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 |
|---|---|---|---|---|---|---|
| MDU RES GROUP INC | 552690109 | COM | 162,357 | $4,670,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 167,306 | $4,665,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 3,278,990 | $4,656,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 94,192 | $4,650,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 55,898 | $4,648,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 578,961 | $4,643,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 66,588 | $4,623,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 327,858 | $4,619,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 252,043 | $4,617,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 156,571 | $4,613,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 60,760 | $4,609,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 4,500,000 | $4,607,000 | thousands by filing date | principal |
| RANGE RES CORP COM | 75281A109 | Stock | 133,800 | $4,597,000 | thousands by filing date | put |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 189,404 | $4,590,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 114,357 | $4,587,000 | thousands by filing date | |
| WESTPAC BKG CORP NOTE | 961214DF7 | NOTE 4.322%11/2 | 4,600,000 | $4,582,000 | thousands by filing date | principal |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 100,000 | $4,565,000 | thousands by filing date | call |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 81,004 | $4,562,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 798,974 | $4,562,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 36,151 | $4,530,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 212,931 | $4,519,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 860,389 | $4,517,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 28,200 | $4,516,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 98,654 | $4,514,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 51,074 | $4,507,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 235,783 | $4,507,000 | thousands by filing date | |
| ROYAL BK CDA | 78011D245 | ETN LKD S&P TR | 199,997 | $4,505,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 534,484 | $4,501,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 112,500 | $4,500,000 | thousands by filing date | call |
| TERNIUM SA | 880890108 | SPONSORED ADS | 186,264 | $4,498,000 | thousands by filing date | |
| Tortoise North Amer Pipleline | 611776204 | COM | 189,741 | $4,497,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 60,100 | $4,487,000 | thousands by filing date | call |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 392,195 | $4,485,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 317,689 | $4,479,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 41,560 | $4,470,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 4,174,000 | $4,459,000 | thousands by filing date | principal |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 659,623 | $4,452,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 295,174 | $4,433,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 233,083 | $4,426,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 60,000 | $4,423,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 84,179 | $4,422,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 213,184 | $4,419,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 191,970 | $4,413,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 48,850 | $4,387,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 75,600 | $4,383,000 | thousands by filing date | put |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 186,875 | $4,382,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 180,157 | $4,360,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 238,900 | $4,355,000 | thousands by filing date | put |
| PAYPALHLDGSINC | 70450Y103 | STOK | 110,000 | $4,342,000 | thousands by filing date | put |
| PC CONNECTION INC | 69318J100 | COM | 153,667 | $4,317,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 95,600 | $4,316,000 | thousands by filing date | call |
| SONOCO PRODS CO | 835495102 | COM | 81,855 | $4,313,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 100,997 | $4,312,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 575,000 | $4,307,000 | thousands by filing date | call |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 206,897 | $4,304,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 175,170 | $4,303,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 117,481 | $4,298,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 296,517 | $4,287,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 63,358 | $4,283,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 15,100 | $4,282,000 | thousands by filing date | call |
| RANDGOLD RES LTD | 752344309 | ADR | 55,921 | $4,268,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 88,100 | $4,261,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 163,397 | $4,247,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 40,648 | $4,241,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 210,017 | $4,236,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 21,400 | $4,227,000 | thousands by filing date | call |
| BCE INC COM NEW | 05534B760 | Stock | 97,500 | $4,216,000 | thousands by filing date | call |
| TELEFLEX INCORPORATED | 879369106 | COM | 26,097 | $4,206,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 26,700 | $4,200,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 38,568 | $4,200,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 53,494 | $4,192,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 523,209 | $4,191,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 110,446 | $4,186,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 50,200 | $4,161,000 | thousands by filing date | call |
| VANGUARD MALVERN FDS | 922020805 | SHS | 84,338 | $4,146,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 145,200 | $4,135,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 46,177 | $4,120,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 382,965 | $4,120,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 320,704 | $4,114,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 3,978,000 | $4,112,000 | thousands by filing date | principal |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 258,000 | $4,102,000 | thousands by filing date | call |
| EASTMAN CHEM CO COM | 277432100 | Stock | 54,500 | $4,099,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 100,335 | $4,095,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 250,164 | $4,095,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 95,900 | $4,092,000 | thousands by filing date | put |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 247,038 | $4,089,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 43,369 | $4,088,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 349,536 | $4,083,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 1,334,100 | $4,082,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 106,000 | $4,077,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 84,100 | $4,068,000 | thousands by filing date | put |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 99,699 | $4,059,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 43,203 | $4,059,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 243,649 | $4,049,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 168,276 | $4,035,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 212,000 | $4,034,000 | thousands by filing date | call |
