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 |
|---|---|---|---|---|---|---|
| TRUEBLUE INC | 89785X101 | COM | 3,409 | $64,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,121 | $64,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 12,100 | $64,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 28,002 | $64,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 45 | $64,000 | thousands by filing date | principal |
| EXONE CO | 302104104 | COM | 6,027 | $64,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 3,594 | $64,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 3,891 | $64,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $64,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W101 | ENH US LCP ETF | 1,956 | $64,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,483 | $63,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 5,000 | $63,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 8,230 | $63,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 3,200 | $63,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 4,290 | $63,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 16,746 | $63,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 4,028 | $63,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 736 | $63,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 5,267 | $63,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 615 | $62,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 3,356 | $62,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 5,250 | $62,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 19,760 | $62,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 2,425 | $62,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,872 | $61,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 5,188 | $61,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 4,282 | $61,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 6,107 | $60,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 3,583 | $60,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 3,724 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 1,779 | $60,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 1,922 | $60,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,893 | $60,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $59,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 7,649 | $59,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 3,242 | $59,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $59,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 2,258 | $59,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 710 | $59,000 | thousands by filing date | principal |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 5,790 | $58,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,102 | $58,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 9,746 | $58,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 4,000 | $58,000 | thousands by filing date | |
| BARCLAYS BK PLC IPATH S&P MT E | 06740C519 | COM | 5,400 | $58,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 10,721 | $58,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,800 | $58,000 | thousands by filing date | |
| ENDESA AMERS SA | 29261D104 | SPON ADR ADDED | 4,229 | $58,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P200 | UNIT 99/99/9999T | 5,800 | $58,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 1,599 | $57,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 2,300 | $57,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 1,000 | $57,000 | thousands by filing date | put |
| STEELCASE INC-CLASS A | 858155203 | CL A | 4,170 | $57,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 3,614 | $57,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 3,410 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,353 | $57,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,775 | $57,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 2,925 | $57,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 31,720 | $57,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 1,468 | $57,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,900 | $57,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 11,062 | $57,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 14,405 | $56,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,300 | $56,000 | thousands by filing date | put |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 2,832 | $56,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 3,000 | $56,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 2,400 | $56,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 2,825 | $56,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 5,000 | $56,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 5,000 | $56,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 55,000 | $56,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 852 | $56,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 6,057 | $56,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C500 | ADR REV ETF | 1,850 | $56,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 1,031 | $55,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 2,758 | $55,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 4,937 | $55,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 7,872 | $55,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 2,700 | $55,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 6,143 | $54,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,545 | $54,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,033 | $54,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $54,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 1,239 | $54,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 3,440 | $54,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 38,500 | $54,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 121,025 | $54,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,660 | $54,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 7,374 | $54,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 2,063 | $53,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 1,351 | $53,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $53,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 1,351 | $53,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 1,031 | $52,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 22,993 | $52,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 3,160 | $52,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 10,590 | $52,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,824 | $52,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 19,057 | $52,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 2,627 | $52,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 13,620 | $52,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 32,315 | $52,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 5,700 | $52,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,865 | $52,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 15,645 | $52,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 705 | $52,000 | thousands by filing date | principal |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 9,758 | $51,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 4,170 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 3,390 | $51,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 6,453 | $51,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 3,577 | $51,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 1,522 | $51,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,785 | $51,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 3,250 | $51,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 882 | $50,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,697 | $50,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 2,461 | $50,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,045 | $50,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,050 | $50,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 5,116 | $50,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 5,972 | $50,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 3,480 | $50,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,816 | $50,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 701 | $50,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 3,839 | $50,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 2,461 | $50,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 12,000 | $50,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 6,354 | $50,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 3,126 | $49,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 510 | $49,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 46,740 | $49,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 4,142 | $49,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 10,766 | $49,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 21,050 | $49,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 6,373 | $49,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 15,618 | $49,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 13,435 | $49,000 | thousands by filing date | |
| BANCORPSOUTH INC | 059692103 | COM | 2,168 | $49,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 11,300 | $49,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 3,170 | $49,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,600 | $49,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 4,300 | $49,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 3,127 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 2,615 | $49,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 6,965 | $49,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 2,944 | $49,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W408 | Cmn | 2,263 | $49,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $48,000 | thousands by filing date | call |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 1,269 | $48,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 3,521 | $48,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 4,812 | $48,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 4,620 | $48,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 4,680 | $48,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 2,595 | $48,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 21,541 | $48,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 1,122 | $48,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 754 | $47,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 1,657 | $47,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 5,913 | $47,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,991 | $47,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 4,738 | $47,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 530 | $47,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 13,190 | $46,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 9,822 | $46,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 3,330 | $46,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 