13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 6,736 holding rows worth $184,585,168,000.
- Accession
- 0001140361-17-007017
- Filer
- CIK 1000275
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 26,434 entries on the cover page, a total value of $184,585,168,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $184,585,168,000 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 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 |
|---|---|---|---|---|---|---|
| EMCORE CORP | 290846203 | COM | 3,795 | $33,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,000 | $33,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 43,103 | $33,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,700 | $33,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,767 | $33,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 1,882 | $33,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 2,730 | $33,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 670 | $32,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 925 | $32,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $32,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 1,775 | $32,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 8,306 | $32,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,243 | $32,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,040 | $32,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 588 | $32,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 1,198 | $32,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,800 | $32,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 9,650 | $32,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,353 | $32,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,352 | $32,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 3,240 | $32,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,631 | $32,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 720 | $31,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 7,488 | $31,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 1,116 | $31,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 1,112 | $31,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,049 | $31,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 3,115 | $31,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 432 | $31,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,866 | $31,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 1,101 | $31,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 2,870 | $31,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 18,332 | $31,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,629 | $31,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 2,671 | $31,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 1,569 | $31,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 31,000 | $31,000 | thousands by filing date | principal |
| NATERA INC COM | 632307104 | Stock | 2,621 | $30,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 843 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 1,403 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 2,260 | $30,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 3,913 | $30,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 9,348 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,450 | $30,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,128 | $30,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 3,624 | $30,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 1,012 | $30,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 8,275 | $30,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 1,955 | $30,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,952 | $30,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,357 | $30,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 2,600 | $30,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 325 | $30,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,081 | $30,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 775 | $30,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 2,112 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 578 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 751 | $30,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 1,600 | $29,000 | thousands by filing date | put |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 817 | $29,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 3,297 | $29,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 2,056 | $29,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,330 | $29,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 8,761 | $29,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 1,200 | $29,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,123 | $29,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 4,275 | $29,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 35,000 | $29,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 11,644 | $29,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 2,000 | $29,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 2,500 | $29,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 1,150 | $29,000 | thousands by filing date | principal |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 1,900 | $29,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 1,000 | $29,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,900 | $29,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,750 | $29,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 2,561 | $28,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,514 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,000 | $28,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 25,068 | $28,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,975 | $28,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,663 | $28,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,825 | $28,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 680 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 755 | $28,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 8,600 | $28,000 | thousands by filing date | call |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 900 | $28,000 | thousands by filing date | call |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,031 | $28,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,000 | $28,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 3,680 | $28,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 2,686 | $28,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 41,444 | $28,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 1,689 | $28,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,243 | $28,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 90,900 | $28,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,844 | $28,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $28,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 13,244 | $28,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 2,137 | $27,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 6,933 | $27,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,055 | $27,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 3,435 | $27,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 1,036 | $27,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,485 | $27,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 882 | $27,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 968 | $27,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,660 | $27,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 1,175 | $27,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,000 | $27,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 4,265 | $27,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 6,154 | $27,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 1,037 | $27,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,756 | $27,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 1,050 | $27,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 400 | $26,000 | thousands by filing date | call |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 827 | $26,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 4,128 | $26,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 4,986 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 566 | $26,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,700 | $26,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,448 | $26,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,792 | $26,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 9,850 | $26,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 867 | $26,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 4,871 | $26,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 18,096 | $26,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 2,200 | $26,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 16,735 | $26,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 4,558 | $26,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 1,393 | $26,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 1,274 | $26,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 3,982 | $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 | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,140 | $26,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 3,368 | $26,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 9,980 | $26,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 5,214 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 1,400 | $26,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 3,823 | $26,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 785 | $25,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 5,650 | $25,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 2,414 | $25,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 892 | $25,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 8,111 | $25,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 2,013 | $25,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,675 | $25,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 681 | $25,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 970 | $25,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 3,528 | $25,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 458 | $25,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 2,276 | $25,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,079 | $25,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 2,148 | $25,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 1,575 | $25,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,276 | $25,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 856 | $25,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 39,600 | $25,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 2,477 | $25,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 329 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 451 | $25,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 2,994 | $25,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 1,000 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 868 | $25,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 1,811 | $25,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 3,725 | $25,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 1,185 | $25,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,000 | $25,000 | thousands by filing date | principal |