| HUNTSMAN CORP | 447011107 | COM | 211,428 | $4,034,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 395,172 | $4,034,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 75,238 | $4,034,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 550,000 | $4,015,000 | thousands by filing date | put |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 32,811 | $4,013,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 98,700 | $4,011,000 | thousands by filing date | put |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 110,469 | $4,007,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 439,039 | $4,005,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 263,331 | $4,000,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 100,083 | $3,990,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 210,416 | $3,988,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 35,384 | $3,969,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 148,015 | $3,967,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 50,077 | $3,943,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 25,300 | $3,939,000 | thousands by filing date | call |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 148,883 | $3,934,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 45,000 | $3,929,000 | thousands by filing date | call |
| NORDSON CORP | 655663102 | COM | 35,068 | $3,929,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 68,846 | $3,925,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 80,647 | $3,924,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 220,000 | $3,920,000 | thousands by filing date | call |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 125,404 | $3,920,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 208,354 | $3,917,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 112,576 | $3,892,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 61,300 | $3,891,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 34,200 | $3,874,000 | thousands by filing date | call |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 481,483 | $3,867,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 76,000 | $3,863,000 | thousands by filing date | call |
| ROYAL GOLD INC | 780287108 | COM | 60,954 | $3,863,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 141,054 | $3,861,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 61,723 | $3,855,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 2,123,000 | $3,844,000 | thousands by filing date | principal |
| BP PLC SPONSORED ADR | 055622104 | ADR | 102,700 | $3,839,000 | thousands by filing date | put |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 115,803 | $3,831,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 87,865 | $3,829,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 58,631 | $3,826,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 165,000 | $3,818,000 | thousands by filing date | put |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,229,310 | $3,811,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 311,765 | $3,806,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 143,221 | $3,790,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 242,734 | $3,789,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 111,133 | $3,776,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 352,623 | $3,773,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 55,957 | $3,767,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 142,343 | $3,767,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 140,648 | $3,758,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 97,900 | $3,737,000 | thousands by filing date | call |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 279,311 | $3,726,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 720,504 | $3,726,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 402,408 | $3,722,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 33,203 | $3,719,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 48,723 | $3,713,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 27,947 | $3,708,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 50,000 | $3,706,000 | thousands by filing date | put |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 58,092 | $3,704,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 47,000 | $3,700,000 | thousands by filing date | call |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 277,501 | $3,691,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 75,000 | $3,689,000 | thousands by filing date | put |
| ROYCE VALUE TRUST | 780910105 | COM | 275,205 | $3,685,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 334,500 | $3,679,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 192,327 | $3,675,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 29,600 | $3,671,000 | thousands by filing date | put |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 85,192 | $3,667,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 107,800 | $3,665,000 | thousands by filing date | call |
| URBAN OUTFITTERS INC | 917047102 | COM | 128,600 | $3,663,000 | thousands by filing date | call |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 275,332 | $3,660,000 | thousands by filing date | |
| WGL HLDGS INC | 92924F106 | COM | 47,783 | $3,645,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 667,320 | $3,643,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 69,469 | $3,641,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 41,943 | $3,619,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 106,527 | $3,611,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 95,259 | $3,605,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 91,753 | $3,601,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 50,118 | $3,590,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 241,900 | $3,590,000 | thousands by filing date | put |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 166,113 | $3,588,000 | thousands by filing date | |
| CLARCOR INC | 179895107 | COM | 43,366 | $3,577,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 88,409 | $3,566,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 57,800 | $3,565,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 66,700 | $3,562,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 100,327 | $3,562,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 352,000 | $3,559,000 | thousands by filing date | call |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 57,380 | $3,554,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 50,000 | $3,545,000 | thousands by filing date | put |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 233,400 | $3,541,000 | thousands by filing date | put |
| SEADRILL ORD | G7945E105 | COM | 1,037,800 | $3,539,000 | thousands by filing date | put |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 221,440 | $3,532,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 87,084 | $3,522,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 185,745 | $3,515,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 75,442 | $3,500,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 154,321 | $3,488,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 47,300 | $3,486,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 63,270 | $3,456,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 62,807 | $3,450,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 77,076 | $3,447,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 102,214 | $3,447,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 118,300 | $3,436,000 | thousands by filing date | call |
| McDonalds Corporation | 580135101 | COM | 28,200 | $3,433,000 | thousands by filing date | call |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 50,728 | $3,431,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 40,500 | $3,421,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 1,500,000 | $3,420,000 | thousands by filing date | principal |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 126,400 | $3,417,000 | thousands by filing date | call |
