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 |
|---|---|---|---|---|---|---|
| NEOVASC INC COM STK | 64065J106 | COM | 6,485 | $30,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,000 | $30,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 3,390 | $30,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,670 | $29,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,306 | $29,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 724 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $29,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,036 | $29,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 807 | $29,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 606 | $29,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,000 | $29,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 4,281 | $29,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,033 | $29,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 28,068 | $29,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 2,304 | $29,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 17,800 | $29,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $29,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 800 | $29,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 958 | $28,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 200 | $28,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 1,854 | $28,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 17,627 | $28,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 6,703 | $28,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 12,873 | $28,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,000 | $28,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 1,303 | $28,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 1,416 | $28,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,000 | $27,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 10,843 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 1,607 | $27,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,188 | $27,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,251 | $27,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 1,189 | $27,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,238 | $27,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 4,298 | $27,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 1,399 | $27,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $27,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 613 | $27,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 3,000 | $27,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 466 | $26,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,026 | $26,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 2,767 | $26,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 2,250 | $26,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $26,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,135 | $26,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 674 | $26,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 420 | $26,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 637 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 3,509 | $26,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 1,000 | $26,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,950 | $26,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,680 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 250 | $26,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $26,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,002 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 404 | $25,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,641 | $25,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 584 | $25,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 14,953 | $25,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,788 | $25,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 875 | $25,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 1,954 | $25,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 4,570 | $25,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,212 | $25,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 463 | $25,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 1,434 | $25,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 1,800 | $25,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 2,000 | $25,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 1,266 | $25,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,165 | $25,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 620 | $25,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 500 | $24,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 500 | $24,000 | thousands by filing date | call |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,073 | $24,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,286 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 300 | $24,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 4,693 | $24,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,300 | $24,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 19,850 | $24,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 1,607 | $24,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 7,000 | $24,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $24,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 29,843 | $24,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,800 | $24,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 950 | $24,000 | thousands by filing date | principal |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,391 | $24,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 10,500 | $24,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 501 | $24,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,623 | $24,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 5,455 | $24,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 946 | $23,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 884 | $23,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,325 | $23,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 10,760 | $23,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 1,600 | $23,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 519 | $23,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 862 | $23,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 848 | $23,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 2,363 | $23,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 125,241 | $23,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 700 | $23,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 543 | $23,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $23,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 527 | $23,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 1,405 | $23,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 30,000 | $23,000 | thousands by filing date | principal |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 406 | $22,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 850 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 483 | $22,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,669 | $22,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 338 | $22,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 6,191 | $22,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 759 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 519 | $22,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 3,450 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 1,000 | $22,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $22,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,426 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 750 | $22,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,000 | $22,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 2,700 | $22,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 1,234 | $22,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $21,000 | thousands by filing date | put |
| JBT MAREL CORPORATION | 477839104 | COM | 423 | $21,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 832 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,500 | $21,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 346 | $21,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 3,890 | $21,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,800 | $21,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $21,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $21,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 393 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 576 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 500 | $21,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $21,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 521 | $21,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 789 | $21,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,119 | $21,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 200 | $21,000 | thousands by filing date | call |
| PEPCO HOLDINGS INC | 713291102 | COM | 800 | $21,000 | thousands by filing date | put |
| POINTS INTL LTD | 730843208 | COM NEW | 2,230 | $21,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 800 | $21,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 2,090 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 736 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 400 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E150 | GF CHINA BD ET | 600 | $21,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 299 | $20,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 14,554 | $20,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 908 | $20,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $20,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,530 | $20,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 699 | $20,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 11,885 | $20,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 500 | $20,000 | thousands by filing date | put |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 22,385 | $20,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 453 | $20,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 4,068 | $20,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 1,000 | $20,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 776 | $20,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 1,030 | $20,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,253 | $20,000 | thousands by filing date | |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 4,280 | $20,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 433 | $19,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 300 | $19,000 | thousands by filing date | call |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 3,518 | $19,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 4,079 | $19,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,650 | $19,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 879 | $19,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,500 | $19,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 3,850 | $19,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,000 | $19,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,885 | $19,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 1,802 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $19,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 351 | $19,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,300 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 300 | $19,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 1,000 | $18,000 | thousands by filing date | call |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 656 | $18,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 1,100 | $18,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,210 | $18,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,620 | $18,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 200 | $18,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,828 | $18,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 2,454 | $18,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 25,400 | $18,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 14,680 | $18,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 3,243 | $18,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 10,000 | $18,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 15,000 | $18,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,345 | $18,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,522 | $18,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,420 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 740 | $18,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 18,264 | $18,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 993 | $18,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 311 | $18,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 2,330 | $18,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 5,001 | $18,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 797 | $18,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 200 | $17,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 1,000 | $17,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 2,300 | $17,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 594 | $17,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,125 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 934 | $17,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 440 | $17,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,425 | $17,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,102 | $17,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,500 | $17,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $17,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 2,064 | $17,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 882 | $17,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 21,084 | $17,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,323 | $17,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,162 | $17,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,500 | $17,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,187 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 751 | $17,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,700 | $17,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,536 | $17,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 1,230 | $17,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 2,039 | $17,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,749 | $16,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 374 | $16,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 4,021 | $16,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 200 | $16,000 | thousands by filing date | call |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,000 | $16,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,300 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 916 | $16,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 3,439 | $16,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 968 | $16,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,413 | $16,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 500 | $16,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 7,225 | $16,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 174,680 | $16,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 418 | $16,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 367 | $16,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $16,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,558 | $16,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $16,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 665 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 165 | $16,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 2,250 | $16,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 1,488 | $16,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,246 | $16,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 336 | $16,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 308 | $16,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 950 | $16,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 100 | $15,000 | thousands by filing date | call |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,150 | $15,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 340 | $15,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,148 | $15,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,035 | $15,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 263 | $15,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 400 | $15,000 | thousands by filing date | call |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 817 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 285 | $15,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $15,000 | thousands by filing date | principal |
