13F-HR/A filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR/A for the quarter ended 2016-03-31, filed 2016-06-08, with 6,457 holding rows worth $160,860,856,000.
- Accession
- 0001140361-16-069030
- 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 Q1 2016
A holdings report, amendment of type restatement, 26,349 entries on the cover page, a total value of $160,860,856,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $160,860,856,000 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 |
|---|---|---|---|---|---|---|
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 18,582 | $159,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 11,400 | $159,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 8,298 | $159,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 11,869 | $158,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 14,697 | $158,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,753 | $158,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 14,000 | $158,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 9,400 | $158,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,000 | $157,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 7,109 | $157,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 6,760 | $157,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 5,585 | $156,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 115,700 | $156,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 15,515 | $156,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 18,782 | $156,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 5,710 | $155,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 8,857 | $155,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 6,915 | $155,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 14,654 | $155,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 7,040 | $155,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 20,330 | $155,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 4,400 | $155,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 858 | $154,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,400 | $154,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 3,399 | $154,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 2,000 | $153,000 | thousands by filing date | put |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 4,262 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 9,380 | $153,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 1,370 | $153,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 7,829 | $152,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 6,000 | $152,000 | thousands by filing date | put |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 13,968 | $152,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 10,893 | $152,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 2,555 | $151,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 27,536 | $151,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 11,747 | $151,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 8,200 | $151,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 9,801 | $151,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 10,043 | $151,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 2,849 | $151,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 2,991 | $150,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 5,510 | $150,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 21,570 | $150,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 10,276 | $150,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 65,617 | $150,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 2,754 | $150,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 11,859 | $150,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,817 | $149,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 13,998 | $149,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 5,224 | $149,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628409 | CUM PFD E 7.25% | 5,878 | $149,000 | thousands by filing date | principal |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 11,105 | $148,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 8,040 | $148,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 7,040 | $148,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 13,404 | $148,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 5,365 | $147,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 9,034 | $147,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 11,788 | $147,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 50,000 | $147,000 | thousands by filing date | put |
| FLOTEK INDS INC DEL | 343389102 | COM | 20,075 | $147,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 6,655 | $147,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 8,620 | $146,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 6,052 | $146,000 | thousands by filing date | principal |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 16,816 | $146,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 49,209 | $145,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 11,259 | $145,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 906 | $145,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 11,692 | $145,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,652 | $145,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 3,488 | $144,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 21,334 | $144,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 16,527 | $144,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 23,820 | $144,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 14,944 | $144,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 3,098 | $144,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 936 | $143,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,300 | $143,000 | thousands by filing date | call |
| THOMSON REUTERS CORP | 884903105 | COM | 3,500 | $142,000 | thousands by filing date | put |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 7,800 | $142,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 161,000 | $142,000 | thousands by filing date | principal |
| SYSTEMAX INC | 871851101 | COM | 16,200 | $142,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 3,505 | $141,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 5,380 | $141,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 27,551 | $140,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 16,130 | $140,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 9,873 | $140,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 10,716 | $140,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 14,473 | $139,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 5,869 | $139,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 8,500 | $139,000 | thousands by filing date | put |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 10,480 | $139,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 38,829 | $139,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 23,500 | $138,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 6,043 | $138,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 1,618 | $138,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 10,206 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 8,403 | $137,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 9,160 | $137,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 93,035 | $137,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 16,137 | $136,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 10,327 | $136,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 72,251 | $136,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 12,054 | $136,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 16,520 | $136,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 3,374 | $135,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 31,255 | $135,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 44,998 | $135,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 92,507 | $135,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 2,885 | $135,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 10,986 | $134,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 9,101 | $134,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 54,335 | $133,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 5,418 | $133,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 4,462 | $133,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 25,000 | $133,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 9,844 | $133,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 3,002 | $133,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 7,261 | $132,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 23,255 | $132,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 3,375 | $132,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 357,225 | $132,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 23,102 | $131,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 16,584 | $131,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 5,336 | $131,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 11,213 | $131,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 14,218 | $131,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 5,197 | $130,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 27,402 | $130,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 4,641 | $130,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 11,362 | $130,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 1,794 | $130,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 2,330 | $130,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 9,634 | $129,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 22,436 | $129,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 4,705 | $129,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,026 | $129,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,837 | $128,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 20,254 | $128,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 25,937 | $128,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 17,221 | $128,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 8,215 | $127,000 | thousands by filing date | |
| POLYCOM | 73172K104 | COMMON STOCK | 11,366 | $127,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 5,532 | $127,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 60,083 | $127,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 23,000 | $127,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 3,388 | $126,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 1,600 | $125,000 | thousands by filing date | call |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 1,125 | $125,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 8,230 | $124,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 3,322 | $124,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 35,000 | $124,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 8,636 | $124,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,600 | $123,000 | thousands by filing date | call |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,561 | $123,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 17,451 | $123,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 24,160 | $123,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 14,735 | $123,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 8,200 | $123,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 6,118 | $122,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 4,800 | $122,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 13,959 | $122,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 4,571 | $121,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 4,400 | $121,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 4,099 | $121,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 25,177 | $121,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 15,488 | $120,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 28,171 | $120,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 11,850 | $120,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 16,189 | $120,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 66,736 | $119,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 4,205 | $119,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 2,904 | $119,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 27,517 | $119,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 7,834 | $119,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 6,085 | $119,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 12,006 | $119,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 3,800 | $118,000 | thousands by filing date | put |
