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 |
|---|---|---|---|---|---|---|
| QUINSTREET INC | 74874Q100 | COM | 2,181 | $9,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 755 | $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 | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 1,016 | $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 | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,283 | $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 |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,329 | $9,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 1,728 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 467 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 755 | $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 | 9,518 | $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 | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 1,164 | $8,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 704 | $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 | |
| CHEGG INC | 163092109 | COM | 1,106 | $8,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,388 | $8,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 358 | $8,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,032 | $8,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,000 | $8,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 690 | $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 | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $8,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 4,360 | $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 | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 25,211 | $8,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 150 | $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 | 3,680 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,533 | $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 |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 554 | $7,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 474 | $7,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,270 | $7,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 159 | $7,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 475 | $7,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 98 | $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 | |
| DYNAMIC MATLS CORP | 267888105 | COM | 1,000 | $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 |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 209 | $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 | |
| XURA INC COM | 98420V107 | COM | 274 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,000 | $7,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 4,579 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q635 | STOXX EURO 600 | 271 | $7,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 300 | $6,000 | thousands by filing date | call |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 248 | $6,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,000 | $6,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 98 | $6,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 271 | $6,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 157 | $6,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 125 | $6,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 217 | $6,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 209 | $6,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 550 | $6,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $6,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 700 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 400 | $6,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $6,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 5,867 | $6,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 202 | $6,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 8,384 | $6,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 945 | $6,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,171 | $6,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,085 | $6,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 551 | $6,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 5,894 | $6,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 9,800 | $6,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 937 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 21,005 | $6,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 4,547 | $6,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 5,361 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 974 | $6,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 514 | $6,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 469 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 42 | $6,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 10,000 | $6,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 575 | $6,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 300 | $6,000 | thousands by filing date | |
| ISHARES TR | 46429B382 | MSCI EMKT LATN | 214 | $6,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $6,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 400 | $6,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 400 | $6,000 | thousands by filing date | |
| CSX CORP | 126408GA5 | US DOMESTIC | 2,000 | $6,000 | thousands by filing date | principal |
| SONUS NETWORKS INC | 835916503 | COM NEW | 839 | $6,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 582 | $6,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 401 | $6,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,098 | $6,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 97 | $6,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 140 | $6,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,420 | $6,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 826 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R846 | BRCLY HGH YIEL | 300 | $6,000 | thousands by filing date | |
| HERCULES OFFSHORE INC. | 427093307 | COM | 3,189 | $6,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,553 | $5,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 219 | $5,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 216 | $5,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 300 | $5,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,064 | $5,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 174 | $5,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 100 | $5,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 300 | $5,000 | thousands by filing date | put |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 165 | $5,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 100 | $5,000 | thousands by filing date | call |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 350 | $5,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 395 | $5,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 200 | $5,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 104 | $5,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 600 | $5,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $5,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 569 | $5,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 240 | $5,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 305 | $5,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 170 | $5,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 500 | $5,000 | thousands by filing date | call |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 523 | $5,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 545 | $5,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 128 | $5,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 508 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 276 | $5,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,057 | $5,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 214 | $5,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,434 | $5,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 571 | $5,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 438 | $5,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 301 | $5,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 338 | $5,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,000 | $5,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 181 | $5,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,092 | $5,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 500 | $5,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 612 | $5,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 2,117 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,000 | $5,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 71 | $5,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,000 | $5,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 900 | $5,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 184 | $5,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 410 | $5,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 110 | $5,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 223 | $5,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 1,098 | $5,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 981 | $5,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 582 | $5,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 1,692 | $5,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,672 | $5,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 166 | $5,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 324 | $5,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 116 | $5,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 614 | $5,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 482 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 200 | $5,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 419 | $4,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 191 | $4,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 101 | $4,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 170 | $4,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 250 | $4,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 325 | $4,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 243 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 76 | $4,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 32 | $4,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 121 | $4,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 802 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 600 | $4,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 914 | $4,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 239 | $4,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 1,221 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 340 | $4,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 1,148 | $4,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 230 | $4,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 800 | $4,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 618 | $4,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 1,406 | $4,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 685 | $4,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 770 | $4,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 500 | $4,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 2,900 | $4,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 153 | $4,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 92 | $4,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 300 | $4,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 435 | $4,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 654 | $4,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,000 | $4,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,461 | $4,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 349 | $4,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 445 | $4,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 235 | $4,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 8,234 | $4,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 3,000 | $4,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 275 | $4,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 2,000 | $4,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 1,800 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 91 | $4,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 229 | $4,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 28 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 504 | $4,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 1,850 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 260 | $4,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 900 | $4,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $4,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 604 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 426 | $4,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 103 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 170 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 200 | $4,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 229 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 114 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,480 | $4,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 574 | $4,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 175 | $4,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 2,493 | $4,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 188 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R301 | Cmn | 1,240 | $4,000 | thousands by filing date | |