| SIERRA BANCORP | 82620P102 | COM | 895 | $24,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 779 | $24,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 20 | $24,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 522 | $24,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $24,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 491 | $24,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 3,866 | $24,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 709 | $24,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 993 | $24,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,554 | $24,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 5,491 | $24,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 749 | $24,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,415 | $24,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 888 | $24,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,456 | $24,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,388 | $24,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 10,000 | $24,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 2,000 | $24,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 2,215 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y371 | DLY S&P 500 BEAR | 2,235 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 1,000 | $24,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 1,771 | $24,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $24,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,392 | $24,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 807 | $23,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 10,848 | $23,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 2,313 | $23,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 2,300 | $23,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 890 | $23,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 827 | $23,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 2,448 | $23,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 1,954 | $23,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 726 | $23,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 9,750 | $23,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 571 | $23,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 500 | $23,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 400 | $23,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 1,121 | $23,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 637 | $23,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 12,090 | $23,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 687 | $23,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 2,508 | $23,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,532 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 1,029 | $23,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $22,000 | thousands by filing date | put |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 1,461 | $22,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 1,207 | $22,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 1,195 | $22,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,736 | $22,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 4,328 | $22,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,200 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,390 | $22,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 8,684 | $22,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 2,232 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 962 | $22,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $22,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,384 | $22,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 8,000 | $22,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,469 | $22,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,237 | $22,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,100 | $22,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,635 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 1,548 | $22,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 904 | $22,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 22,310 | $22,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 4,123 | $22,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 2,731 | $22,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 1,554 | $22,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 19,589 | $22,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 1,017 | $22,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,772 | $21,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 1,408 | $21,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,373 | $21,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 1,941 | $21,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,000 | $21,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 691 | $21,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 1,319 | $21,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,162 | $21,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 571 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 645 | $21,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 735 | $21,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 3,325 | $21,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,823 | $21,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 600 | $21,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,391 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A335 | COM | 1,578 | $21,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 367 | $20,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 500 | $20,000 | thousands by filing date | put |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 2,300 | $20,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,016 | $20,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 913 | $20,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 768 | $20,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,935 | $20,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 4,000 | $20,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 760 | $20,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 11,845 | $20,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 819 | $20,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 2,711 | $20,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 1,669 | $20,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,006 | $20,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,479 | $20,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 957 | $20,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,176 | $20,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 500 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 1,108 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 350 | $20,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,870 | $20,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,524 | $20,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 545 | $20,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 2,818 | $20,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 19,000 | $20,000 | thousands by filing date | principal |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 927 | $20,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $20,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 861 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 846 | $20,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,470 | $20,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 4,602 | $20,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,598 | $20,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 10,103 | $20,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 1,042 | $20,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 624 | $20,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,500 | $20,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 11,761 | $20,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,056 | $20,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,769 | $19,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 214 | $19,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 7,898 | $19,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 567 | $19,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 1,046 | $19,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 3,150 | $19,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,666 | $19,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $19,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,827 | $19,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 600 | $19,000 | thousands by filing date | call |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $19,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 968 | $19,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 946 | $19,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,500 | $19,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,404 | $19,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 504 | $19,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 837 | $19,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 225 | $19,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,576 | $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 | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 547 | $19,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 5,300 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 445 | $19,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 30,000 | $19,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,008 | $19,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 3,710 | $19,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,499 | $19,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 300 | $19,000 | thousands by filing date | principal |