| NOODLES & CO | 65540B105 | COM CL A | 1,572 | $15,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 10,159 | $15,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 792 | $15,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 633 | $15,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 500 | $15,000 | thousands by filing date | put |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,500 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 355 | $15,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 1,789 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 318 | $15,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 543 | $15,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,434 | $15,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 726 | $15,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,388 | $15,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 2,915 | $14,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 951 | $14,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,000 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 371 | $14,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,350 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 393 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,000 | $14,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,985 | $14,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 206 | $14,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 7,397 | $14,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 7,040 | $14,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 707 | $14,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,200 | $14,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,000 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 561 | $14,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 798 | $14,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,570 | $14,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 10,000 | $14,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 309 | $14,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,000 | $14,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 1,400 | $14,000 | thousands by filing date | |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 950 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 330 | $13,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,240 | $13,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 432 | $13,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 248 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,500 | $13,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,000 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 180 | $13,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 8,351 | $13,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 761 | $13,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 165 | $13,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,923 | $13,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $13,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 11,251 | $13,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 500 | $13,000 | thousands by filing date | principal |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 500 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 233 | $13,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,003 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $13,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 1,016 | $13,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 4,800 | $13,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 1,000 | $13,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 1,000 | $13,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 1,000 | $13,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 125 | $12,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 277 | $12,000 | thousands by filing date | |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 546 | $12,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 100 | $12,000 | thousands by filing date | put |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 170 | $12,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 369 | $12,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 114 | $12,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $12,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 1,300 | $12,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $12,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 290 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $12,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,000 | $12,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,000 | $12,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 23,896 | $12,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 10,423 | $12,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 3,054 | $12,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,000 | $12,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 396 | $12,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,850 | $12,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 540 | $12,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,500 | $12,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 400 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 470 | $12,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 412 | $12,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 846 | $12,000 | thousands by filing date | |
| OCATA THERAPEUTICS INC | 67457L100 | COM | 1,432 | $12,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 400 | $11,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 61 | $11,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 100 | $11,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $11,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 187 | $11,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 365 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 1,221 | $11,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 270 | $11,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 300 | $11,000 | thousands by filing date | put |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 500 | $11,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 943 | $11,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,367 | $11,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 1,126 | $11,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 1,443 | $11,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,175 | $11,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 25,060 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 493 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 450 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,134 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $11,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 2,403 | $11,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 484 | $11,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 8,013 | $11,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 312 | $11,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 205 | $11,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 21,421 | $11,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 96 | $10,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 100 | $10,000 | thousands by filing date | call |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,821 | $10,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 400 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 400 | $10,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,350 | $10,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 557 | $10,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 355 | $10,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 995 | $10,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 418 | $10,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,363 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 246 | $10,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,978 | $10,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 11,500 | $10,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 19,415 | $10,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 417 | $10,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 9,000 | $10,000 | thousands by filing date | principal |
| ULTRATECH INC | 904034105 | COM | 492 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 415 | $10,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 345 | $10,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 695 | $10,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,440 | $10,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $10,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 300 | $10,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 600 | $10,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 2,353 | $10,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 545 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 400 | $10,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 375 | $10,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 800 | $9,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 300 | $9,000 | thousands by filing date | put |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 188 | $9,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $9,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 800 | $9,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 290 | $9,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $9,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 900 | $9,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 188 | $9,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,181 | $9,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 755 | $9,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 650 | $9,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 100 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 288 | $9,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $9,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 700 | $9,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 654 | $9,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 239 | $9,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 321 | $9,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,000 | $9,000 | thousands by filing date | principal |
| INFOBLOX INC | 45672H104 | COM | 517 | $9,000 | thousands by filing date | |
| SOLARWINDS INC | 83416B109 | COM | 149 | $9,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 172 | $9,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 467 | $9,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 500 | $9,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $9,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 2,620 | $9,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 441 | $9,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 500 | $9,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,074 | $9,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,500 | $9,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 9,418 | $9,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 100 | $8,000 | thousands by filing date | put |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 1,381 | $8,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 724 | $8,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 984 | $8,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 500 | $8,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,000 | $8,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,120 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 200 | $8,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,735 | $8,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 47,500 | $8,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 872 | $8,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 500 | $8,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 4,400 | $8,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $8,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 4,300 | $8,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 800 | $8,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 200 | $8,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 7,068 | $8,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 25,211 | $8,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 493 | $8,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 300 | $8,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,312 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 549 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 3,544 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 422 | $8,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,300 | $8,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 365 | $8,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 200 | $7,000 | thousands by filing date | put |
| EOG RES INC COM | 26875P101 | Stock | 100 | $7,000 | thousands by filing date | put |
| RAPID7 INC COM | 753422104 | Stock | 474 | $7,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 351 | $7,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 202 | $7,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 550 | $7,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 475 | $7,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 401 | $7,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 594 | $7,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 791 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 565 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 272 | $7,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $7,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 354 | $7,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 3,683 | $7,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,600 | $7,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 969 | $7,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,000 | $7,000 | thousands by filing date | call |
| TEXTURA CORP | 883211104 | COM | 320 | $7,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 742 | $7,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 450 | $7,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 862 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 3,550 | $7,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 5,000 | $7,000 | thousands by filing date | principal |
| CHEROKEE INC | 16444H102 | COM | 380 | $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 | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 580 | $7,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,441 | $7,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 892 | $7,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 440 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 250 | $7,000 | 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 |