13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 6,540 holding rows worth $177,217,230,000.
- Accession
- 0001140361-16-086306
- Filer
- CIK 1000275
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 26,050 entries on the cover page, a total value of $177,217,230,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $177,217,230,000 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 |
|---|---|---|---|---|---|---|
| EAGLE MATLS INC COM | 26969P108 | Stock | 894 | $69,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 460 | $69,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 3,521 | $69,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 2,594 | $69,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 4,549 | $69,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 4,916 | $69,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 40,100 | $69,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 60,083 | $69,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 5,517 | $69,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 8,533 | $68,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 4,396 | $68,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 2,148 | $68,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 2,115 | $68,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 3,410 | $68,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,400 | $68,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 5,194 | $68,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 2,950 | $68,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 8,558 | $67,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,756 | $67,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 2,434 | $67,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 28,127 | $67,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 4,204 | $67,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 3,937 | $67,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 615 | $66,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 2,600 | $66,000 | thousands by filing date | put |
| GDL FD | 361570104 | COM SH BEN IT | 6,675 | $66,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 1,806 | $66,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 8,550 | $66,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 3,748 | $66,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 6,430 | $66,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 358 | $66,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 2,000 | $65,000 | thousands by filing date | put |
| ECHOSTAR CORP | 278768106 | CL A | 1,470 | $65,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 5,000 | $65,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 45 | $65,000 | thousands by filing date | principal |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 3,033 | $64,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 3,000 | $64,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 3,256 | $64,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 4,922 | $64,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 633 | $64,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 3,610 | $64,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 3,872 | $64,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 3,200 | $64,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 66,000 | $64,000 | thousands by filing date | principal |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 1,646 | $63,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 2,138 | $63,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 2,975 | $63,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 10,868 | $63,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 5,700 | $63,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 101,030 | $63,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 11,062 | $63,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 2,736 | $63,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 7,173 | $62,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 471 | $62,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 6,094 | $62,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 4,295 | $62,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 5,250 | $62,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 10,900 | $62,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 752 | $62,000 | thousands by filing date | principal |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 2,099 | $61,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 4,281 | $61,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 3,827 | $61,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 6,365 | $61,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 2,741 | $61,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 11,955 | $61,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 5,606 | $61,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,900 | $61,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 465 | $61,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 2,364 | $61,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 6,015 | $60,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,597 | $60,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 42,700 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,800 | $60,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $60,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 2,300 | $60,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 4,330 | $59,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 2,327 | $59,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 3,885 | $59,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 2,729 | $59,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,808 | $59,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 3,070 | $59,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 11,442 | $59,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 10,800 | $59,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 18,000 | $59,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 138 | $58,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 1,422 | $58,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 3,500 | $58,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 3,413 | $58,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 2,589 | $58,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 3,390 | $58,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 3,775 | $58,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,353 | $58,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 4,448 | $58,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 4,106 | $58,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 2,549 | $58,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 5,881 | $58,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,390 | $58,000 | thousands by filing date | principal |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 2,083 | $57,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 3,783 | $57,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 6,575 | $57,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 6,428 | $57,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 15,757 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $57,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 3,010 | $57,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,720 | $56,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 6,600 | $56,000 | thousands by filing date | call |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 4,472 | $56,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 119,373 | $56,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 1,559 | $56,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 790 | $56,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 5,431 | $56,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 2,400 | $56,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 26,547 | $56,000 | thousands by filing date | |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 2,508 | $56,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 3,137 | $56,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 3,250 | $56,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 2,341 | $55,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 31,100 | $55,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 5,444 | $55,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 7,650 | $55,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 2,478 | $55,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $55,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 4,793 | $55,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 7,408 | $54,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,195 | $54,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 14,950 | $54,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,697 | $54,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 4,890 | $54,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,865 | $54,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 1,864 | $53,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 680 | $53,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 1,354 | $53,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 2,516 | $53,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 3,803 | $53,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 5,674 | $53,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 2,062 | $53,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 1,600 | $53,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 2,600 | $53,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 879 | $52,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 1,245 | $52,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 3,102 | $52,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 1,828 | $52,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 2,506 | $51,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 3,088 | $51,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 2,939 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,440 | $51,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 8,070 | $51,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 2,705 | $51,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,445 | $51,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 5,025 | $51,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 4,398 | $51,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 5,305 | $51,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 1,927 | $51,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 50,000 | $51,000 | thousands by filing date | principal |
| NUVECTRA CORP | 67075N108 | COM | 7,374 | $51,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 12,000 | $51,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 3,487 | $50,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,832 | $50,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 1,881 | $50,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 4,182 | $50,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 2,242 | $50,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 6,413 | $50,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,191 | $50,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 5,722 | $50,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 900 | $49,000 | thousands by filing date | put |
