13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-15, with 6,493 holding rows worth $164,161,374,000.
- Accession
- 0001140361-16-076539
- Filer
- CIK 1000275
- Filed
- 2016-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 25,334 entries on the cover page, a total value of $164,161,374,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $164,161,374,000 with VALUE read as thousands by filing date, 13F file number 028-11396. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 19,000 | $21,000 | thousands by filing date | principal |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 1,781 | $21,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 786 | $21,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 1,637 | $21,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $20,000 | thousands by filing date | put |
| OIL STS INTL INC | 678026105 | COM | 616 | $20,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,439 | $20,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 919 | $20,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,669 | $20,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,000 | $20,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,700 | $20,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 700 | $20,000 | thousands by filing date | call |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 431 | $20,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $20,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,901 | $20,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 19,000 | $20,000 | thousands by filing date | principal |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 24,200 | $20,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,470 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 1,121 | $20,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 1,323 | $20,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 800 | $20,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 698 | $19,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 746 | $19,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,025 | $19,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 1,948 | $19,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 1,455 | $19,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,350 | $19,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 700 | $19,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,620 | $19,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,355 | $19,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 600 | $19,000 | thousands by filing date | call |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 35,350 | $19,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 2,850 | $19,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,203 | $19,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $19,000 | thousands by filing date | principal |
| ISHARES BAA-BA | 46432F107 | COM | 361 | $19,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 3,710 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B532 | MANAGED FUT | 480 | $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 | 1,000 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 707 | $19,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 300 | $18,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,000 | $18,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 1,936 | $18,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 750 | $18,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,100 | $18,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 561 | $18,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 9,770 | $18,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 214 | $18,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 1,632 | $18,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 319 | $18,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 1,100 | $18,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 8,118 | $18,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,725 | $18,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 773 | $18,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 33,852 | $18,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,325 | $18,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $18,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,600 | $18,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 50,651 | $18,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 23,594 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 520 | $18,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 30,000 | $18,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,654 | $18,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 787 | $18,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,916 | $17,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 7,607 | $17,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,200 | $17,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $17,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $17,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,000 | $17,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,747 | $17,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 1,195 | $17,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 367 | $17,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,873 | $17,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,468 | $17,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 5,949 | $17,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $17,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,818 | $17,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,025 | $17,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 3,700 | $17,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 350 | $17,000 | thousands by filing date | principal |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 15,771 | $17,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 600 | $16,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,935 | $16,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,459 | $16,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 1,000 | $16,000 | thousands by filing date | call |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 250 | $16,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,750 | $16,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 475 | $16,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,063 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 350 | $16,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 7,818 | $16,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 8,000 | $16,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,600 | $16,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 5,080 | $16,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,450 | $16,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 665 | $16,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $16,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,000 | $16,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 983 | $16,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 200 | $15,000 | thousands by filing date | call |
| DAKTRONICS INC | 234264109 | COM | 2,423 | $15,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,067 | $15,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 400 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 641 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 205 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 245 | $15,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 911 | $15,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 2,361 | $15,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 9,350 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 465 | $15,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 9,572 | $15,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 6,900 | $15,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 7,186 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $15,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,380 | $15,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,576 | $15,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 750 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A806 | ULT INV GRD CP | 233 | $15,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 2,672 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 800 | $15,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 1,200 | $15,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 280 | $15,000 | thousands by filing date | principal |
| Q2 HLDGS INC COM | 74736L109 | Stock | 500 | $14,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,502 | $14,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 735 | $14,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,000 | $14,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,800 | $14,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 1,396 | $14,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 1,728 | $14,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 448 | $14,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 500 | $14,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 5,000 | $14,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,900 | $14,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,130 | $14,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,000 | $14,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 2,551 | $14,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,000 | $14,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 380 | $14,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 33,000 | $14,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 7,225 | $14,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,062 | $14,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 7,243 | $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 | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,850 | $14,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,700 | $14,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 860 | $14,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 1,130 | $14,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 7,450 | $14,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 2,012 | $14,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 100 | $14,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 400 | $13,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 565 | $13,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $13,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 550 | $13,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 261 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 200 | $13,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 600 | $13,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,110 | $13,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,000 | $13,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 600 | $13,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 761 | $13,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,000 | $13,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 10,000 | $13,000 | thousands by filing date | put |
