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 |
|---|---|---|---|---|---|---|
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 15,575 | $64,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,034 | $64,000 | thousands by filing date | |
| ABENGOA YIELD PLC | G00349103 | ORD SHS | 3,640 | $64,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 5,000 | $64,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R361 | Cmn | 1,861 | $64,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 1,400 | $63,000 | thousands by filing date | put |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 2,591 | $63,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 7,000 | $62,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 1,350 | $62,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,708 | $62,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 7,752 | $62,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 4,120 | $62,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 3,100 | $62,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 45 | $62,000 | thousands by filing date | principal |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,900 | $62,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 125,678 | $62,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 20,925 | $62,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,500 | $61,000 | thousands by filing date | put |
| FRANCO NEV CORP COM | 351858105 | Stock | 1,000 | $61,000 | thousands by filing date | put |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 3,528 | $61,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 2,180 | $61,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 15,316 | $61,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 615 | $60,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 1,630 | $60,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 5,352 | $60,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 9,131 | $60,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 6,414 | $60,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 3,256 | $60,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 3,410 | $60,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 13,616 | $60,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 7,649 | $60,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 654 | $60,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 78,213 | $60,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 2,446 | $60,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 2,537 | $60,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 3,005 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 3,225 | $60,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P200 | UNIT 99/99/9999T | 5,800 | $60,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 3,862 | $59,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 7,483 | $59,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 2,594 | $59,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 1,635 | $59,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,400 | $59,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 4,832 | $59,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 1,922 | $59,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 3,824 | $59,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 2,400 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347B888 | CDS NA HY CRDT | 1,501 | $59,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 41,289 | $58,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 4,814 | $58,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 4,540 | $58,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 2,000 | $58,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 1,768 | $58,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 2,980 | $58,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 59,077 | $58,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 800 | $57,000 | thousands by filing date | call |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 1,100 | $57,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 11,669 | $57,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 3,513 | $57,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 153 | $57,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 2,297 | $57,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,900 | $57,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 1,187 | $57,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $57,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 45,658 | $57,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 2,330 | $57,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 23,492 | $57,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 13,590 | $56,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 2,031 | $56,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,623 | $56,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,121 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,357 | $56,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,775 | $56,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 156,658 | $56,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,800 | $56,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 3,650 | $56,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,732 | $55,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 2,271 | $55,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,850 | $55,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,561 | $55,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 3,327 | $55,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 400 | $55,000 | thousands by filing date | call |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 8,989 | $55,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 1,158 | $55,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 21,050 | $55,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 3,746 | $55,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,922 | $55,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 53,538 | $55,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 4,400 | $55,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 3,424 | $54,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 4,700 | $54,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 2,384 | $54,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 2,300 | $54,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 4,803 | $54,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 3,366 | $54,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 3,815 | $54,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 4,208 | $54,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 25,523 | $54,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 3,600 | $54,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 417 | $54,000 | thousands by filing date | principal |
| AEROVIRONMENT INC COM | 008073108 | Stock | 1,873 | $53,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 24,052 | $53,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,300 | $53,000 | thousands by filing date | put |
| HUDSON PAC PPTYS INC | 444097109 | COM | 1,884 | $53,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 4,600 | $53,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 4,052 | $53,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,033 | $53,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 2,832 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 2,981 | $53,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,940 | $53,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 8,300 | $53,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 1,077 | $53,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 6,845 | $53,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 1,058 | $52,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 8,672 | $52,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 2,314 | $52,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 1,940 | $52,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 2,825 | $52,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,865 | $52,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,274 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 800 | $51,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 1,963 | $51,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 8,248 | $51,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 2,804 | $51,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 13,000 | $51,000 | thousands by filing date | |
| PROSHARES TR II | 74347W270 | ULTRA YEN NEW | 800 | $50,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $50,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,850 | $50,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 5,600 | $50,000 | thousands by filing date | call |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 4,030 | $50,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 19,350 | $50,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 4,300 | $50,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 1,900 | $50,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 600 | $49,000 | thousands by filing date | put |
| WESTLAKE CORPORATION | 960413102 | COM | 1,077 | $49,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 3,306 | $49,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,888 | $49,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 1,314 | $49,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 2,074 | $49,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 998 | $48,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 5,126 | $48,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 875 | $48,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 2,249 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,809 | $48,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 4,384 | $48,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,836 | $48,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 510 | $48,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 2,000 | $48,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $48,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $48,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 15,308 | $48,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,785 | $48,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,469 | $48,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 4,995 | $48,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 6,405 | $48,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 7,521 | $48,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,307 | $48,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 1,751 | $48,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 187 | $47,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 1,832 | $47,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 2,842 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 1,924 | $47,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,515 | $47,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 5,425 | $47,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 6,250 | $47,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 711 | $47,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 19,839 | $47,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 3,825 | $47,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 1,513 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 875 | $46,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,170 | $46,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 9,985 | $46,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 3,273 | $46,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $46,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 2,255 | $46,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 6,965 | $46,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 1,000 | $45,000 | thousands by filing date | call |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,900 | $45,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 4,500 | $45,000 | thousands by filing date | put |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,991 | $45,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 15,590 | $45,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 3,102 | $45,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 28,941 | $45,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,509 | $45,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,320 | $45,000 | thousands by filing date | principal |