| AAR CORP | 000361105 | COM | 1,586 | $49,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 3,528 | $49,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,625 | $49,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 2,038 | $49,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 3,045 | $49,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 6,943 | $49,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 2,001 | $49,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 1,100 | $48,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 2,730 | $48,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,300 | $48,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 29,638 | $48,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 3,100 | $48,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 15,575 | $48,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 3,100 | $47,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 2,530 | $47,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 2,078 | $47,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,785 | $47,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,986 | $47,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 38,143 | $47,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 14,000 | $47,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 9,919 | $47,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $47,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 2,939 | $47,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 7,511 | $46,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 8,750 | $46,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 1,700 | $46,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,843 | $46,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,991 | $46,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 10,775 | $46,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 4,680 | $46,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 52,125 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 2,246 | $46,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 1,500 | $46,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 5,100 | $46,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 4,300 | $46,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 3,500 | $46,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 20,706 | $46,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 12,950 | $45,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 16,700 | $45,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,509 | $45,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 681 | $45,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 2,350 | $45,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 3,684 | $45,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 3,630 | $45,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 1,908 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 690 | $45,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 16,776 | $45,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,860 | $45,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 2,568 | $45,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 2,052 | $45,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,541 | $44,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $44,000 | thousands by filing date | put |
| CALAVO GROWERS INC | 128246105 | COM | 666 | $44,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 2,408 | $44,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,631 | $44,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 2,390 | $44,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 3,220 | $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 | |
| HHGREGG INC | 42833L108 | COM | 23,820 | $44,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 987 | $44,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 1,300 | $44,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 3,232 | $44,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 1,200 | $43,000 | thousands by filing date | call |
| HUDSON PAC PPTYS INC | 444097109 | COM | 1,281 | $43,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,947 | $43,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,525 | $43,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 25,700 | $43,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 1,580 | $43,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 801 | $42,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 2,067 | $42,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 1,199 | $42,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 6,700 | $42,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 3,130 | $42,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 500 | $42,000 | thousands by filing date | put |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 2,746 | $42,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 2,129 | $42,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 1,000 | $42,000 | thousands by filing date | call |
| S&W SEED COMPANY COM | 785135104 | COM | 8,300 | $42,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 1,803 | $42,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 43,982 | $42,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 5,915 | $41,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 2,050 | $41,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,759 | $41,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 3,471 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,153 | $41,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,617 | $41,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 4,496 | $41,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 2,400 | $41,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 239 | $40,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 317 | $40,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 4,395 | $40,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 2,979 | $40,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 4,219 | $40,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 16,850 | $40,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 5,167 | $40,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 28,053 | $40,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 6,500 | $40,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 2,264 | $40,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 765 | $40,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 1,495 | $40,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 1,744 | $40,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 188 | $39,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,206 | $39,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 2,909 | $39,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 670 | $39,000 | thousands by filing date | principal |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,500 | $39,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 9,350 | $39,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 30,165 | $39,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,964 | $38,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,988 | $38,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,000 | $38,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,248 | $38,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,832 | $38,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 703 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 2,081 | $38,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,600 | $38,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 2,195 | $38,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 28,115 | $38,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,800 | $38,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 6,875 | $38,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 339 | $38,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 2,579 | $37,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,561 | $37,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,501 | $37,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 10,909 | $37,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,617 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,543 | $37,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 3,713 | $37,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 35,128 | $37,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 565 | $36,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 2,322 | $36,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $36,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,400 | $36,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,159 | $36,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,103 | $36,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 788 | $36,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 720 | $36,000 | thousands by filing date | principal |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 9,300 | $36,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,940 | $36,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 18,371 | $36,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 518 | $36,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 13,950 | $36,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 610 | $36,000 | thousands by filing date | principal |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 687 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 630 | $35,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 6,030 | $35,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 4,000 | $35,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 2,120 | $35,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 2,200 | $35,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 633 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 645 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 989 | $35,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 2,500 | $35,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,000 | $35,000 | thousands by filing date | call |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,600 | $35,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,631 | $35,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 16,780 | $35,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 800 | $34,000 | thousands by filing date | put |
| RAPID7 INC COM | 753422104 | Stock | 1,900 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 2,000 | $34,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 2,200 | $34,000 | thousands by filing date | call |