| MICHAELS COS INC | 59408Q106 | COM | 166,421 | $3,402,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 50,000 | $3,386,000 | thousands by filing date | put |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 34,594 | $3,376,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 252,546 | $3,371,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 674,630 | $3,366,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 176,375 | $3,339,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 3,046,000 | $3,338,000 | thousands by filing date | principal |
| BANK OF THE OZARKS | 063904106 | COM | 63,436 | $3,336,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 43,306 | $3,335,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 68,578 | $3,334,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 55,347 | $3,332,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 96,464 | $3,330,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 144,327 | $3,328,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 61,906 | $3,324,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 34,972 | $3,318,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 13,304 | $3,312,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 301,000 | $3,311,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 194,386 | $3,310,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 208,371 | $3,301,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 95,000 | $3,292,000 | thousands by filing date | call |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 104,385 | $3,286,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 37,016 | $3,283,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 73,959 | $3,279,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 255,778 | $3,277,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 97,855 | $3,276,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 100,612 | $3,269,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 160,718 | $3,264,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 140,487 | $3,263,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 402,741 | $3,262,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 86,236 | $3,258,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 156,900 | $3,249,000 | thousands by filing date | put |
| Abbott Laboratories | 002824100 | COM | 84,500 | $3,246,000 | thousands by filing date | call |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 86,965 | $3,235,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 389,000 | $3,233,000 | thousands by filing date | put |
| AGNC INVT CORP COM | 00123Q104 | REIT | 178,032 | $3,228,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 3,125,000 | $3,223,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 1,541,000 | $3,215,000 | thousands by filing date | principal |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 104,748 | $3,214,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 50,571 | $3,213,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 54,839 | $3,213,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 279,111 | $3,210,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 59,029 | $3,193,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 50,400 | $3,192,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 265,876 | $3,163,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 71,873 | $3,160,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 711,835 | $3,153,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 146,100 | $3,151,000 | thousands by filing date | call |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 96,624 | $3,149,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 290,366 | $3,149,000 | thousands by filing date | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 123,908 | $3,149,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 73,200 | $3,146,000 | thousands by filing date | call |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 194,210 | $3,135,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 45,423 | $3,132,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 78,891 | $3,130,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 216,520 | $3,126,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 56,497 | $3,121,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 433,566 | $3,117,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 408,440 | $3,116,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 128,905 | $3,111,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 164,200 | $3,108,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 78,212 | $3,107,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 332,465 | $3,105,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 50,200 | $3,103,000 | thousands by filing date | call |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 62,936 | $3,097,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 37,700 | $3,093,000 | thousands by filing date | call |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 3,226,000 | $3,091,000 | thousands by filing date | principal |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 100,000 | $3,087,000 | thousands by filing date | put |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 30,047 | $3,083,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 328,173 | $3,082,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 77,014 | $3,081,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 24,193 | $3,078,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 100,806 | $3,077,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 1,837 | $3,067,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 99,227 | $3,058,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 38,382 | $3,056,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 61,071 | $3,054,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 264,241 | $3,046,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 125,662 | $3,045,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 80,034 | $3,044,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 137,166 | $3,032,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 7,136 | $3,025,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 41,262 | $3,012,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 110,662 | $3,010,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 184,300 | $3,005,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 22,400 | $3,003,000 | thousands by filing date | call |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 254,096 | $3,001,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 91,460 | $2,996,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 128,356 | $2,991,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 127,324 | $2,990,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439AG4 | SDCV 7.500%12/3 | 2,900,000 | $2,985,000 | thousands by filing date | principal |
| WHIRLPOOL CORP COM | 963320106 | Stock | 16,400 | $2,981,000 | thousands by filing date | call |