5,841 | $46,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 3,112 | $46,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,100 | $46,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 2,881 | $46,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 3,924 | $46,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y743 | ADV GLBALPBETA | 1,681 | $46,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 7,350 | $46,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 1,992 | $46,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 2,037 | $45,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,321 | $45,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,800 | $45,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 4,904 | $45,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 3,883 | $45,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 4,109 | $45,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 1,941 | $44,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 2,071 | $44,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,450 | $44,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,843 | $44,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 703 | $44,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 3,000 | $44,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 5,911 | $43,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 500 | $43,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 5,775 | $42,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 3,693 | $42,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 2,374 | $42,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 940 | $42,000 | thousands by filing date | principal |
| FARMER BROS CO | 307675108 | COM | 1,295 | $42,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 2,172 | $42,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,315 | $42,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,966 | $42,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 7,000 | $42,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 1,685 | $41,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 3,000 | $41,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 3,639 | $41,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 2,800 | $41,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,892 | $41,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 6,357 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,800 | $41,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 40,118 | $41,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,000 | $41,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 5,804 | $41,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 1,998 | $41,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 1,200 | $40,000 | thousands by filing date | call |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 4,102 | $40,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 2,358 | $40,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $40,000 | thousands by filing date | put |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 737 | $40,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 11,310 | $40,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 10,181 | $40,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 1,464 | $40,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 3,458 | $40,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 302 | $40,000 | thousands by filing date | principal |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 3,232 | $40,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 1,315 | $39,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 900 | $39,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 700 | $39,000 | thousands by filing date | put |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,003 | $39,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 670 | $39,000 | thousands by filing date | principal |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 31,003 | $39,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 2,741 | $39,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 22,896 | $39,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 17,800 | $39,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 651 | $38,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $38,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,000 | $38,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 3,450 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,200 | $38,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 2,100 | $38,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,192 | $38,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 2,400 | $38,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 1,744 | $38,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 400 | $37,000 | thousands by filing date | call |
| GREEN PLAINS INC | 393222104 | COM | 1,858 | $37,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,629 | $37,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,300 | $37,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 811 | $37,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 4,508 | $37,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,500 | $37,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 14,318 | $37,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,250 | $37,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 1,127 | $37,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 733 | $37,000 | thousands by filing date | principal |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,900 | $37,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,700 | $37,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 2,200 | $36,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,520 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,200 | $36,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,653 | $36,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 3,900 | $36,000 | thousands by filing date | call |
| DENBURY RES INC | 247916208 | COM NEW | 10,000 | $36,000 | thousands by filing date | put |
| RTI BIOLOGICS INC | 74975N105 | COM | 10,000 | $36,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 2,056 | $36,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 2,300 | $36,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,651 | $36,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,693 | $36,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 809 | $35,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 13,100 | $35,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 4,100 | $35,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 2,030 | $35,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,795 | $35,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 690 | $35,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 739 | $35,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 3,913 | $35,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 4,298 | $35,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 22,129 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 1,000 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 630 | $34,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 1,850 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,906 | $34,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,075 | $34,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,122 | $34,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,901 | $34,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 4,856 | $34,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 8,304 | $34,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 20,240 | $34,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,000 | $34,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 900 | $34,000 | thousands by filing date | call |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 18,326 | $34,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 51,250 | $34,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 2,000 | $34,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,464 | $34,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,450 | $34,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 2,177 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 788 | $33,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,940 | $33,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 2,180 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 499 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,098 | $33,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,631 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,703 | $33,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,800 | $33,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050AB0 | NOTE 4.250%11/1 | 40,000 | $33,000 | thousands by filing date | principal |
| LITTELFUSE INC COM | 537008104 | Stock | 277 | $32,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 984 | $32,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 464 | $32,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 863 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 400 | $32,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 19,850 | $32,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 645 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 586 | $32,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,916 | $32,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 24,328 | $32,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,000 | $32,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 17,698 | $32,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 13,069 | $32,000 | thousands by filing date | |
| SPDR SER TR | 78468R846 | BRCLY HGH YIEL | 1,417 | $32,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 711 | $31,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 1,600 | $31,000 | thousands by filing date | put |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,375 | $31,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 816 | $31,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,170 | $31,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 1,022 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 875 | $31,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 8,105 | $31,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 2,465 | $31,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 4,192 | $31,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 2,117 | $31,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347R123 | SHT INV GRD CP | 1,200 | $31,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 4,164 | $31,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 3,000 | $31,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,335 | $31,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 400 | $30,000 | thousands by filing date | call |
