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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 1,500 | $23,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,500 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 475 | $23,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $23,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 23,000 | $23,000 | thousands by filing date | call |
| REGIS CORP | 758932107 | COM | 1,765 | $23,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 4,275 | $23,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,170 | $23,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,833 | $23,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,750 | $23,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 445 | $23,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,654 | $23,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $23,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $23,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 900 | $22,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 695 | $22,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 603 | $22,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 1,838 | $22,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $22,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1,150 | $22,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,000 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 940 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 406 | $22,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 3,500 | $22,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 315 | $22,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 33,901 | $22,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,325 | $22,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 500 | $22,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 19,000 | $22,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 799 | $22,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,470 | $22,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 1,121 | $22,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 12,137 | $22,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 2,000 | $22,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 1,585 | $22,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 1,461 | $22,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 505 | $21,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 449 | $21,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,352 | $21,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 6,000 | $21,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 471 | $21,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 45,946 | $21,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 5,000 | $21,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 814 | $21,000 | thousands by filing date | principal |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,484 | $21,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,928 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 1,000 | $21,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 19,571 | $21,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 19,000 | $21,000 | thousands by filing date | principal |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 900 | $21,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,935 | $20,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 151 | $20,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,003 | $20,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 853 | $20,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 5,747 | $20,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 15,500 | $20,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 34,450 | $20,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 1,238 | $20,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 250 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 218 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y743 | ADV GLBALPBETA | 725 | $20,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 143 | $20,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 2,000 | $20,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 17,162 | $20,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 651 | $20,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,186 | $19,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,003 | $19,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 1,378 | $19,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 214 | $19,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 1,578 | $19,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,620 | $19,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,200 | $19,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 600 | $19,000 | thousands by filing date | call |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,000 | $19,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,100 | $19,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 2,955 | $19,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $19,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 23,400 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 418 | $19,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 1,203 | $19,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $19,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 439 | $19,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,067 | $19,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 700 | $19,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 2,005 | $18,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 1,022 | $18,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 7,000 | $18,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,200 | $18,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,800 | $18,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 794 | $18,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 500 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $18,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 23,662 | $18,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 700 | $18,000 | thousands by filing date | principal |
| LA QUINTA HLDGS INC | 50420D108 | COM | 1,621 | $18,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 361 | $17,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 2,516 | $17,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 697 | $17,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,084 | $17,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $17,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 3,041 | $17,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 6,658 | $17,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,215 | $17,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $17,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,900 | $17,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,600 | $17,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 15,350 | $17,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 2,614 | $17,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 854 | $17,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 367 | $17,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,878 | $17,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 37,103 | $17,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 536 | $17,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 6,542 | $17,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 4,798 | $17,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 549 | $17,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 600 | $17,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 283 | $16,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 2,257 | $16,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 683 | $16,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 953 | $16,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 1,003 | $16,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 400 | $16,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 641 | $16,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,063 | $16,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 3,568 | $16,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,364 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 465 | $16,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 9,011 | $16,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 9,794 | $16,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,012 | $16,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,623 | $16,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 10,000 | $16,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,000 | $16,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 1,230 | $16,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 13,000 | $16,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $16,000 | thousands by filing date | principal |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 255 | $16,000 | thousands by filing date | principal |
| ENTELLUS MED INC | 29363K105 | COM | 700 | $16,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 607 | $15,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 1,721 | $15,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 436 | $15,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 665 | $15,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 1,000 | $15,000 | thousands by filing date | call |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 908 | $15,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 610 | $15,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 1,459 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 205 | $15,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,900 | $15,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $15,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 3,000 | $15,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,196 | $15,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 716 | $15,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 800 | $15,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,222 | $15,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 231 | $15,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 9,000 | $15,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 6,590 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $15,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 585 | $15,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 750 | $15,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 2,689 | $15,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $15,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 260 | $15,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 1,900 | $15,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,200 | $15,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 600 | $15,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 1,515 | $14,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $14,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 1,222 | $14,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 530 | $14,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,500 | $14,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 1,305 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 850 | $14,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,000 | $14,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $14,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 1,037 | $14,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 2,500 | $14,000 | thousands by filing date | put |
| FINISH LINE/THE CL A | 317923100 | COM | 621 | $14,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,380 | $14,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,850 | $14,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $14,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,300 | $14,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 2,200 | $14,000 | thousands by filing date | call |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 960 | $14,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 604 | $14,000 | thousands by filing date | |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 500 | $14,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 223 | $13,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,160 | $13,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 14,448 | $13,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 448 | $13,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 1,155 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 200 | $13,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 500 | $13,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 700 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 200 | $13,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 280 | $13,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,661 | $13,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 769 | $13,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 704 | $13,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 992 | $13,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 5,500 | $13,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 7,225 | $13,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 521 | $13,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 540 | $13,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 270 | $13,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 300 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $13,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 484 | $13,000 | thousands by filing date | principal |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 892 | $13,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 911 | $13,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 1,230 | $13,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $13,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 12,000 | $13,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 12,000 | $13,000 | thousands by filing date | principal |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 1,500 | $13,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 5,050 | $12,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 444 | $12,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 209 | $12,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $12,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 234 | $12,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 668 | $12,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 600 | $12,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 330 | $12,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,148 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 390 | $12,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 480 | $12,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 5,369 | $12,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 10,000 | $12,000 | thousands by filing date | put |
