13F-HR/A filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR/A for the quarter ended 2015-12-31, filed 2016-06-08, with 6,854 holding rows worth $152,069,448,000.
- Accession
- 0001140361-16-069027
- Filer
- CIK 1000275
- Filed
- 2016-06-08
- 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, amendment of type restatement, 28,509 entries on the cover page, a total value of $152,069,448,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $152,069,448,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerROYAL BANK OF CANADA TRUST CO (BAHAMAS) LTD028-12693
- included managerRBC TRUSTEES (C.I.) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerRBC (Barbados) Trading Bank Corp028-17343
- 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 |
|---|---|---|---|---|---|---|
| II VI INC | 902104108 | COM | 11,069 | $205,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 3,943 | $205,000 | thousands by filing date | |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 2,629 | $205,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 7,242 | $205,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 7,126 | $205,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 2,000 | $204,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 15,592 | $204,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 4,136 | $203,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 11,928 | $203,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 5,914 | $203,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 6,662 | $203,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 14,446 | $202,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 16,720 | $202,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 17,736 | $202,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 4,000 | $202,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 14,390 | $202,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 2,500 | $201,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 28,810 | $201,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 23,508 | $201,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 73,098 | $201,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 12,740 | $201,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 17,015 | $201,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 6,859 | $200,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 9,730 | $200,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 21,688 | $200,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 6,845 | $200,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 70,615 | $200,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 4,338 | $199,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 10,410 | $199,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 5,100 | $199,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 258,295 | $199,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 10,817 | $199,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 48,427 | $198,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 24,700 | $198,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 409,165 | $197,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 24,200 | $197,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 5,147 | $196,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 14,053 | $196,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 9,416 | $196,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 11,956 | $196,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 15,336 | $195,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 79,900 | $195,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 11,110 | $194,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 15,760 | $192,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 4,692 | $192,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 11,740 | $192,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 28,073 | $191,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 42,806 | $191,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 5,050 | $191,000 | thousands by filing date | put |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 20,767 | $191,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 13,427 | $191,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 9,268 | $190,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 1,800 | $190,000 | thousands by filing date | put |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 2,710 | $189,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 6,954 | $189,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 1,300 | $189,000 | thousands by filing date | call |
| REGIS CORP | 758932107 | COM | 13,441 | $189,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,300 | $188,000 | thousands by filing date | call |
| YORK WATER CO | 987184108 | COMMON STOCK | 7,521 | $188,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 10,900 | $188,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 7,912 | $188,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 2,500 | $187,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 9,686 | $187,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 7,550 | $186,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 4,069 | $185,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 5,152 | $185,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 8,919 | $184,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 41,948 | $184,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 14,140 | $184,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 2,700 | $183,000 | thousands by filing date | call |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 6,840 | $183,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,500 | $183,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 17,571 | $183,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 23,847 | $183,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 20,200 | $183,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 9,363 | $182,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 14,694 | $182,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 21,213 | $182,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 13,067 | $182,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 12,103 | $182,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 17,739 | $182,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 23,712 | $181,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 28,648 | $181,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 17,028 | $181,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 15,100 | $181,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,964 | $181,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 7,309 | $181,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 2,849 | $181,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 7,442 | $180,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 50,000 | $180,000 | thousands by filing date | put |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 5,741 | $180,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 21,008 | $180,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 23,492 | $180,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 19,150 | $179,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 10,757 | $179,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 9,821 | $179,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 32,226 | $179,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 7,177 | $179,000 | thousands by filing date | principal |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 5,624 | $179,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 26,108 | $179,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 8,595 | $179,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 7,959 | $179,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,560 | $178,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 7,860 | $178,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 7,413 | $178,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 13,161 | $178,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 2,982 | $177,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 115,709 | $177,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 2,706 | $176,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 22,610 | $176,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 5,551 | $175,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 39,697 | $175,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 5,323 | $175,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 13,581 | $175,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 74,018 | $175,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 5,978 | $175,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 7,160 | $175,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 26,585 | $174,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 12,842 | $173,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 1,974 | $173,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 8,700 | $173,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 8,909 | $173,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 10,487 | $172,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 17,570 | $172,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 2,927 | $172,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 90,777 | $172,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 9,395 | $172,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 14,198 | $172,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 4,460 | $171,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 5,514 | $170,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 12,250 | $170,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 13,897 | $170,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 7,571 | $170,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 8,580 | $170,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 5,970 | $169,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 3,519 | $169,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 342 | $169,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 3,400 | $169,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 170,000 | $169,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 494,288 | $168,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 5,546 | $168,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 33,306 | $168,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 24,222 | $167,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 12,506 | $167,000 | thousands by filing date | |
