13F-HR/A filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR/A for the quarter ended 2016-06-30, filed 2016-08-24, with 6,493 holding rows worth $168,036,563,000.
- Accession
- 0001140361-16-077688
- Filer
- CIK 1000275
- Filed
- 2016-08-24
- 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, amendment of type restatement, 25,335 entries on the cover page, a total value of $168,036,563,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $168,036,563,000 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 |
|---|---|---|---|---|---|---|
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 36,717 | $172,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 9,655 | $172,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 73,002 | $172,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 5,185 | $172,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 5,489 | $171,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,319 | $171,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 12,017 | $171,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 56,787 | $171,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 7,412 | $170,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 23,412 | $170,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 33,281 | $170,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 6,641 | $170,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 1,693 | $170,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 29,392 | $170,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 12,372 | $169,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 7,507 | $169,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 11,915 | $169,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 10,515 | $169,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 15,000 | $168,000 | thousands by filing date | put |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 27,840 | $168,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 8,857 | $168,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 9,640 | $167,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 20,826 | $166,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 8,348 | $166,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 11,750 | $166,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 12,100 | $166,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 11,497 | $166,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 16,137 | $165,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 1,793 | $164,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 162,000 | $164,000 | thousands by filing date | principal |
| CHOICE HOTELS INTL INC | 169905106 | COM | 3,440 | $163,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 30,010 | $163,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 70,615 | $163,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 6,200 | $163,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 2,660 | $162,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 3,008 | $162,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 4,962 | $162,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 3,254 | $162,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 8,760 | $161,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 12,400 | $161,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 36,584 | $161,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 4,769 | $161,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 7,334 | $161,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 3,674 | $161,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 14,168 | $160,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 5,720 | $160,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 10,893 | $160,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 2,400 | $159,000 | thousands by filing date | call |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 1,883 | $159,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 20,776 | $159,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 9,357 | $159,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,100 | $159,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 13,800 | $159,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 3,655 | $158,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 17,274 | $158,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 55,900 | $158,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 1,215 | $158,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 26,953 | $157,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 6,558 | $157,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 16,729 | $157,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 10,081 | $156,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 26,921 | $156,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 15,953 | $155,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 74,234 | $154,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 6,509 | $154,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 9,400 | $154,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 2,073 | $154,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 3,900 | $153,000 | thousands by filing date | call |
| MODINE MFG CO COM | 607828100 | Stock | 17,400 | $153,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 311,631 | $153,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 11,623 | $153,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 13,966 | $152,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 5,540 | $152,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 9,174 | $152,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 8,127 | $152,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 161,000 | $152,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 2,000 | $151,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 6,172 | $151,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 324,683 | $151,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y644 | Cmn | 6,370 | $151,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 10,359 | $150,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 7,040 | $150,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 39,540 | $149,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 2,849 | $149,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 5,042 | $148,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 26,001 | $148,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 6,537 | $148,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 5,995 | $148,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 11,000 | $148,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 9,595 | $147,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 32,060 | $147,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 15,872 | $147,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 40,637 | $146,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 3,920 | $146,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 10,480 | $146,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 6,804 | $146,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 3,995 | $146,000 | thousands by filing date | principal |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 8,563 | $145,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 7,800 | $145,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 12,620 | $145,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,900 | $144,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 5,439 | $143,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 2,614 | $143,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 51,417 | $143,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 19,116 | $143,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 8,333 | $143,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 24,200 | $143,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 11,096 | $143,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 12,852 | $142,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 33,911 | $142,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 4,404 | $141,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 11,790 | $141,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 8,565 | $141,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 12,483 | $141,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,252 | $140,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 6,043 | $140,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 1,133 | $139,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 22,725 | $139,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 29,498 | $139,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 8,051 | $138,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 25,728 | $138,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 4,632 | $138,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 23,820 | $138,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 5,544 | $138,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 12,328 | $138,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 10,822 | $138,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 16,200 | $138,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 19,810 | $138,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 6,300 | $138,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 4,725 | $138,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 4,600 | $138,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 11,600 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 12,383 | $137,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 14,900 | $137,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 13,029 | $137,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 4,407 | $137,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 39,284 | $137,000 | thousands by filing date | |
| TERRAFORM POWER INC | 88104R100 | Common Stock | 12,637 | $137,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 6,000 | $137,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,377 | $136,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 44,998 | $136,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 16,000 | $136,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 5,301 | $136,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 4,010 | $135,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 10,500 | $135,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,000 | $134,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 12,900 | $134,000 | thousands by filing date | put |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 2,929 | $134,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 4,377 | $134,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 3,149 | $134,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 8,446 | $133,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 4,100 | $133,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 4,600 | $131,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,602 | $131,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 6,716 | $131,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 25,000 | $130,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 6,965 | $129,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 11,400 | $129,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 3,809 | $129,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,838 | $128,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 11,010 | $128,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 7,292 | $128,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 8,043 | $128,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 2,650 | $128,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 8,200 | $128,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 17,796 | $127,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 32,266 | $127,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 9,173 | $127,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 8,122 | $127,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 126,000 | $127,000 | thousands by filing date | principal |