| COGNEX CORP | 192422103 | COM | 46,853 | $2,980,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 163,900 | $2,966,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 56,552 | $2,958,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 17,733 | $2,951,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 269,963 | $2,946,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 717,754 | $2,928,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 40,595 | $2,924,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 57,472 | $2,921,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 104,059 | $2,916,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 69,463 | $2,910,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 417,365 | $2,909,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 53,524 | $2,905,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 100,477 | $2,902,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 195,315 | $2,898,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 87,713 | $2,896,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 21,500 | $2,883,000 | thousands by filing date | put |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 65,181 | $2,879,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 105,105 | $2,874,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 137,488 | $2,873,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 375,764 | $2,867,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 39,984 | $2,865,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 40,200 | $2,851,000 | thousands by filing date | call |
| F5 INC COM | 315616102 | Stock | 19,700 | $2,851,000 | thousands by filing date | put |
| F5 INC COM | 315616102 | Stock | 19,700 | $2,851,000 | thousands by filing date | call |
| TESARO INC | 881569107 | COM | 21,102 | $2,838,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 388,286 | $2,835,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 57,870 | $2,820,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 99,673 | $2,818,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 73,000 | $2,816,000 | thousands by filing date | call |
| BIO-TECHNE CORP | 09073M104 | COM | 27,346 | $2,811,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 2,000,000 | $2,808,000 | thousands by filing date | principal |
| STAPLES INC | 855030102 | COM | 309,927 | $2,805,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 78,900 | $2,800,000 | thousands by filing date | call |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 170,733 | $2,800,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 148,911 | $2,799,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 37,934 | $2,798,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 24,832 | $2,797,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 142,466 | $2,795,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 110,579 | $2,794,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 129,339 | $2,792,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 15,144 | $2,789,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 151,260 | $2,785,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 50,000 | $2,780,000 | thousands by filing date | call |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 2,000,000 | $2,780,000 | thousands by filing date | principal |
| MILLERKNOLL INC | 600544100 | COM | 81,292 | $2,779,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B381 | DWA MOMTM VOLT | 108,735 | $2,777,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 564,532 | $2,772,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 138,575 | $2,762,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 29,546 | $2,759,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 10,800 | $2,753,000 | thousands by filing date | call |
| DISCOVERY INC | 25470F104 | COM SER A | 100,282 | $2,749,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 33,160 | $2,746,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 61,986 | $2,745,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 36,500 | $2,745,000 | thousands by filing date | put |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 75,679 | $2,743,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 144,373 | $2,739,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 45,598 | $2,737,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 108,520 | $2,730,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 85,513 | $2,726,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 331,982 | $2,725,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 24,000 | $2,717,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 320,000 | $2,717,000 | thousands by filing date | put |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 48,570 | $2,716,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 37,649 | $2,714,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 22,259 | $2,713,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 263,749 | $2,711,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 127,771 | $2,710,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 18,500 | $2,705,000 | thousands by filing date | call |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 106,459 | $2,704,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 69,512 | $2,700,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 70,700 | $2,699,000 | thousands by filing date | put |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 40,219 | $2,699,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 218,365 | $2,685,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 30,000 | $2,679,000 | thousands by filing date | call |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 23,159 | $2,675,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 868,006 | $2,673,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 52,000 | $2,671,000 | thousands by filing date | call |
| CENOVUS ENERGY INC | 15135U109 | COM | 175,300 | $2,652,000 | thousands by filing date | call |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 136,580 | $2,640,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 138,076 | $2,633,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 356,346 | $2,633,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 48,977 | $2,632,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 49,924 | $2,627,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 92,029 | $2,627,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 145,411 | $2,624,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 75,220 | $2,608,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 171,644 | $2,604,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 78,861 | $2,604,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 42,238 | $2,602,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 211,800 | $2,597,000 | thousands by filing date | call |
| TESORO CORP | 881609101 | COM | 29,700 | $2,597,000 | thousands by filing date | put |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 60,352 | $2,595,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 91,132 | $2,588,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 57,259 | $2,587,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 30,334 | $2,587,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 12,600 | $2,584,000 | thousands by filing date | put |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 15,062 | $2,582,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 56,271 | $2,580,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 18,298 | $2,579,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 280,943 | $2,579,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 215,179 | $2,571,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 57,951 | $2,565,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 57,090 | $2,563,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 169,291 | $2,562,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 28,830 | $2,559,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 15,117 | $2,558,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 99,507 | $2,557,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 87,835 | $2,555,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 6,909 | $2,554,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 21,077 | $2,550,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 100,000 | $2,547,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 24,797 | $2,546,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M126 | GUGGENHEM 2026 | 132,965 | $2,546,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 39,154 | $2,544,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 137,499 | $2,533,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 137,182 | $2,527,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 178,401 | $2,523,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 39,200 | $2,515,000 | thousands by filing date | call |