| CYTRX CORP | 232828509 | COM PAR $.001 | 21,541 | $12,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 385 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 613 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 695 | $12,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,862 | $12,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 349 | $12,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 3,234 | $12,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 270 | $12,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 400 | $12,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,500 | $12,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 950 | $12,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $12,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 199 | $12,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 1,500 | $12,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 4,200 | $12,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 14,500 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X160 | S&P INTL DIVID | 300 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 200 | $11,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 800 | $11,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 255 | $11,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 414 | $11,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,202 | $11,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 390 | $11,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 1,000 | $11,000 | thousands by filing date | call |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,012 | $11,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 3,000 | $11,000 | thousands by filing date | principal |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 816 | $11,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 467 | $11,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 809 | $11,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 212 | $11,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,000 | $11,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 839 | $11,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 6,000 | $11,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 875 | $11,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 866 | $11,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 100 | $11,000 | thousands by filing date | principal |
| FSB BANCORP INC | 30289C102 | COM | 856 | $11,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,435 | $11,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 9,000 | $11,000 | thousands by filing date | principal |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 624 | $11,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 2,697 | $11,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,267 | $10,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,388 | $10,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 346 | $10,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 300 | $10,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 199 | $10,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,583 | $10,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 412 | $10,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 5,770 | $10,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $10,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 456 | $10,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 960 | $10,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $10,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 1,419 | $10,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,350 | $10,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 355 | $10,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 666 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 640 | $10,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 2,000 | $10,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 476 | $10,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 33,276 | $10,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 10,000 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,600 | $10,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 1,632 | $10,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 919 | $10,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 9,000 | $10,000 | thousands by filing date | principal |
| VOXELJET AG | 92912L107 | ADS | 2,100 | $10,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 8,000 | $10,000 | thousands by filing date | principal |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 2,418 | $10,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 12,247 | $10,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 6,033 | $10,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 73 | $10,000 | thousands by filing date | principal |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 400 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 214 | $9,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 751 | $9,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 469 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 792 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 100 | $9,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 320 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 200 | $9,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 225 | $9,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 710 | $9,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 453 | $9,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,911 | $9,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 800 | $9,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 1,183 | $9,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 641 | $9,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 800 | $9,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,251 | $9,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 3,000 | $9,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $9,000 | thousands by filing date | principal |
| CHIASMA INC | 16706W102 | COM | 3,000 | $9,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 337 | $9,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 737 | $9,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 878 | $9,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 352 | $9,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,100 | $9,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 700 | $9,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 1,020 | $9,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 274 | $9,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 447 | $9,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 912 | $9,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 3,244 | $9,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 188 | $8,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 300 | $8,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 400 | $8,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $8,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,100 | $8,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 200 | $8,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 221 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 169 | $8,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 299 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 428 | $8,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 215 | $8,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $8,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 400 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| Flushing Financial Corp | 343873105 | Common Stock | 339 | $8,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 309 | $8,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 11,000 | $8,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 9,350 | $8,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 5,000 | $8,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 4,718 | $8,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 956 | $8,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 784 | $8,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 300 | $8,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 830 | $8,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 7,000 | $8,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 7,000 | $8,000 | thousands by filing date | principal |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,163 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 278 | $8,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 475 | $8,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,200 | $8,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 892 | $8,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 8,016 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,491 | $8,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,007 | $8,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 6,450 | $8,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 8,000 | $8,000 | thousands by filing date | principal |
| APIGEE CORP COM | 03765N108 | Stock | 448 | $8,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 1,000 | $8,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 579 | $7,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 305 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 298 | $7,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 238 | $7,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 469 | $7,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,118 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 500 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 645 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $7,000 | thousands by filing date | principal |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 3,890 | $7,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,465 | $7,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 243 | $7,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 858 | $7,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 791 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,320 | $7,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 280 | $7,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $7,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,370 | $7,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 515 | $7,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,000 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 5,300 | $7,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,554 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 300 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 400 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 231 | $7,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,000 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 125 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 450 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 400 | $7,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 911 | $7,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 855 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 319 | $7,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 564 | $6,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,000 | $6,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 200 | $6,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 295 | $6,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 1,051 | $6,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $6,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 392 | $6,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 666 | $6,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 410 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 243 | $6,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,195 | $6,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,800 | $6,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 3,000 | $6,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 5,956 | $6,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,761 | $6,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 368 | $6,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 311 | $6,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,000 | $6,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,753 | $6,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 2,400 | $6,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 4,000 | $6,000 | thousands by filing date | put |
| DSP GROUP INC | 23332B106 | COM | 477 | $6,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 500 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 824 | $6,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $6,000 | thousands by filing date | principal |
| Janus Capital | 47102XAH8 | CONV | 5,000 | $6,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $6,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 743 | $6,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 2,124 | $6,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 650 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 242 | $6,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,255 | $6,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 6,000 | $6,000 | thousands by filing date | principal |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 1,940 | $6,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,654 | $5,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 500 | $5,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 1,267 | $5,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 456 | $5,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 345 | $5,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 600 | $5,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 620 | $5,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 220 | $5,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 691 | $5,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 112 | $5,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 508 | $5,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 90 | $5,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 200 | $5,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,380 | $5,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| PHH CORP | 693320202 | COM NEW | 388 | $5,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 400 | $5,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 388 | $5,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $5,000 | thousands by filing date | principal |
| FEDERAL MOGUL CORP | 313549404 | COM | 500 | $5,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 500 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 300 | $5,000 | thousands by filing date | call |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 246 | $5,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 615 | $5,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,000 | $5,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 6,461 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,187 | $5,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 4,000 | $5,000 | thousands by filing date | principal |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 284 | $5,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 772 | $5,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 3,000 | $5,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 6,678 | $5,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $5,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 1,000 | $5,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 500 | $5,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 10,000 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 833 | $5,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 700 | $5,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 300 | $5,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 348 | $5,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 200 | $5,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 900 | $5,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 200 | $5,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 200 | $5,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 320 | $5,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 276 | $5,000 | 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 |