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 |
|---|---|---|---|---|---|---|
| POINTS INTL LTD | 730843208 | COM NEW | 2,330 | $20,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 33,000 | $20,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,600 | $20,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,000 | $20,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,470 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 520 | $20,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,230 | $20,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 8,500 | $20,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 400 | $20,000 | thousands by filing date | principal |
| V F CORP COM | 918204108 | Stock | 300 | $19,000 | thousands by filing date | call |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,140 | $19,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 3,009 | $19,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $19,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 7,341 | $19,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,620 | $19,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 600 | $19,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,775 | $19,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,100 | $19,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 700 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $19,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 787 | $19,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,389 | $19,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,187 | $19,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 763 | $19,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,612 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 507 | $19,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 1,032 | $19,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 700 | $18,000 | thousands by filing date | call |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $18,000 | thousands by filing date | put |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 400 | $18,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 2,120 | $18,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 711 | $18,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 214 | $18,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,500 | $18,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 1,000 | $18,000 | thousands by filing date | call |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 849 | $18,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,650 | $18,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 500 | $18,000 | thousands by filing date | call |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 2,412 | $18,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $18,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,488 | $18,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 2,000 | $18,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,327 | $18,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 6,101 | $18,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 9,300 | $18,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 36,284 | $18,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 150,806 | $18,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 10,000 | $18,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 361 | $18,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,000 | $18,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,545 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,000 | $18,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 2,330 | $18,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 20,000 | $18,000 | thousands by filing date | principal |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 3,103 | $17,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 777 | $17,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 750 | $17,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 500 | $17,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,100 | $17,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 837 | $17,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 390 | $17,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 4,373 | $17,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 367 | $17,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,700 | $17,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 200 | $17,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,305 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 800 | $17,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,433 | $17,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 2,528 | $17,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 29,928 | $17,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 1,022 | $17,000 | thousands by filing date | |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 12,374 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R254 | HIGH INCOME INFR | 1,500 | $17,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 500 | $16,000 | thousands by filing date | call |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 279 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 200 | $16,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 250 | $16,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 833 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $16,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,815 | $16,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,102 | $16,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $16,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 15,000 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 367 | $16,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $16,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,868 | $16,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $16,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 119 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 165 | $16,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 4,913 | $16,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 200 | $15,000 | thousands by filing date | put |
| UNIQURE NV | N90064101 | SHS | 1,267 | $15,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 800 | $15,000 | thousands by filing date | call |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,145 | $15,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 619 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 275 | $15,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 721 | $15,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 1,562 | $15,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 400 | $15,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 2,063 | $15,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,500 | $15,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,000 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 205 | $15,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 270 | $15,000 | thousands by filing date | principal |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 1,173 | $15,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 2,369 | $15,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,661 | $15,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 700 | $15,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,482 | $15,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 4,842 | $15,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 10,878 | $15,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 25,060 | $15,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,700 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 826 | $15,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 3,152 | $15,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 760 | $15,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 657 | $15,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 726 | $15,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 485 | $14,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $14,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,502 | $14,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 436 | $14,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 487 | $14,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,365 | $14,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 551 | $14,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 100 | $14,000 | thousands by filing date | put |
| HYSTER-YALE INC | 449172105 | CL A | 204 | $14,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,900 | $14,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,059 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 16,000 | $14,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,551 | $14,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 290 | $14,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 9,416 | $14,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 773 | $14,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,000 | $14,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 1,362 | $14,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,000 | $14,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 13,896 | $14,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,755 | $14,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 738 | $14,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $14,000 | thousands by filing date | principal |
| MOCON INC | 607494101 | COM | 1,012 | $14,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 648 | $14,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 175 | $14,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 233 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 855 | $14,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $14,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 1,230 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 600 | $14,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 4,200 | $14,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 250 | $13,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 300 | $13,000 | thousands by filing date | put |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,523 | $13,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 641 | $13,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 580 | $13,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 2,704 | $13,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 23,476 | $13,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,819 | $13,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 500 | $13,000 | thousands by filing date | principal |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 500 | $13,000 | thousands by filing date | principal |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 798 | $13,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 750 | $13,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 825 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 221 | $13,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 4,800 | $13,000 | thousands by filing date | |
| COLONY STARWOOD | 19625X102 | Common Stock | 513 | $13,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 700 | $13,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 15,617 | $13,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 1,100 | $12,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $12,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 1,000 | $12,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 2,200 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 200 | $12,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $12,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 651 | $12,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,419 | $12,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,500 | $12,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 2,600 | $12,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 1,508 | $12,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 850 | $12,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 2,500 | $12,000 | thousands by filing date | put |
| ARQULE INC | 04269E107 | COM | 7,225 | $12,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,251 | $12,000 | thousands by filing date | |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 1,400 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 844 | $12,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,752 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 613 | $12,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 540 | $12,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 270 | $12,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,000 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 200 | $12,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 450 | $12,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 422 | $12,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,296 | $12,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 665 | $11,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 350 | $11,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 217 | $11,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,500 | $11,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,063 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 248 | $11,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 500 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 324 | $11,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,000 | $11,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 6,365 | $11,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,600 | $11,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 380 | $11,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 600 | $11,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,747 | $11,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 224 | $11,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,000 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 250 | $11,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 1,314 | $11,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 385 | $11,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,850 | $11,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 5,010 | $11,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 425 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 450 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 359 | $11,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 1,511 | $11,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 3,204 | $11,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 574 | $11,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,500 | $11,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 684 | $11,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 185 | $11,000 | thousands by filing date | principal |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 210 | $11,000 | thousands by filing date | principal |