| POINTS INTL LTD | 730843208 | COM NEW | 1,480 | $13,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 2,460 | $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 |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 1,525 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $13,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 484 | $13,000 | thousands by filing date | principal |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,971 | $13,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 800 | $13,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,598 | $13,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 115 | $13,000 | thousands by filing date | principal |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 1,230 | $13,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,200 | $13,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 700 | $13,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 221 | $12,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $12,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 225 | $12,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 525 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 289 | $12,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,114 | $12,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 610 | $12,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 500 | $12,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,500 | $12,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 500 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 328 | $12,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,238 | $12,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,000 | $12,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,356 | $12,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 7,664 | $12,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 40,543 | $12,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 385 | $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 | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 9,000 | $12,000 | thousands by filing date | principal |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 270 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 690 | $12,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $12,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,122 | $12,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 3,573 | $12,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $12,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 199 | $12,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 11,000 | $12,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 12,000 | $12,000 | thousands by filing date | principal |
| ESSA PHARMA INC | 29668H104 | COM | 4,200 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X160 | S&P INTL DIVID | 300 | $12,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 449 | $11,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 600 | $11,000 | thousands by filing date | call |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 500 | $11,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 850 | $11,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 221 | $11,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,158 | $11,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 658 | $11,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 69 | $11,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 665 | $11,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 755 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 425 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 390 | $11,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,661 | $11,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 413 | $11,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,000 | $11,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,251 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 450 | $11,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 400 | $11,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 253 | $11,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 5,300 | $11,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 718 | $11,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $11,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 900 | $10,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 800 | $10,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 600 | $10,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 250 | $10,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 216 | $10,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $10,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 2,000 | $10,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 355 | $10,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 315 | $10,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $10,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 640 | $10,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 251 | $10,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 11,000 | $10,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $10,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 800 | $10,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 3,000 | $10,000 | thousands by filing date | principal |
| CEMPRA INC | 15130J109 | COM | 617 | $10,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 800 | $10,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 10,350 | $10,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 10,800 | $10,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 1,615 | $10,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 500 | $10,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 10,000 | $10,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 1,900 | $10,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 701 | $10,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 2,443 | $10,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,500 | $10,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,582 | $10,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 752 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 429 | $10,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 91 | $10,000 | thousands by filing date | principal |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 400 | $10,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,267 | $9,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 154 | $9,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,215 | $9,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 268 | $9,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 214 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 200 | $9,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 358 | $9,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $9,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 242 | $9,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $9,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 120 | $9,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 300 | $9,000 | thousands by filing date | put |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,500 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 450 | $9,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,148 | $9,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 320 | $9,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,400 | $9,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 1,500 | $9,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,500 | $9,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 200 | $9,000 | thousands by filing date | put |
| AVON PRODS INC | 054303102 | COM | 2,500 | $9,000 | thousands by filing date | put |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,300 | $9,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 910 | $9,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 812 | $9,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 800 | $9,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 475 | $9,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,414 | $9,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,862 | $9,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 687 | $9,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 2,200 | $9,000 | thousands by filing date | call |
| CHIASMA INC | 16706W102 | COM | 3,000 | $9,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 434 | $9,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 710 | $9,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 8,000 | $9,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 300 | $9,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 188 | $8,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 300 | $8,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 169 | $8,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $8,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 311 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 428 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 100 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 5,000 | $8,000 | thousands by filing date | principal |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 5,877 | $8,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 500 | $8,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 3,100 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,854 | $8,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 300 | $8,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 5,010 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 209 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 358 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 5,300 | $8,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $8,000 | thousands by filing date | principal |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,000 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 585 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,408 | $8,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 7,000 | $8,000 | thousands by filing date | principal |
