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 |
|---|---|---|---|---|---|---|
| INTERPARFUMS INC COM | 458334109 | Stock | 381 | $12,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,439 | $12,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 480 | $12,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 300 | $12,000 | thousands by filing date | call |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 1,000 | $12,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 1,017 | $12,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 579 | $12,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 157 | $12,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 1,000 | $12,000 | thousands by filing date | call |
| VERA BRADLEY INC | 92335C106 | COM | 988 | $12,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 407 | $12,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 520 | $12,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 490 | $12,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 287 | $12,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 2,032 | $12,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,308 | $12,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 270 | $12,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 357 | $12,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,961 | $12,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 783 | $12,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 8,906 | $12,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 346 | $12,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 4,596 | $12,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 10,000 | $12,000 | thousands by filing date | put |
| PHARMATHENE INC | 71714G102 | COM | 3,788 | $12,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 5,800 | $12,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 8,710 | $12,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,292 | $12,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,610 | $12,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,254 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 613 | $12,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 2,426 | $12,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 6,806 | $12,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 484 | $12,000 | thousands by filing date | principal |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 925 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 200 | $12,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $12,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 1,190 | $12,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 434 | $12,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,630 | $11,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 300 | $11,000 | thousands by filing date | call |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 771 | $11,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 540 | $11,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 200 | $11,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 307 | $11,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 412 | $11,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 337 | $11,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 463 | $11,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 856 | $11,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 352 | $11,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 1,392 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 656 | $11,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 431 | $11,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,000 | $11,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,751 | $11,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 5,073 | $11,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 6,498 | $11,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,188 | $11,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,000 | $11,000 | thousands by filing date | put |
| VALHI INC NEW | 918905100 | COM | 3,202 | $11,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,402 | $11,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 2,801 | $11,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 988 | $11,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 400 | $11,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,468 | $11,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 270 | $11,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 2,022 | $11,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,433 | $11,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 2,556 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 532 | $11,000 | thousands by filing date | |
| DRYSHIPS INC COM PAR NEW | Y2109Q309 | Stock | 3,012 | $11,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,025 | $11,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 291 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 213 | $10,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 827 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 200 | $10,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 2,177 | $10,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 565 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 227 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 150 | $10,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 232 | $10,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 682 | $10,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 819 | $10,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 485 | $10,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,000 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 700 | $10,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 800 | $10,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 362 | $10,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,018 | $10,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 992 | $10,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 791 | $10,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 10,350 | $10,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 894 | $10,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 1,400 | $10,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,715 | $10,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,000 | $10,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 623 | $10,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,015 | $10,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 6,000 | $10,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,200 | $10,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,000 | $10,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 745 | $10,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 500 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18385P705 | GUGGENHEIM ETF | 200 | $10,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 1,760 | $10,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 624 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 400 | $10,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 16,500 | $10,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 1,600 | $10,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 387 | $9,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 17,800 | $9,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 469 | $9,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,031 | $9,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 960 | $9,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,000 | $9,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,799 | $9,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 165 | $9,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 241 | $9,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 863 | $9,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,275 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 428 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 363 | $9,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 320 | $9,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 588 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 202 | $9,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,497 | $9,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 200 | $9,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 1,236 | $9,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 7,000 | $9,000 | thousands by filing date | principal |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,568 | $9,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 800 | $9,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 6,000 | $9,000 | thousands by filing date | principal |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 241 | $9,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 1,241 | $9,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 25,236 | $9,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,798 | $9,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 3,000 | $9,000 | thousands by filing date | principal |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 790 | $9,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $9,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 509 | $9,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 2,215 | $9,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,781 | $9,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 1,726 | $9,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 2,137 | $9,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 357 | $8,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 2,843 | $8,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,071 | $8,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 15,273 | $8,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 298 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 159 | $8,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $8,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 119 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,266 | $8,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 521 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 626 | $8,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,938 | $8,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 238 | $8,000 | thousands by filing date | |
| 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 |
| OWENS RLTY MTG INC | 690828108 | COM | 452 | $8,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 1,010 | $8,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,000 | $8,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 60,788 | $8,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 603 | $8,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 758 | $8,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 931 | $8,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,778 | $8,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 331 | $8,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 280 | $8,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $8,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 278 | $8,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 5,015 | $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 | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 404 | $8,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 7,337 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 200 | $8,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 306 | $8,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $8,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 3,057 | $8,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 444 | $8,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 495 | $8,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 4,497 | $8,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 5,592 | $8,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 1,847 | $8,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 941 | $8,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 2,000 | $8,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,267 | $7,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 253 | $7,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 322 | $7,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 100 | $7,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 804 | $7,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $7,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 2,163 | $7,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 79 | $7,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 100 | $7,000 | thousands by filing date | call |
| WINMARK CORP | 974250102 | COM | 56 | $7,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 205 | $7,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 434 | $7,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 477 | $7,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 554 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 549 | $7,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 454 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 645 | $7,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $7,000 | thousands by filing date | call |