| IDI INC | 44938L108 | COM | 600 | $4,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 180 | $3,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 429 | $3,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 206 | $3,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 142 | $3,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 85 | $3,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 218 | $3,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 88 | $3,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 314 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 195 | $3,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 246 | $3,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 155 | $3,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 104 | $3,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 350 | $3,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 526 | $3,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 180 | $3,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 247 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 325 | $3,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 156 | $3,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,200 | $3,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 127 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 949 | $3,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 660 | $3,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 148 | $3,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 225 | $3,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 421 | $3,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 600 | $3,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 99 | $3,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 193 | $3,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 84 | $3,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 3,892 | $3,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,200 | $3,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 500 | $3,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 126 | $3,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 800 | $3,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 320 | $3,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 576 | $3,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 343 | $3,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 930 | $3,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 891 | $3,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 428 | $3,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 473 | $3,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 197 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 239 | $3,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 1,000 | $3,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 9,390 | $3,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 2,000 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 259 | $3,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 400 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,200 | $3,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 28,343 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 300 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 261 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 6,000 | $3,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 183 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 172 | $3,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $3,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,877 | $3,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 3,000 | $3,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 254 | $3,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 171 | $3,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 925 | $3,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 154 | $3,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 107 | $3,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 500 | $3,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 1,467 | $3,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 141 | $3,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 261 | $3,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,000 | $3,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM | 759757107 | Stock | 2,000 | $3,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 1,792 | $3,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 400 | $2,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 113 | $2,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 100 | $2,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 94 | $2,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 20 | $2,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 3,393 | $2,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 463 | $2,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 101 | $2,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 244 | $2,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 98 | $2,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 42 | $2,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 62 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 757 | $2,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 200 | $2,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 244 | $2,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 150 | $2,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 73 | $2,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 33 | $2,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 257 | $2,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 100 | $2,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 401 | $2,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 100 | $2,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 79 | $2,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 170 | $2,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 88 | $2,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 748 | $2,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 260 | $2,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 210 | $2,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 42 | $2,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 55 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 44 | $2,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 3,000 | $2,000 | thousands by filing date | principal |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 339 | $2,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 3,000 | $2,000 | thousands by filing date | principal |
| EDGIO INC | 53261M104 | COM | 1,486 | $2,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 300 | $2,000 | thousands by filing date | put |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 90 | $2,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 298 | $2,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 310 | $2,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 900 | $2,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 200 | $2,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 7,000 | $2,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,053 | $2,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 73 | $2,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 1,012 | $2,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 103 | $2,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 482 | $2,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 1,000 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 28 | $2,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,250 | $2,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 711 | $2,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 726 | $2,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 501 | $2,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,076 | $2,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,420 | $2,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 4,560 | $2,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,000 | $2,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 982 | $2,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 112 | $2,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 80 | $2,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 96 | $2,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 314 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 91 | $2,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 821 | $2,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 300 | $2,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 14,265 | $2,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 111 | $2,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 899 | $2,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 300 | $2,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 1,005 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 39 | $2,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $2,000 | thousands by filing date | principal |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 775 | $2,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 2,185 | $2,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,498 | $2,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 501 | $2,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 476 | $2,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 400 | $2,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 120 | $2,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 477 | $2,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 301 | $2,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 1,526 | $2,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 600 | $2,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 555 | $2,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 451 | $2,000 | thousands by filing date | |
| Emerald Oil Inc | 29101U407 | Common Stock | 1,383 | $2,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 208 | $2,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 151 | $2,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 706 | $1,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 3 | $1,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 123 | $1,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 20 | $1,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 100 | $1,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 100 | $1,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 5,040 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 5,004 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 1,090 | $1,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 260 | $1,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 39 | $1,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 50 | $1,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 108 | $1,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 149 | $1,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 68 | $1,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 34 | $1,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 14 | $1,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 124 | $1,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 102 | $1,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 23 | $1,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 18 | $1,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 68 | $1,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 79 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 200 | $1,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 12 | $1,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 28 | $1,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 41 | $1,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 41 | $1,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 24 | $1,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 34 | $1,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 32 | $1,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 43 | $1,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 43 | $1,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 461 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 40 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 196 | $1,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 300 | $1,000 | thousands by filing date | call |
| CARBONITE INC | 141337105 | COM | 53 | $1,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 59 | $1,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 67 | $1,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 95 | $1,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 100 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 14 | $1,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,225 | $1,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 297 | $1,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 21 | $1,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 60 | $1,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 2,567 | $1,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 26 | $1,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 73 | $1,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 30 | $1,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 164 | $1,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 19 | $1,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 71 | $1,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 41 | $1,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 21 | $1,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 122 | $1,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 97 | $1,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 49 | $1,000 | 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 |