| EPAM SYS INC COM | 29414B104 | Stock | 39,070 | $2,513,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 92,571 | $2,512,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 73,205 | $2,511,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 314,138 | $2,504,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 68,622 | $2,502,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 22,382 | $2,502,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 51,074 | $2,499,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 34,000 | $2,496,000 | thousands by filing date | call |
| CREE INC | 225447101 | COM | 94,544 | $2,495,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 253,223 | $2,484,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 172,559 | $2,483,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 10,260 | $2,480,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 443,568 | $2,480,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 43,030 | $2,479,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 87,497 | $2,474,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 88,000 | $2,471,000 | thousands by filing date | put |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 42,500 | $2,464,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 226,780 | $2,463,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 13,200 | $2,458,000 | thousands by filing date | put |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 110,982 | $2,458,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 85,192 | $2,455,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 55,974 | $2,453,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 70,350 | $2,449,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 23,079 | $2,449,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 116,620 | $2,447,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 140,533 | $2,446,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 112,032 | $2,441,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 39,761 | $2,439,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 168,210 | $2,438,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 101,246 | $2,434,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 66,736 | $2,428,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 42,713 | $2,426,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 97,188 | $2,423,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 122,718 | $2,421,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 42,723 | $2,415,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 216,781 | $2,415,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 108,405 | $2,413,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 37,679 | $2,409,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 43,000 | $2,397,000 | thousands by filing date | call |
| WESTERN DIGITAL CORP | 958102105 | COM | 35,200 | $2,392,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 34,900 | $2,389,000 | thousands by filing date | put |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 22,101 | $2,387,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 150,572 | $2,381,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 56,780 | $2,381,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 155,316 | $2,377,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 266,392 | $2,376,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 506,450 | $2,375,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 2,504,000 | $2,375,000 | thousands by filing date | principal |
| ISHARES TR | 46434V886 | CMN | 85,361 | $2,374,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 26,509 | $2,369,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 281,892 | $2,368,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 40,000 | $2,368,000 | thousands by filing date | put |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 32,346 | $2,364,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 163,704 | $2,359,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 102,810 | $2,357,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 35,000 | $2,357,000 | thousands by filing date | put |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 35,000 | $2,357,000 | thousands by filing date | call |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 48,428 | $2,355,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 93,760 | $2,353,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 55,175 | $2,348,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 76,331 | $2,344,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 111,914 | $2,339,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 152,278 | $2,336,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 41,622 | $2,329,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 21,276 | $2,328,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 110,622 | $2,325,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 262,066 | $2,323,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 48,700 | $2,321,000 | thousands by filing date | call |
| STATE BANK FINL CORP COM | 856190103 | COM | 86,366 | $2,320,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 50,000 | $2,319,000 | thousands by filing date | call |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 214,300 | $2,319,000 | thousands by filing date | put |
| RAYONIER INC COM | 754907103 | REIT | 87,129 | $2,318,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 79,412 | $2,318,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 249,060 | $2,314,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 54,800 | $2,311,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 47,098 | $2,310,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 169,900 | $2,309,000 | thousands by filing date | call |
| FIVE BELOW INC COM | 33829M101 | Stock | 57,722 | $2,307,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 27,777 | $2,306,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 35,907 | $2,305,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 94,641 | $2,301,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 2,500,000 | $2,300,000 | thousands by filing date | principal |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 256,288 | $2,291,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 201,124 | $2,289,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 30,800 | $2,280,000 | thousands by filing date | put |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 439,713 | $2,278,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 23,070 | $2,278,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 179,056 | $2,276,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 113,722 | $2,272,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 145,259 | $2,266,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 75,041 | $2,262,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 126,000 | $2,261,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 15,233 | $2,258,000 | 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 |