| 1ST SOURCE CORP COM | 336901103 | Stock | 3,720 | $118,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 12,515 | $118,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 1,229 | $118,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 9,282 | $118,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 10,123 | $118,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 6,950 | $117,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 27,140 | $117,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 4,690 | $117,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 5,876 | $117,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 13,182 | $116,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 9,000 | $116,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 2,455 | $115,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 10,632 | $115,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 4,787 | $115,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 59,000 | $115,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 39,152 | $115,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 4,500 | $115,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 36,858 | $115,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 12,395 | $114,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 2,675 | $114,000 | thousands by filing date | principal |
| DONEGAL GROUP INC | 257701300 | CL B | 8,446 | $114,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 8,833 | $114,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 55,900 | $114,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 29,681 | $113,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 3,772 | $113,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,400 | $112,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 11,311 | $112,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 4,725 | $111,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 7,210 | $111,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,279 | $111,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 13,150 | $111,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 6,623 | $110,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 5,013 | $110,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 10,000 | $110,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $110,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 65,284 | $110,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 4,941 | $110,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 8,709 | $109,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 4,398 | $109,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 3,681 | $108,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 6,989 | $108,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 5,690 | $107,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 13,130 | $107,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 7,115 | $107,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,870 | $107,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 3,700 | $107,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 6,850 | $107,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 4,165 | $107,000 | thousands by filing date | principal |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 13,865 | $107,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 14,891 | $106,000 | thousands by filing date | |
| SUNE 2.75 1/21 | 86732YAD1 | Bond 30/360P2 U | 2,600,000 | $106,000 | thousands by filing date | principal |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 4,257 | $105,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 6,957 | $105,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 7,000 | $105,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $105,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 6,000 | $105,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 1,814 | $104,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 5,777 | $104,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,800 | $104,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 3,768 | $104,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 1,900 | $103,000 | thousands by filing date | call |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 1,717 | $103,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 9,232 | $103,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 3,600 | $103,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 10,400 | $103,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 13,147 | $103,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 3,989 | $103,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 14,400 | $103,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 3,779 | $102,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 6,040 | $102,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 2,587 | $102,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 7,183 | $102,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 7,159 | $102,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 13,337 | $101,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 2,607 | $101,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 2,714 | $101,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 895 | $101,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y644 | Cmn | 4,351 | $101,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 600 | $100,000 | thousands by filing date | call |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 9,020 | $100,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 2,989 | $100,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 8,281 | $100,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 4,068 | $100,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 6,157 | $100,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 4,284 | $100,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 7,126 | $100,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 2,188 | $99,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 5,280 | $99,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 2,052 | $99,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,600 | $99,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 2,100 | $99,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 3,411 | $99,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 5,637 | $98,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 3,049 | $98,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 2,100 | $97,000 | thousands by filing date | put |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 7,150 | $97,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 5,370 | $97,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 6,040 | $97,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 8,650 | $97,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 10,234 | $97,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 21,631 | $97,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 3,794 | $96,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 2,011 | $96,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,629 | $96,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 5,845 | $96,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 6,504 | $96,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 3,340 | $96,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 3,343 | $96,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 7,658 | $96,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 1,000 | $95,000 | thousands by filing date | call |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 8,104 | $95,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 4,843 | $95,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 5,617 | $95,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 10,818 | $94,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 2,453 | $94,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 3,977 | $94,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 3,220 | $94,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 3,784 | $94,000 | thousands by filing date | principal |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 3,453 | $93,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 1,372 | $93,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 4,583 | $93,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 8,671 | $93,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 40,160 | $93,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 7,500 | $93,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 40,950 | $93,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 23,607 | $93,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 3,087 | $93,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 2,858 | $92,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 6,535 | $92,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 3,507 | $92,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 895 | $91,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 3,185 | $91,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 2,812 | $91,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 7,102 | $91,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 5,904 | $91,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 1,274 | $91,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $91,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 800 | $90,000 | thousands by filing date | call |
| HEALTHSTREAM INC | 42222N103 | COM | 4,125 | $90,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 5,176 | $90,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,359 | $90,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 6,636 | $90,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 16,641 | $90,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,457 | $89,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 4,070 | $89,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 7,885 | $89,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 2,100 | $89,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 4,825 | $89,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 8,604 | $89,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 28,526 | $89,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 4,710 | $89,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 6,930 | $88,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 2,991 | $88,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 5,070 | $88,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 7,771 | $88,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 10,392 | $88,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 10,400 | $87,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 7,813 | $87,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 2,050 | $87,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 5,306 | $87,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 5,702 | $87,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 4,536 | $87,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 1,500 | $87,000 | thousands by filing date | principal |