| GLAUKOS CORP COM | 377322102 | Stock | 999 | $30,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 16,850 | $30,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 10,768 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 650 | $30,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 1,548 | $30,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 4,000 | $30,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 4,265 | $30,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $30,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,165 | $30,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 7,632 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 831 | $30,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 2,000 | $30,000 | thousands by filing date | put |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 850 | $30,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 21,714 | $30,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 2,254 | $30,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 24,505 | $30,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,299 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $30,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 280 | $30,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 2,176 | $30,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,600 | $29,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 566 | $29,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 5,400 | $29,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,246 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 835 | $29,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 6,700 | $29,000 | thousands by filing date | call |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 2,283 | $29,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 8,601 | $29,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,000 | $29,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,000 | $29,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 3,200 | $29,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,000 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 1,209 | $29,000 | thousands by filing date | |
| FINANCIAL SERVICES SELECT SECTOR SPDR FUND | 81369Y878 | ETF | 1,000 | $29,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 2,250 | $28,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 2,500 | $28,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 320 | $28,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,894 | $28,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 642 | $28,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 3,236 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,114 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 680 | $28,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,502 | $28,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,533 | $28,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 2,500 | $28,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 3,940 | $28,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,655 | $28,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 5,054 | $27,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 4,100 | $27,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 745 | $27,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,204 | $27,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $27,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 925 | $27,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,500 | $27,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 592 | $27,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,925 | $27,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 6,600 | $27,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 2,370 | $27,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 5,035 | $27,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 325 | $27,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,037 | $27,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 11,159 | $27,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 29,000 | $27,000 | thousands by filing date | principal |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,350 | $26,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 575 | $26,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 532 | $26,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,700 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,700 | $26,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 1,215 | $26,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 500 | $26,000 | thousands by filing date | put |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 1,574 | $26,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 658 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,801 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 935 | $26,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 755 | $26,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,795 | $26,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 4,000 | $26,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 15,976 | $26,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $26,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 1,000 | $26,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $26,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 2,180 | $25,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,500 | $25,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,621 | $25,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 10,417 | $25,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 3,906 | $25,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 3,180 | $25,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 506 | $25,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 18,367 | $25,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 3,088 | $25,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 7,100 | $25,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 273 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 800 | $25,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 2,605 | $25,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 2,500 | $25,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 1,100 | $25,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 3,548 | $25,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $24,000 | thousands by filing date | put |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,690 | $24,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 1,000 | $24,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 9,812 | $24,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 2,195 | $24,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,857 | $24,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 3,800 | $24,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $24,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 1,071 | $24,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,416 | $24,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,160 | $24,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,301 | $24,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 412 | $24,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 826 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 741 | $24,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 3,775 | $24,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 1,616 | $24,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 932 | $24,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 541 | $24,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,600 | $24,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $24,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,400 | $24,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 12,000 | $24,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,850 | $23,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 585 | $23,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 1,058 | $23,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 1,144 | $23,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,000 | $23,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 762 | $23,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 6,000 | $23,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,200 | $23,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,600 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 579 | $23,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,612 | $23,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,000 | $23,000 | thousands by filing date | principal |
| TEREX CORP NEW COM | 880779103 | Stock | 1,100 | $22,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 25,836 | $22,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $22,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,300 | $22,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,200 | $22,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,300 | $22,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $22,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,650 | $22,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 243 | $22,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 2,500 | $22,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 625 | $22,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $22,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,445 | $22,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 1,900 | $22,000 | thousands by filing date | call |
| GULF IS FABRICATION INC | 402307102 | COM | 3,114 | $22,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 977 | $22,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 850 | $22,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 34,038 | $22,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 10,000 | $22,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,700 | $22,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 520 | $22,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 1,095 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 1,628 | $22,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $22,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 19,544 | $22,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,500 | $22,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 736 | $21,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,417 | $21,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 695 | $21,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 5,008 | $21,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,992 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 475 | $21,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $21,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $21,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,775 | $21,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,469 | $21,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 4,820 | $21,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 905 | $21,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,750 | $21,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 10,215 | $21,000 | 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 |