| EXELIXIS INC COM | 30161Q104 | Stock | 16,140 | $126,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 7,650 | $126,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 25,177 | $126,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 6,125 | $126,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 6,130 | $125,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 7,338 | $125,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 98,923 | $124,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 9,740 | $124,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 4,998 | $124,000 | thousands by filing date | principal |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 15,980 | $124,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 7,685 | $124,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 9,298 | $124,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 7,429 | $123,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 10,190 | $123,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 5,793 | $123,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 2,826 | $122,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 14,200 | $122,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 4,581 | $122,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 10,123 | $122,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 5,000 | $121,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 2,564 | $121,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 27,913 | $121,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 11,331 | $121,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 7,804 | $121,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 3,597 | $120,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 6,423 | $120,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 9,917 | $120,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 71,722 | $120,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 9,138 | $120,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 10,800 | $119,000 | thousands by filing date | put |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 1,678 | $119,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 5,675 | $119,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 9,190 | $119,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 11,350 | $119,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 6,300 | $119,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $119,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 2,470 | $118,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 7,300 | $118,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 6,300 | $118,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 11,525 | $118,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 4,687 | $118,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 36,151 | $118,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 165,030 | $117,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 3,435 | $117,000 | thousands by filing date | principal |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 3,049 | $116,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 3,940 | $116,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 7,041 | $116,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,000 | $115,000 | thousands by filing date | put |
| BANCROFT FUND LIMITED | 059695106 | COM | 6,146 | $115,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,000 | $115,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 9,408 | $115,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 1,479 | $115,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 7,582 | $115,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 7,927 | $115,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 4,467 | $114,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 3,772 | $114,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 6,977 | $113,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 8,130 | $113,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 1,087 | $113,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 2,602 | $113,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 6,040 | $112,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 2,843 | $112,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 1,278 | $112,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 4,500 | $112,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 5,119 | $112,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 20,038 | $111,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 3,874 | $111,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 16,191 | $111,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 29,900 | $111,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 10,267 | $111,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 5,000 | $111,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 8,594 | $111,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G608 | TUTTLE TAC MAN | 4,941 | $111,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,641 | $110,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 7,458 | $110,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 11,536 | $110,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 10,654 | $110,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 9,300 | $110,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 3,360 | $109,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 33,375 | $109,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 3,903 | $108,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 4,139 | $107,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 6,496 | $107,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 9,838 | $107,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 15,015 | $107,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 22,692 | $107,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 8,305 | $106,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 6,746 | $106,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 2,237 | $106,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 3,000 | $105,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 5,430 | $105,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 13,337 | $105,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 6,242 | $105,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 5,259 | $105,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 19,235 | $105,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,600 | $105,000 | thousands by filing date | |
| COLONY STARWOOD | 19625X102 | Common Stock | 3,460 | $105,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 1,980 | $104,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 2,684 | $104,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 3,704 | $103,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 2,325 | $103,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 7,150 | $103,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 7,588 | $103,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 900 | $102,000 | thousands by filing date | put |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 6,163 | $102,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 10,500 | $102,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 2,800 | $102,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 2,666 | $102,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 3,000 | $101,000 | thousands by filing date | put |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,065 | $101,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 5,517 | $101,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 5,617 | $101,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 320 | $101,000 | thousands by filing date | principal |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 8,348 | $100,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 6,722 | $100,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 9,341 | $100,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 26,152 | $99,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 6,446 | $99,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 3,153 | $99,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 3,242 | $99,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 10,708 | $98,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 7,095 | $98,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 9,008 | $98,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 7,500 | $98,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 85,100 | $98,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 1,630 | $98,000 | thousands by filing date | principal |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 6,535 | $98,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 3,340 | $98,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 775 | $98,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 1,956 | $97,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 10,181 | $97,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 11,548 | $97,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 13,102 | $96,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 5,986 | $96,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 12,800 | $96,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 5,977 | $96,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 19,054 | $96,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 100,000 | $96,000 | thousands by filing date | principal |