| WINNEBAGO INDS INC | 974637100 | COM | 1,939 | $44,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 3,304 | $44,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 2,948 | $44,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 874 | $44,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 18,043 | $44,000 | thousands by filing date | |
| DIREXION | 25459Y728 | SHS ETF TR S\&P.* VOL RES | 806 | $44,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 5,826 | $44,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 10,000 | $44,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 4,131 | $43,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 1,139 | $43,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 5,555 | $43,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 15,300 | $43,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 2,377 | $43,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,866 | $43,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,850 | $43,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 460 | $43,000 | thousands by filing date | principal |
| GLAUKOS CORP COM | 377322102 | Stock | 2,559 | $42,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 6,363 | $42,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 871 | $42,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 2,861 | $42,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 3,000 | $42,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,960 | $42,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 7,612 | $42,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 55,395 | $42,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 10,450 | $42,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 15,541 | $42,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,856 | $42,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 14,183 | $42,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 14,100 | $41,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 10,190 | $41,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 2,036 | $41,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 2,683 | $41,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,297 | $41,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 3,213 | $41,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 75,000 | $41,000 | thousands by filing date | put |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,708 | $41,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 15,234 | $40,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 3,450 | $40,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 2,344 | $40,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 2,150 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,200 | $40,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 7,793 | $40,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,600 | $40,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,553 | $40,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 40,485 | $40,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 1,758 | $40,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 7,480 | $39,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 3,996 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,135 | $39,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 2,800 | $39,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,000 | $39,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,235 | $39,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,200 | $39,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 221 | $39,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,000 | $39,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 5,700 | $39,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 85,975 | $39,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,657 | $39,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,872 | $39,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 2,761 | $38,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 46,700 | $38,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 7,310 | $38,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 3,741 | $38,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,003 | $38,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,880 | $38,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 2,386 | $38,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 1,102 | $38,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,902 | $38,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 716 | $38,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 1,744 | $38,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,351 | $38,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,206 | $37,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $37,000 | thousands by filing date | call |
| ENSIGN GROUP INC | 29358P101 | COM | 1,667 | $37,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,955 | $37,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 3,434 | $37,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 1,342 | $37,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 4,040 | $37,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,600 | $37,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 4,073 | $37,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 2,907 | $37,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 4,700 | $37,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 400 | $36,000 | thousands by filing date | call |
| WIX COM LTD SHS | M98068105 | Stock | 1,800 | $36,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 3,070 | $36,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 4,349 | $36,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 2,741 | $36,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 1,162 | $36,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 11,490 | $36,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,298 | $36,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 1,016 | $36,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 182 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,703 | $36,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 5,903 | $36,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 19,750 | $35,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 2,050 | $35,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,270 | $35,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 4,026 | $35,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 2,320 | $35,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,597 | $35,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 24,505 | $35,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $34,000 | thousands by filing date | put |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 1,890 | $34,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 781 | $34,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 6,872 | $34,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,629 | $34,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,850 | $34,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 4,210 | $34,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,000 | $34,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 20,476 | $34,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 60,174 | $34,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 1,871 | $34,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 409 | $34,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 2,950 | $34,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 29,318 | $34,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 585 | $33,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 3,400 | $33,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 854 | $33,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 16,474 | $33,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,795 | $33,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 3,656 | $33,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 21,808 | $33,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 5,841 | $33,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 32,922 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R123 | SHT INV GRD CP | 1,200 | $33,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 3,000 | $33,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,950 | $33,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 3,250 | $33,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 6,845 | $32,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 2,117 | $32,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 5,915 | $32,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 358 | $32,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,000 | $32,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,500 | $32,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,145 | $32,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 8,405 | $32,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 496 | $32,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 4,974 | $32,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 2,935 | $32,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 3,940 | $32,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,108 | $32,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 694 | $32,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 10,823 | $31,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,295 | $31,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,786 | $31,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 1,592 | $31,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 1,756 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 875 | $31,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 7,800 | $31,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 2,000 | $31,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,335 | $31,000 | thousands by filing date | |