| SINA CORP | G81477104 | ORD | 460 | $34,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,866 | $34,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $34,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 2,367 | $34,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 13,608 | $34,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 2,945 | $34,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 15,800 | $34,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 9,969 | $34,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 1,559 | $34,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,000 | $34,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 2,180 | $34,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 1,884 | $34,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 2,945 | $34,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,900 | $34,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,450 | $34,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 1,408 | $34,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 2,150 | $33,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 223 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 835 | $33,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 495 | $33,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 808 | $33,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,185 | $33,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 4,009 | $33,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,957 | $33,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,000 | $33,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,806 | $33,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 2,000 | $33,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 929 | $33,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 1,335 | $33,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 1,600 | $32,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 10,793 | $32,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,165 | $32,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 907 | $32,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 3,200 | $32,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,944 | $32,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 352 | $32,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,200 | $32,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 18,367 | $32,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 10,000 | $32,000 | thousands by filing date | put |
| CRAY INC | 225223304 | COM NEW | 1,354 | $32,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 2,100 | $32,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,500 | $32,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,299 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 1,167 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,703 | $32,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 1,278 | $32,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 960 | $31,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $31,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $31,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,080 | $31,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,330 | $31,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 5,850 | $31,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 609 | $31,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 3,692 | $31,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,109 | $31,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 1,180 | $30,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,570 | $30,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 3,296 | $30,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,079 | $30,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 1,491 | $30,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,390 | $30,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 2,500 | $30,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 3,485 | $30,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,000 | $30,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 2,000 | $30,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 436 | $29,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 2,042 | $29,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,050 | $29,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 3,554 | $29,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 10,417 | $29,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,962 | $29,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,554 | $29,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 569 | $29,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,114 | $29,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 534 | $29,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 9,000 | $29,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,000 | $29,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 3,689 | $29,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 582 | $29,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 566 | $28,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,700 | $28,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 1,504 | $28,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 190 | $28,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,204 | $28,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 7,909 | $28,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,915 | $28,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 2,500 | $28,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,003 | $28,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,170 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 755 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 809 | $28,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 4,871 | $28,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 20,563 | $28,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,533 | $28,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 1,810 | $28,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4,271 | $28,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 3,603 | $28,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 13,915 | $28,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 600 | $28,000 | thousands by filing date | principal |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 539 | $27,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 450 | $27,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,125 | $27,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 10,000 | $27,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,642 | $27,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,498 | $27,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 1,323 | $27,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $27,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,053 | $26,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 2,006 | $26,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,058 | $26,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $26,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 3,830 | $26,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 440 | $26,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,441 | $26,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,650 | $26,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,896 | $26,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 1,100 | $26,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 330 | $26,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 500 | $26,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 3,810 | $26,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 8,000 | $26,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 18,021 | $26,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 2,605 | $26,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 6,645 | $26,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 744 | $26,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,324 | $26,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 2,112 | $26,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 664 | $26,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 550 | $26,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 780 | $25,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 1,222 | $25,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $25,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 907 | $25,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 2,000 | $25,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,000 | $25,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 1,100 | $25,000 | thousands by filing date | call |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 6,138 | $25,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $25,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 2,040 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 543 | $25,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,600 | $25,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 30,000 | $25,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 5,194 | $25,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,000 | $25,000 | thousands by filing date | principal |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,400 | $25,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $24,000 | thousands by filing date | put |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $24,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 400 | $24,000 | thousands by filing date | call |
| KFORCE INC COM | 493732101 | Stock | 1,190 | $24,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 448 | $24,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 7,506 | $24,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 2,000 | $24,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,845 | $24,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,100 | $24,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,478 | $24,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,525 | $24,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 33,000 | $24,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 6,000 | $24,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 24,000 | $24,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,840 | $24,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 930 | $24,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 15,976 | $24,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $24,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,500 | $24,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 1,459 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 677 | $24,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 1,534 | $24,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 1,149 | $23,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 785 | $23,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 736 | $23,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 979 | $23,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 789 | $23,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,300 | $23,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 3,152 | $23,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-086306 | this filing | 2016-11-14 | acceptance time not in the bulk data set |