 69351T106 | Stock | 1,000 | $34,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,650 | $34,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,435 | $34,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,629 | $34,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 2,619 | $34,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 43,510 | $34,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 21,305 | $34,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 3,000 | $34,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 1,400 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X820 | Cmn | 8,231 | $34,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 3,005 | $33,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 4,481 | $33,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,900 | $33,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 5,300 | $33,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 1,000 | $33,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 11,925 | $33,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 1,284 | $33,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,824 | $33,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 45,658 | $33,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 35,000 | $33,000 | thousands by filing date | principal |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 500,000 | $33,000 | thousands by filing date | principal |
| TURTLE BEACH CORP COM | 900450107 | Stock | 16,476 | $33,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 1,829 | $33,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 5,668 | $32,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 740 | $32,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 933 | $32,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $32,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 400 | $32,000 | thousands by filing date | call |
| FIRST BUSEY CORP | 319383204 | COM NEW | 1,542 | $32,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 2,945 | $32,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 4,219 | $32,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 300 | $32,000 | thousands by filing date | call |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 11,861 | $32,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 573 | $32,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 8,959 | $32,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 2,200 | $32,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 2,900 | $32,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 500 | $31,000 | thousands by filing date | put |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,286 | $31,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,960 | $31,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,000 | $31,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 17,364 | $31,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 13,033 | $31,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 2,000 | $31,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,000 | $31,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,335 | $31,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,234 | $30,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 346 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 600 | $30,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,300 | $30,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 573 | $30,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 5,118 | $30,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 1,000 | $30,000 | thousands by filing date | put |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 1,100 | $30,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 6,443 | $30,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 10,093 | $30,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 9,783 | $30,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 4,500 | $30,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 15,976 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 876 | $30,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-053143 | this filing | 2016-02-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-069027 | base | 2016-06-08 | acceptance time not in the bulk data set |