| SUN BANCORP INC | 86663B201 | COM NEW | 4,202 | $87,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 3,422 | $86,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 156,684 | $86,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 43,232 | $86,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 2,225 | $86,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 6,203 | $85,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 6,421 | $85,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U597 | CHINA A SHS ETF | 2,200 | $85,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 2,318 | $84,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 8,200 | $84,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 800 | $84,000 | thousands by filing date | principal |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 5,740 | $83,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 15,400 | $83,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 5,364 | $83,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 3,536 | $83,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 2,347 | $82,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 5,328 | $82,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 4,450 | $82,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 3,200 | $82,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 8,800 | $81,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 35,302 | $81,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 5,246 | $81,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 14,000 | $81,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 5,921 | $81,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 4,915 | $81,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 3,812 | $81,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 1,902 | $81,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 9,163 | $81,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 117,100 | $81,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 14,021 | $80,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,765 | $80,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 3,153 | $80,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 1,353 | $80,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 11,485 | $80,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $80,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 617 | $79,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 10,800 | $79,000 | thousands by filing date | put |
| BOINGO WIRELESS INC | 09739C102 | COM | 10,300 | $79,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 17,350 | $79,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 4,300 | $78,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 7,100 | $78,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 2,600 | $77,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,110 | $77,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 1,200 | $77,000 | thousands by filing date | put |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 4,480 | $77,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 3,034 | $77,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 4,294 | $77,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 5,322 | $77,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 2,663 | $77,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 3,630 | $77,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 1,970 | $76,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 6,000 | $76,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 1,276 | $76,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 4,000 | $76,000 | thousands by filing date | put |
| CVD EQUIP CORP | 126601103 | COM | 9,092 | $76,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 1,500 | $76,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 1,566 | $76,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 868 | $76,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,610 | $76,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 2,096 | $75,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 3,558 | $75,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 10,010 | $75,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 6,868 | $75,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 4,590 | $75,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 15,558 | $75,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $75,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 6,350 | $75,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 1,232 | $75,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,937 | $75,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 46,440 | $75,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,958 | $75,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,100 | $74,000 | thousands by filing date | put |
| GDL FD | 361570104 | COM SH BEN IT | 7,359 | $74,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 3,414 | $74,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,383 | $74,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 12,420 | $74,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 18,546 | $74,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 5,250 | $74,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 3,937 | $74,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 2,204 | $73,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 6,237 | $73,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 5,443 | $73,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,172 | $73,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 25,225 | $73,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,138 | $73,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 1,007 | $73,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 59,300 | $73,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 4,200 | $73,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 24,234 | $73,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 1,517 | $73,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 2,800 | $73,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 33,435 | $73,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $73,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 2,235 | $73,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 5,869 | $72,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 5,414 | $72,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,426 | $72,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,311 | $72,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 7,176 | $72,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 3,872 | $72,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 3,203 | $72,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 4,600 | $72,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 5,155 | $72,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 3,601 | $71,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 6,400 | $71,000 | thousands by filing date | call |
| RENASANT CORP | 75970E107 | COM | 2,150 | $71,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 900 | $71,000 | thousands by filing date | put |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 7,814 | $71,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 4,618 | $71,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 3,183 | $71,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 11,484 | $71,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 9,403 | $70,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 3,656 | $70,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 7,600 | $70,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 44,200 | $70,000 | thousands by filing date | |
| HOMEINNS HOTEL GROUP | 43742E102 | SPONSORED ADR | 1,959 | $70,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 5,736 | $69,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,000 | $69,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 5,951 | $69,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 33,120 | $69,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 2,092 | $69,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 100,000 | $69,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 1,248 | $68,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 636 | $68,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 10,218 | $68,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 5,090 | $68,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 5,000 | $68,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 6,391 | $68,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 6,201 | $68,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 11,100 | $68,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 829 | $67,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 1,323 | $67,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 11,653 | $67,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 4,951 | $67,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 6,500 | $67,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 3,891 | $67,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 5,817 | $67,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 1,169 | $67,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 2,152 | $67,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 2,426 | $67,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 1,299 | $66,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 7,598 | $66,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 3,325 | $66,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 3,000 | $66,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 4,654 | $66,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 11,284 | $66,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 3,215 | $66,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 70,000 | $66,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435105 | COM | 400 | $65,000 | thousands by filing date | call |
| GODADDY INC CL A | 380237107 | Stock | 1,967 | $65,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 2,994 | $65,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 4,450 | $65,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 6,706 | $65,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 184,716 | $65,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 17,054 | $65,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 13,150 | $65,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 1,260 | $65,000 | thousands by filing date | principal |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 2,400 | $65,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 2,150 | $65,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 5,104 | $64,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-065742 | superseded | 2016-05-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-069030 | this filing | 2016-06-08 | acceptance time not in the bulk data set |