| BLACKROCK DEFINED OPPRTY CR | 09255Q105 | COM | 12,828 | $167,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 2,045 | $167,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 5,799 | $166,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 13,060 | $165,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 3,943 | $164,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 4,790 | $164,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 10,000 | $164,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 18,498 | $164,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 4,556 | $164,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 12,115 | $163,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 12,506 | $163,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 8,081 | $163,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 11,814 | $163,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 107,273 | $163,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 1,600 | $162,000 | thousands by filing date | put |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 19,569 | $162,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 3,400 | $162,000 | thousands by filing date | put |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 151,494 | $162,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 15,014 | $161,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 15,200 | $161,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 10,049 | $161,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 15,715 | $161,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 2,820 | $160,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 8,857 | $160,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 7,134 | $160,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 4,083 | $160,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 3,825 | $159,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 3,773 | $159,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 5,607 | $159,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 25,554 | $159,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 17,490 | $158,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 1,120 | $158,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 8,300 | $158,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 9,393 | $158,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 7,532 | $158,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 10,299 | $158,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,902 | $157,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 5,230 | $157,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 13,253 | $157,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 32,724 | $157,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 9,400 | $157,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 2,035 | $156,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 5,440 | $156,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 11,368 | $156,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 129,265 | $156,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 7,835 | $155,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 6,569 | $155,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550107 | CL A | 7,077 | $155,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,009 | $154,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 4,384 | $154,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 9,662 | $154,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 19,188 | $154,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 1,651 | $153,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 7,403 | $153,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 10,073 | $153,000 | thousands by filing date | |
| WAUSAU PAPER CORP | 943315101 | COM | 14,984 | $153,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 6,760 | $153,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 3,955 | $153,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 3,400 | $152,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 2,500 | $152,000 | thousands by filing date | principal |
| GOLUB CAP BDC INC | 38173M102 | COM | 9,098 | $151,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,421 | $151,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 153,364 | $151,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 6,258 | $151,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 28,378 | $151,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 19,500 | $151,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 35,535 | $151,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 8,490 | $151,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 3,256 | $150,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 12,095 | $150,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 35,870 | $150,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 7,031 | $150,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 9,862 | $150,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 8,736 | $149,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 3,970 | $148,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 12,145 | $148,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 6,460 | $148,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 211 | $148,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 2,872 | $147,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 31,502 | $147,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 11,000 | $147,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 27,769 | $147,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 2,813 | $147,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 4,318 | $147,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 16,075 | $147,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 22,548 | $146,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 1,829 | $146,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,529 | $146,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 37,983 | $146,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 10,738 | $146,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 2,000 | $145,000 | thousands by filing date | put |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 10,825 | $145,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 21,181 | $144,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 6,904 | $144,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 17,589 | $144,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 44,998 | $144,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 2,868 | $143,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 6,405 | $143,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 17,575 | $143,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 1,800 | $143,000 | thousands by filing date | call |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,277 | $143,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 2,040 | $142,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 2,588 | $142,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 10,042 | $142,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 52,312 | $141,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 11,400 | $141,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 13,404 | $141,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 18,314 | $140,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 11,750 | $140,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 6,805 | $140,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 10,297 | $139,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 8,807 | $139,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 8,446 | $139,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 16,200 | $139,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 7,040 | $139,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 3,502 | $138,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 27,958 | $138,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 25,000 | $138,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 4,380 | $138,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 15,108 | $138,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 95,637 | $138,000 | thousands by filing date | |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 82,000 | $138,000 | thousands by filing date | principal |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 9,250 | $137,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 9,047 | $137,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 21,664 | $137,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 8,804 | $137,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 10,356 | $137,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 2,592 | $136,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 7,023 | $136,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 941 | $136,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 7,924 | $135,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 13,200 | $135,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 24,518 | $135,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 15,509 | $135,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 13,108 | $134,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 23,270 | $134,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 25,786 | $134,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 16,215 | $134,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 5,965 | $134,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 26,450 | $133,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 2,187 | $133,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 44,322 | $133,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 11,570 | $133,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 3,891 | $133,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 4,434 | $132,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 2,987 | $131,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 9,826 | $131,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 11,233 | $131,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 40,403 | $131,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,815 | $131,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 28,050 | $131,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 41,329 | $130,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 3,102 | $128,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 8,656 | $128,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 7,405 | $128,000 | thousands by filing date | |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 14,970 | $128,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 12,383 | $127,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 8,582 | $127,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 25,000 | $127,000 | thousands by filing date | call |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 11,582 | $127,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 2,500 | $126,000 | thousands by filing date | put |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 12,300 | $126,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 25,177 | $126,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 71,828 | $126,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 13,770 | $125,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 2,467 | $124,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 7,970 | $124,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 12,350 | $124,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 4,331 | $124,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 1,225 | $124,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 19,715 | $123,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 6,101 | $123,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 12,000 | $123,000 | thousands by filing date | put |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 3,548 | $123,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 4,553 | $123,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 15,992 | $122,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 4,575 | $122,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 8,166 | $122,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 10,570 | $121,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 7,863 | $121,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 7,704 | $121,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 7,655 | $121,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 13,435 | $121,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 8,647 | $120,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 8,056 | $120,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 3,775 | $120,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 5,014 | $119,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 8,916 | $119,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 11,122 | $119,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,206 | $119,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 19,167 | $119,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U225 | RETAIL ETF | 1,535 | $119,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,517 | $118,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 5,421 | $118,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,601 | $118,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 14,783 | $118,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 3,245 | $118,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 88,345 | $118,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 4,685 | $118,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 9,200 | $118,000 | thousands by filing date | put |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 6,072 | $118,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 9,324 | $117,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,811 | $117,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 8,015 | $117,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 43,500 | $117,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 3,895 | $117,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 60,969 | $117,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 5,029 | $116,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 35,144 | $115,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 4,175 | $115,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 3,354 | $115,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 11,399 | $115,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 2,143 | $115,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 2,600 | $115,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 28,920 | $114,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,043 | $114,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,657 | $114,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 31,118 | $114,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 10,488 | $114,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 1,237 | $113,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 5,877 | $113,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 5,279 | $113,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 4,838 | $113,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 619 | $113,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 4,184 | $113,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 9,702 | $113,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 4,365 | $113,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 6,674 | $113,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 10,965 | $113,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 8,215 | $112,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 4,725 | $112,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $112,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 23,000 | $112,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 2,693 | $111,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 7,500 | $111,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 9,415 | $111,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,300 | $110,000 | thousands by filing date | call |
| TOPBUILD COR COM | 89055F103 | Stock | 3,601 | $110,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 85,000 | $110,000 | thousands by filing date | call |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 6,958 | $110,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 107 | $110,000 | thousands by filing date | principal |
| ISHARES INC | 46434G608 | MSCI EMRGN ETF | 6,290 | $110,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 4,315 | $109,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 6,218 | $109,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 1,637 | $109,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 17,459 | $109,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 8,200 | $109,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 4,400 | $108,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 7,726 | $108,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 2,734 | $107,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 3,661 | $107,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 3,081 | $107,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 10,495 | $107,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 4,144 | $107,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 5,114 | $106,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 8,890 | $106,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $106,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 15,316 | $106,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 854 | $106,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 13,300 | $105,000 | thousands by filing date | call |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 9,710 | $105,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 3,306 | $105,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 8,194 | $105,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 3,906 | $104,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 7,750 | $104,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 23,053 | $104,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 6,135 | $104,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 4,205 | $104,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 1,114 | $104,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 2,447 | $103,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 13,337 | $103,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,097 | $103,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 3,482 | $103,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 5,492 | $103,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,687 | $103,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 5,886 | $102,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 5,669 | $102,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 4,504 | $102,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 11,150 | $102,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 5,872 | $101,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 10,195 | $101,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 10,708 | $101,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 8,381 | $100,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 5,570 | $100,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 3,600 | $100,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 16,293 | $100,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 6,607 | $100,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,600 | $100,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 9,902 | $100,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 17,265 | $99,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 11,602 | $99,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 8,839 | $98,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 4,450 | $98,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 5,375 | $98,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 8,000 | $98,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 54,784 | $98,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 10,462 | $97,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 3,030 | $97,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 5,100 | $97,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 5,617 | $97,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 1,934 | $97,000 | thousands by filing date | principal |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 8,000 | $97,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 2,100 | $97,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 6,749 | $96,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 3,525 | $96,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 42,212 | $96,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 6,789 | $96,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 6,518 | $96,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 6,358 | $96,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,400 | $95,000 | thousands by filing date | put |
| PETMED EXPRESS INC | 716382106 | COM | 5,572 | $95,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 55,050 | $95,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 1,926 | $94,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 12,792 | $94,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 44,967 | $94,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 2,500 | $94,000 | thousands by filing date | put |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 20,335 | $94,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 3,784 | $94,000 | thousands by filing date | principal |
| FTD COS INC | 30281V108 | COM | 3,607 | $94,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,899 | $94,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 1,500 | $93,000 | thousands by filing date | put |
| ALLSTATE CORP COM | 020002101 | Stock | 1,500 | $93,000 | thousands by filing date | call |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 2,323 | $93,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 847 | $93,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 8,300 | $93,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 5,500 | $93,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 1,294 | $93,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 925 | $92,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 67,942 | $92,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 3,078 | $92,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,729 | $92,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 12,795 | $92,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 16,251 | $92,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 3,649 | $92,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 1,400 | $91,000 | thousands by filing date | put |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 112,674 | $91,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 9,357 | $91,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 10,599 | $91,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 36,485 | $91,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 3,225 | $91,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 6,284 | $91,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 100,000 | $91,000 | thousands by filing date | principal |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 3,160 | $91,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 21,776 | $90,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 12,391 | $90,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 5,380 | $90,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 23,500 | $90,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 14,400 | $90,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 3,185 | $90,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 1,659 | $90,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 1,650 | $90,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 663 | $89,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 6,400 | $89,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 24,892 | $89,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 156,904 | $89,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 6,980 | $89,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-053143 | superseded | 2016-02-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-069027 | this filing | 2016-06-08 | acceptance time not in the bulk data set |