| GERON CORP | 374163103 | COM | 8,751 | $18,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 13,040 | $18,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,144 | $18,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 1,253 | $18,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 834 | $18,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 770 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 450 | $18,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,300 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 500 | $18,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,250 | $18,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 474 | $18,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,951 | $18,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 34,097 | $18,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 3,876 | $18,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 5,107 | $18,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 3,039 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $18,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 871 | $18,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 6,288 | $18,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 600 | $18,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 1,185 | $18,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 925 | $18,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 791 | $18,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 2,100 | $18,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 4,526 | $18,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 577 | $17,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 1,674 | $17,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 393 | $17,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,938 | $17,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 1,607 | $17,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 704 | $17,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,765 | $17,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 763 | $17,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,609 | $17,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 741 | $17,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 240 | $17,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,216 | $17,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 428 | $17,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,790 | $17,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 1,227 | $17,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 1,012 | $17,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 825 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 10,092 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 505 | $17,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,921 | $17,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 884 | $17,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 454 | $17,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,927 | $17,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,104 | $17,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 7,662 | $17,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $17,000 | thousands by filing date | principal |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 10,564 | $16,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 601 | $16,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 459 | $16,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 13,422 | $16,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,433 | $16,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 3,883 | $16,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 850 | $16,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,073 | $16,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,900 | $16,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 26,616 | $16,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 949 | $16,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 389 | $16,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 455 | $16,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 6,210 | $16,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 1,236 | $16,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 1,286 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 820 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,000 | $16,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 367 | $16,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 11,080 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,251 | $16,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 955 | $16,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 536 | $16,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 600 | $16,000 | thousands by filing date | principal |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 940 | $16,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 4,289 | $16,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,852 | $16,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 1,606 | $16,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $16,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 3,261 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 1,000 | $16,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,376 | $16,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 719 | $16,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A110 | *W EXP 10/11/202 | 1,932 | $16,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 643 | $15,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 992 | $15,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 300 | $15,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 1,100 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 388 | $15,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 1,614 | $15,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 454 | $15,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 439 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $15,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,123 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 205 | $15,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,418 | $15,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 465 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 369 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $15,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 24,065 | $15,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,380 | $15,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 841 | $15,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,434 | $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 | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 268 | $15,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 504 | $15,000 | thousands by filing date | |
| UBS ETRACS M PY 2XLVG WF MLP EX-ENGY ETN | 90273A207 | ETF | 1,275 | $15,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 10,156 | $15,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 1,900 | $15,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 19,000 | $15,000 | thousands by filing date | principal |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 2,546 | $15,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 479 | $14,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 205 | $14,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 781 | $14,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,039 | $14,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 1,380 | $14,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 589 | $14,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 986 | $14,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $14,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 575 | $14,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 879 | $14,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 471 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 850 | $14,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 837 | $14,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 396 | $14,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 424 | $14,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 143 | $14,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 462 | $14,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,036 | $14,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 1,583 | $14,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,338 | $14,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,419 | $14,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 6,905 | $14,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 459 | $14,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 600 | $14,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 6,200 | $14,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 5,533 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 689 | $14,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 468 | $13,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $13,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 728 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 410 | $13,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 824 | $13,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,364 | $13,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,325 | $13,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 3,344 | $13,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 855 | $13,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 658 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 200 | $13,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 391 | $13,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 563 | $13,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 480 | $13,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 380 | $13,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 14,845 | $13,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,272 | $13,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,441 | $13,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 864 | $13,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 2,500 | $13,000 | thousands by filing date | put |
| BSB BANCORP INC MD | 05573H108 | COM | 453 | $13,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 805 | $13,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 270 | $13,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 2,577 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,700 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $13,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 710 | $13,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 849 | $13,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 623 | $13,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 2,140 | $13,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 1,950 | $13,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 201 | $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 |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-007017 | this filing | 2017-02-14 | acceptance time not in the bulk data set |