| SPDR SER TR | 78468R846 | BRCLY HGH YIEL | 1,417 | $31,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 711 | $30,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 1,600 | $30,000 | thousands by filing date | put |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,346 | $30,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 1,478 | $30,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 10,673 | $30,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,109 | $30,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 85,000 | $30,000 | thousands by filing date | call |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,502 | $30,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,533 | $30,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 2,126 | $30,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 10,000 | $30,000 | thousands by filing date | put |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 2,117 | $30,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,000 | $30,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 15,976 | $30,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,000 | $30,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 34,275 | $30,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,900 | $30,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,680 | $30,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 280 | $30,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 4,319 | $30,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 3,010 | $29,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 4,900 | $29,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $29,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,165 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 1,096 | $29,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $29,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 575 | $29,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 789 | $29,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 2,061 | $29,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 4,508 | $29,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 25,629 | $29,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 1,136 | $29,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 1,177 | $29,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 5,654 | $29,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $28,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 2,376 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 555 | $28,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 10,035 | $28,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $28,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 566 | $28,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,000 | $28,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,450 | $28,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 4,881 | $27,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 889 | $27,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,712 | $27,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $27,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 2,750 | $27,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 940 | $27,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 800 | $27,000 | thousands by filing date | put |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 9,000 | $27,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 34,901 | $27,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,500 | $27,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 6,485 | $27,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,000 | $27,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 2,162 | $27,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,700 | $26,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,100 | $26,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 816 | $26,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 2,409 | $26,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 2,032 | $26,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,193 | $26,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 9,475 | $26,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 32,615 | $26,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 1,425 | $26,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 1,800 | $26,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 4,882 | $26,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 6,300 | $26,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,450 | $26,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $26,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 6,204 | $26,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 5,455 | $26,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 2,404 | $26,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 900 | $25,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,571 | $25,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 973 | $25,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 19,850 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 755 | $25,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 25,500 | $25,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 1,700 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 600 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 2,143 | $25,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $25,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 1,530 | $25,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 970 | $24,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 242 | $24,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,315 | $24,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 658 | $24,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $24,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,200 | $24,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 17,627 | $24,000 | thousands by filing date | |
| BAXALTA INC | 07177M103 | COM | 600 | $24,000 | thousands by filing date | put |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 504 | $24,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 2,194 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 800 | $24,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 2,200 | $24,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $24,000 | thousands by filing date | principal |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,600 | $24,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 27,715 | $24,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 4,102 | $23,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,180 | $23,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,890 | $23,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,500 | $23,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,727 | $23,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,000 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 495 | $23,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 1,100 | $23,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 500 | $23,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $23,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 28,587 | $23,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,294 | $23,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 780 | $23,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,700 | $23,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $22,000 | thousands by filing date | put |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 3,100 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 500 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,000 | $22,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 2,050 | $22,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 392 | $22,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 10,000 | $22,000 | thousands by filing date | put |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 10,000 | $22,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 104,335 | $22,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $22,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 1,067 | $22,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 21,025 | $22,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 1,528 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 488 | $22,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 965 | $22,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 4,000 | $22,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,400 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E150 | GF CHINA BD ET | 600 | $22,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 1,677 | $21,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,700 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,500 | $21,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,300 | $21,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 2,201 | $21,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 7,334 | $21,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 3,721 | $21,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,300 | $21,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 6,000 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 500 | $21,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 56,757 | $21,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 1,850 | $21,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,000 | $21,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 589 | $21,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 5,300 | $21,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 33,943 | $21,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 2,085 | $21,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 2,545 | $21,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,751 | $21,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 905 | $21,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 505 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 700 | $21,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,000 | $21,000 | thousands by filing date | principal |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 4,108 | $20,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 9,760 | $20,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,000 | $20,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 430 | $20,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,800 | $20,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $20,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,340 | $20,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 406 | $20,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,414 | $20,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 4,000 | $20,000 | 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 |