| NATIONAL SEC GROUP INC | 637546102 | COM | 5,300 | $96,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 8,800 | $95,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 12,410 | $95,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 1,030 | $95,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 43,274 | $95,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 2,999 | $95,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 24,000 | $94,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 5,751 | $94,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 59,109 | $94,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 66,858 | $94,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 6,714 | $93,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 5,481 | $93,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 10,350 | $93,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,802 | $93,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 7,230 | $93,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 3,704 | $93,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 3,491 | $92,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 5,070 | $92,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 4,802 | $92,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 10,300 | $92,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 7,752 | $91,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 31,482 | $90,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 15,650 | $90,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 5,750 | $90,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 23,287 | $90,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 15,400 | $90,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 3,466 | $90,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 4,510 | $90,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 6,650 | $90,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 60,083 | $90,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 40,148 | $90,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 7,800 | $89,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 4,675 | $88,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 4,500 | $88,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 15,837 | $87,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 3,055 | $87,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,000 | $87,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 35,057 | $87,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 9,631 | $87,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 5,334 | $87,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 1,791 | $87,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 18,300 | $87,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 5,250 | $87,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 4,202 | $87,000 | thousands by filing date | |
| JAN VELOCITY VELOCITY HED | 00162Q791 | Equities | 3,041 | $87,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 1,017 | $86,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 5,440 | $86,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,073 | $86,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 5,328 | $86,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 2,180 | $86,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 2,885 | $86,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 1,723 | $86,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 3,846 | $85,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 3,552 | $85,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 8,671 | $84,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,665 | $84,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 3,400 | $84,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 2,178 | $84,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 2,674 | $83,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 3,630 | $83,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R207 | Cmn | 18,686 | $83,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 4,305 | $82,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 6,700 | $82,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 45,658 | $82,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 1,311 | $81,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 8,670 | $81,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 15,816 | $81,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 54,210 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 1,641 | $81,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 4,241 | $81,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 1,173 | $80,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 4,794 | $80,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 344,375 | $80,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 5,091 | $80,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 13,045 | $80,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 10,096 | $80,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 120,170 | $80,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 2,854 | $79,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 3,499 | $79,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 6,760 | $79,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 417 | $79,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,860 | $79,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 6,823 | $79,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 3,629 | $79,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 8,185 | $78,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 2,495 | $78,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 6,868 | $77,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 8,774 | $77,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 2,083 | $77,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 7,039 | $77,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 43,090 | $77,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 9,927 | $77,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 4,006 | $76,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 138,254 | $76,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 11,691 | $76,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 18,226 | $76,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 3,024 | $76,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 6,180 | $76,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 733 | $75,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 2,334 | $75,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 31,827 | $75,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 4,200 | $75,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 14,770 | $75,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 27,350 | $75,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 5,000 | $75,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 100,000 | $75,000 | thousands by filing date | principal |
| WIX COM LTD SHS | M98068105 | Stock | 2,450 | $74,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 7,192 | $74,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 4,068 | $74,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 6,768 | $74,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 22,800 | $74,000 | thousands by filing date | put |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 2,999 | $74,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 1,457 | $74,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 82,614 | $74,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 2,400 | $73,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 1,265 | $73,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 4,825 | $73,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 4,800 | $73,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 3,197 | $73,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 21,426 | $73,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 5,450 | $73,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 2,675 | $72,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 1,138 | $72,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 8,890 | $72,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 13,318 | $72,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 46,440 | $72,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 46,098 | $72,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,964 | $72,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $72,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 1,855 | $71,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,196 | $71,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 11,745 | $71,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 2,634 | $71,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 3,026 | $71,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 1,300 | $70,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 31,100 | $70,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 3,940 | $70,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,000 | $70,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 4,965 | $70,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 2,800 | $70,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 85,440 | $70,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 21,842 | $70,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 3,810 | $69,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 2,050 | $69,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 1,450 | $69,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 2,208 | $69,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 2,017 | $69,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,622 | $69,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 4,654 | $69,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,831 | $69,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,263 | $69,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 855 | $69,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 2,235 | $69,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 3,937 | $69,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 4,855 | $68,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 460 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,911 | $68,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 3,751 | $68,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 2,435 | $68,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 5,235 | $68,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 5,800 | $68,000 | thousands by filing date | put |
| EXA CORP | 300614500 | COM | 4,707 | $68,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 10,800 | $67,000 | thousands by filing date | put |
| GODADDY INC CL A | 380237107 | Stock | 2,156 | $67,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 4,657 | $67,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 4,450 | $67,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 1,554 | $67,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 1,654 | $67,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 2,741 | $67,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 6,210 | $67,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 6,667 | $66,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,906 | $66,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 2,624 | $66,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 5,089 | $66,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 5,140 | $66,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 6,250 | $66,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 5,487 | $66,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 10,900 | $66,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 10,100 | $66,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 10,520 | $66,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 4,435 | $66,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 998 | $65,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 4,127 | $65,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 2,594 | $65,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,400 | $65,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 2,227 | $65,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 3,872 | $65,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 1,150 | $64,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 1,971 | $64,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 4,625 | $64,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 3,400 | $64,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 2,816 | $64,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-076539 | superseded | 2016-08-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-077688 | this filing | 2016-08-24 | acceptance time not in the bulk data set |