| LITTELFUSE INC COM | 537008104 | Stock | 82 | $10,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,215 | $10,000 | thousands by filing date | |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 500 | $10,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 141 | $10,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 770 | $10,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 355 | $10,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 849 | $10,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $10,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 539 | $10,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 734 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 450 | $10,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 781 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 117 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 199 | $10,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $10,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,542 | $10,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 493 | $10,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 169 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,600 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,312 | $10,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,130 | $10,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 701 | $10,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $10,000 | thousands by filing date | principal |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 7,598 | $10,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,200 | $10,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $10,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,388 | $10,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 949 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 400 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 300 | $10,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 200 | $9,000 | thousands by filing date | put |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 400 | $9,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 300 | $9,000 | thousands by filing date | put |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 228 | $9,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 201 | $9,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 850 | $9,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 100 | $9,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 364 | $9,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 900 | $9,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 1,759 | $9,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 373 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 500 | $9,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 8,452 | $9,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 5,867 | $9,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,100 | $9,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 812 | $9,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 515 | $9,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,248 | $9,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 10,350 | $9,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 237 | $9,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,000 | $9,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 3,500 | $9,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 322 | $9,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 7,000 | $9,000 | thousands by filing date | principal |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $9,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,971 | $9,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 3,500 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,408 | $9,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 7,000 | $9,000 | thousands by filing date | principal |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 361 | $9,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 300 | $8,000 | thousands by filing date | put |
| FORMFACTOR INC COM | 346375108 | Stock | 1,118 | $8,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 300 | $8,000 | thousands by filing date | call |
| NATERA INC COM | 632307104 | Stock | 800 | $8,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 262 | $8,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,326 | $8,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 570 | $8,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 931 | $8,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $8,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $8,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 477 | $8,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $8,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 172 | $8,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 120 | $8,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 326 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 100 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 400 | $8,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 400 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 200 | $8,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 200 | $8,000 | thousands by filing date | put |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 418 | $8,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 1,000 | $8,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 800 | $8,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 951 | $8,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,085 | $8,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 541 | $8,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 800 | $8,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 130 | $8,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 6,033 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,440 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 358 | $8,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 493 | $8,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 475 | $8,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $8,000 | thousands by filing date | principal |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,862 | $8,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 2,506 | $8,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,800 | $8,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 234 | $8,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 750 | $8,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,500 | $8,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 100 | $7,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 367 | $7,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 550 | $7,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 221 | $7,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,250 | $7,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 200 | $7,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 385 | $7,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 685 | $7,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 720 | $7,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 140 | $7,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 600 | $7,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,350 | $7,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 428 | $7,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 1,000 | $7,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 1,000 | $7,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 307 | $7,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 147 | $7,000 | thousands by filing date | principal |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 240 | $7,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 202 | $7,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 173 | $7,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $7,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,276 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $7,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 190 | $7,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 12,134 | $7,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,712 | $7,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,327 | $7,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 369 | $7,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 675 | $7,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 450 | $7,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 25,000 | $7,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 209 | $7,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 215 | $7,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $7,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 794 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 900 | $7,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 2,000 | $7,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 400 | $7,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 715 | $7,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 70 | $7,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 500 | $7,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 500 | $7,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 320 | $7,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 300 | $6,000 | thousands by filing date | put |
| MASTEC INC COM | 576323109 | Stock | 295 | $6,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $6,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 100 | $6,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 147 | $6,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 556 | $6,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,850 | $6,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 545 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $6,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 214 | $6,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,271 | $6,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 11,500 | $6,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 8,134 | $6,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 9,385 | $6,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 3,600 | $6,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 4,100 | $6,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,180 | $6,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,000 | $6,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 311 | $6,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 265 | $6,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 791 | $6,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $6,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 25,000 | $6,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,481 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 242 | $6,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 31,224 | $6,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 892 | $6,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 300 | $6,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 4,000 | $6,000 | thousands by filing date | principal |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 215 | $6,000 | thousands by filing date | principal |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $6,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 400 | $6,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 452 | $6,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 730 | $6,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 5,000 | $6,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 5,000 | $6,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 741 | $6,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 4,928 | $6,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 242 | $5,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 100 | $5,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,000 | $5,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $5,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 704 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 100 | $5,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $5,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 483 | $5,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 508 | $5,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,057 | $5,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 823 | $5,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 200 | $5,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 8,300 | $5,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 523 | $5,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,475 | $5,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 200 | $5,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 290 | $5,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 300 | $5,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 560 | $5,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 4,000 | $5,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 1,067 | $5,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 500 | $5,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 800 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 6,361 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,600 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,187 | $5,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 1,400 | $5,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 400 | $5,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $5,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 600 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $5,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $5,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 824 | $5,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 604 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 1,497 | $5,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,000 | $5,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 200 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,000 | $5,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 800 | $5,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 45 | $5,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 2,450 | $5,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 1,692 | $5,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,208 | $5,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 80 | $5,000 | thousands by filing date | principal |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 1,068 | $5,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 100 | $5,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 46 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 200 | $5,000 | thousands by filing date | |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 200 | $5,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,000 | $4,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 170 | $4,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 300 | $4,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 190 | $4,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 8,000 | $4,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 93 | $4,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 200 | $4,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 292 | $4,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 100 | $4,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 115 | $4,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 200 | $4,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 802 | $4,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 395 | $4,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 300 | $4,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 1,000 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 600 | $4,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 626 | $4,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 875 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 180 | $4,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $4,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 3,685 | $4,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 2,100 | $4,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 600 | $4,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,015 | $4,000 | 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 |