| INTREPID POTASH INC | 46121Y102 | COM | 3,505 | $7,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 641 | $7,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 4,492 | $7,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 5,000 | $7,000 | thousands by filing date | principal |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,231 | $7,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 568 | $7,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,765 | $7,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 275 | $7,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 492 | $7,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 958 | $7,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 662 | $7,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,500 | $7,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 2,497 | $7,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 2,915 | $7,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 102 | $7,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,600 | $7,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,370 | $7,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 500 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 10,000 | $7,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 1,612 | $7,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 730 | $7,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,350 | $7,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 543 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 125 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 466 | $7,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,465 | $7,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 400 | $7,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 2,257 | $7,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 900 | $7,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 60 | $6,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,429 | $6,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 4,193 | $6,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 386 | $6,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 186 | $6,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 454 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 703 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| IRIDEX CORP | 462684101 | COM | 444 | $6,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 235 | $6,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,156 | $6,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 437 | $6,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 74 | $6,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,394 | $6,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 4,818 | $6,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,533 | $6,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 26,243 | $6,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 1,923 | $6,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 406 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,405 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 1,329 | $6,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 50 | $6,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $6,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 515 | $6,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 1,000 | $6,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 7,641 | $6,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 432 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $6,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 701 | $6,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 200 | $6,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 979 | $6,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,000 | $6,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 1,280 | $6,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 339 | $6,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 280 | $6,000 | thousands by filing date | principal |
| NOVAN INC | 66988N106 | COM | 236 | $6,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 232 | $6,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,855 | $6,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 462 | $6,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 400 | $6,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 4,708 | $6,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,531 | $5,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 2,375 | $5,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 759 | $5,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 100 | $5,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 200 | $5,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 681 | $5,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 220 | $5,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 895 | $5,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 723 | $5,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 200 | $5,000 | thousands by filing date | call |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 340 | $5,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 100 | $5,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 487 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 200 | $5,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 976 | $5,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,761 | $5,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,017 | $5,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 81 | $5,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 342 | $5,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 314 | $5,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $5,000 | thousands by filing date | principal |
| ARQULE INC | 04269E107 | COM | 4,225 | $5,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,223 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,000 | $5,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 401 | $5,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 361 | $5,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,377 | $5,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 4,000 | $5,000 | thousands by filing date | principal |
| 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 | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 902 | $5,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 400 | $5,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 188 | $5,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 245 | $5,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 746 | $5,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 888 | $5,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 270 | $5,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 2,980 | $5,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 1,408 | $5,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 200 | $5,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 200 | $5,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 1,288 | $5,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 1,000 | $5,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 4,000 | $5,000 | thousands by filing date | principal |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 85 | $5,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 200 | $5,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 200 | $5,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 7,314 | $5,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 235 | $4,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 352 | $4,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 802 | $4,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 855 | $4,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 144 | $4,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 71 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 258 | $4,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 184 | $4,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 309 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 183 | $4,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 155 | $4,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 610 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 90 | $4,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 214 | $4,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 963 | $4,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 822 | $4,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 259 | $4,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 3,000 | $4,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 335 | $4,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 3,500 | $4,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,000 | $4,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| GLYCOMIMETICS INC | 38000Q102 | COM | 685 | $4,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,436 | $4,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 321 | $4,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 1,093 | $4,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 612 | $4,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 170 | $4,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 200 | $4,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 811 | $4,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 2,576 | $4,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 4,000 | $4,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 458 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 6,635 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 900 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 148 | $4,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,312 | $4,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 30,554 | $4,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 10,038 | $4,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 606 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $4,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 425 | $4,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 1,006 | $4,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 223 | $4,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 833 | $4,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,105 | $4,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 600 | $4,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 294 | $4,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 300 | $4,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 93 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 200 | $4,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 4,450 | $4,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 693 | $4,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 244 | $4,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 488 | $4,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,480 | $4,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 1,900 | $4,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 280 | $4,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 175 | $4,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $4,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 75 | $3,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 500 | $3,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 100 | $3,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | put |
| OOMA INC | 683416101 | COM | 300 | $3,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 75 | $3,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 345 | $3,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 478 | $3,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 500 | $3,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 170 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 135 | $3,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 500 | $3,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 523 | $3,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 360 | $3,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 95 | $3,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 2,500 | $3,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,100 | $3,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 141 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 200 | $3,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 5,911 | $3,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,194 | $3,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 100 | $3,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,500 | $3,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 106 | $3,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 577 | $3,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 1,000 | $3,000 | thousands by filing date | call |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 633 | $3,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 5,525 | $3,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 2,316 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $3,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,793 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,300 | $3,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,065 | $3,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 335 | $3,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 400 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 1,000 | $3,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 2,000 | $3,000 | thousands by filing date | principal |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 100 | $3,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 200 | $3,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 227 | $3,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 500 | $3,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $3,000 | thousands by filing date | principal |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 217 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 55 | $3,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 317 | $3,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 4,071 | $3,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 237 | $3,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 87 | $3,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 152 | $3,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 100 | $3,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 335 | $3,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 1,526 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 4,000 | $3,000 | thousands by filing date | principal |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 110 | $3,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $3,000 | thousands by filing date | principal |
| COGINT INC | 19241Q101 | COM | 867 | $3,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 101 | $3,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 704 | $3,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 7,080 | $3,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 200 | $2,000 | thousands by filing date | put |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 500 | $2,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 287 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 45 | $2,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 116 | $2,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 100 | $2,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 158 | $2,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 250 | $2,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 88 | $2,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 626 | $2,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 272 | $2,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 132 | $2,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,381 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 200 | $2,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 84 | $2,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 300 | $2,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 338 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 19 | $2,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 125 | $2,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 435 | $2,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 290 | $2,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $2,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 55 | $2,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 300 | $2,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 500 | $2,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 490 | $2,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 200 | $2,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 7,075 | $2,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 2,000 | $2,000 | thousands by filing date | principal |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 352 | $2,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 100 | $2,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 5,000 | $2,000 | thousands by filing date | principal |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 250 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 1,094 | $2,000 | thousands by filing date |
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 |