| FNFV GROUP | 31620R402 | COM | 795 | $8,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,900 | $8,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,100 | $8,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 500 | $8,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 200 | $8,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 14,067 | $8,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 1,000 | $8,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 912 | $8,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 359 | $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 | |
| VIASAT INC | 92552V100 | COM | 92 | $7,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,850 | $7,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,350 | $7,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 434 | $7,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 732 | $7,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,685 | $7,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 265 | $7,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 500 | $7,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 1,000 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 284 | $7,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 215 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 340 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 645 | $7,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $7,000 | thousands by filing date | call |
| INTREPID POTASH INC | 46121Y102 | COM | 4,939 | $7,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 740 | $7,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 508 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 400 | $7,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,195 | $7,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 384 | $7,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 300 | $7,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 300 | $7,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 2,000 | $7,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 711 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $7,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 500 | $7,000 | thousands by filing date | call |
| WILSHIRE BANCORP INC | 97186T108 | COM | 675 | $7,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 669 | $7,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 927 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 11,256 | $7,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 973 | $7,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 4,000 | $7,000 | thousands by filing date | principal |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,554 | $7,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 892 | $7,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 400 | $7,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 280 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,000 | $7,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 2,300 | $7,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 415 | $7,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 750 | $7,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 900 | $7,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 300 | $7,000 | thousands by filing date | |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 10,877 | $7,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 256 | $6,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,000 | $6,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 300 | $6,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,100 | $6,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $6,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 240 | $6,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 800 | $6,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 100 | $6,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 162 | $6,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 178 | $6,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 829 | $6,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 1,293 | $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 | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 1,623 | $6,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 186 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,500 | $6,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,761 | $6,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 388 | $6,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 1,085 | $6,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 11,416 | $6,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 585 | $6,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 275 | $6,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 813 | $6,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 280 | $6,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 500 | $6,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,600 | $6,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $6,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 515 | $6,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 2,000 | $6,000 | thousands by filing date | principal |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 2,750 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 242 | $6,000 | thousands by filing date | |
| Janus Capital | 47102XAH8 | CONV | 5,000 | $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 | |
| CSX CORP | 126408GA5 | US DOMESTIC | 2,000 | $6,000 | thousands by filing date | principal |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 1,790 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 400 | $6,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 900 | $6,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 451 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 125 | $6,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 1,000 | $6,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 800 | $6,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 350 | $6,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,000 | $6,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 318 | $6,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 400 | $6,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 125 | $6,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 1,874 | $6,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 6,033 | $6,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,200 | $6,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 755 | $6,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 3,293 | $6,000 | thousands by filing date | |
| EXIDE TECHNOLOGIES | 302051AU1 | CNV | 13,966 | $6,000 | thousands by filing date | principal |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 242 | $5,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,631 | $5,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,011 | $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 | |
| FOOT LOCKER INC | 344849104 | COM | 100 | $5,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 600 | $5,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $5,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 875 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 676 | $5,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 220 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 230 | $5,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 847 | $5,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 200 | $5,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 2,840 | $5,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 28 | $5,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 3,600 | $5,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 4,000 | $5,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 955 | $5,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 100 | $5,000 | thousands by filing date | call |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 3,500 | $5,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| Vale Sa | 91912E204 | COM | 1,236 | $5,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 309 | $5,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 300 | $5,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 5,725 | $5,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 169 | $5,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 614 | $5,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $5,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,461 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,187 | $5,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 755 | $5,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,082 | $5,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 964 | $5,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 6,707 | $5,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $5,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,556 | $5,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $5,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 200 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 600 | $5,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,800 | $5,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 200 | $5,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 200 | $5,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 800 | $5,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,255 | $5,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 1,000 | $5,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 630 | $5,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 243 | $5,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 80 | $5,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 200 | $5,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 170 | $4,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,090 | $4,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 462 | $4,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 802 | $4,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 300 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 192 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 600 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-076539 | this filing | 2016-08-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-077688 | base | 2016-08-24 | acceptance time not in the bulk data set |