13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-15, with 6,751 holding rows worth $185,628,176,000.
- Accession
- 0001140361-17-020563
- Filer
- CIK 1000275
- Filed
- 2017-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 26,162 entries on the cover page, a total value of $185,628,176,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $185,628,176,000 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 |
|---|---|---|---|---|---|---|
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 400 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 1,060 | $26,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 432 | $26,000 | thousands by filing date | principal |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 20,094 | $26,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 1,400 | $25,000 | thousands by filing date | put |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 783 | $25,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 2,132 | $25,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 1,315 | $25,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $25,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 784 | $25,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,000 | $25,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 892 | $25,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 620 | $25,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 625 | $25,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,554 | $25,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,220 | $25,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 1,212 | $25,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 3,142 | $25,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 10,000 | $25,000 | thousands by filing date | principal |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 4,000 | $25,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,399 | $25,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 1,344 | $25,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,665 | $25,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 17,061 | $25,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $25,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 3,000 | $25,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 19,271 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 1,000 | $25,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,572 | $25,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,000 | $25,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,750 | $25,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 500 | $24,000 | thousands by filing date | call |
| REGENXBIO INC | 75901B107 | COM | 1,291 | $24,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,500 | $24,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,597 | $24,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 3,830 | $24,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 887 | $24,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,000 | $24,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,970 | $24,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,780 | $24,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,611 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 1,121 | $24,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 2,008 | $24,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 23,345 | $24,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 1,557 | $24,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $24,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,532 | $24,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 1,137 | $24,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 2,503 | $23,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,520 | $23,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 439 | $23,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 5,006 | $23,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 1,122 | $23,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 6,724 | $23,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 676 | $23,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 637 | $23,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 656 | $23,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 881 | $23,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,538 | $23,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 5,550 | $23,000 | thousands by filing date | |
| PROSHARES TR II | 74347W239 | ULTRA VIX ETF | 1,446 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 1,017 | $23,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 2,453 | $22,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 1,935 | $22,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 968 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 811 | $22,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 3,626 | $22,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 338 | $22,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 2,135 | $22,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 829 | $22,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 934 | $22,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 6,850 | $22,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 1,115 | $22,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 800 | $22,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 762 | $22,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 272 | $22,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 1,126 | $22,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,247 | $22,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 632 | $22,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 14,493 | $22,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 5,209 | $22,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,337 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 738 | $22,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,344 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 1,375 | $22,000 | thousands by filing date | put |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,705 | $22,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 742 | $22,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 543 | $22,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 1,185 | $22,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 7,500 | $22,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 1,275 | $22,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 2,500 | $21,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 1,291 | $21,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 689 | $21,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 2,331 | $21,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 607 | $21,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 906 | $21,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 631 | $21,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 2,154 | $21,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,300 | $21,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $21,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,100 | $21,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,215 | $21,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 2,972 | $21,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 39,055 | $21,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,222 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 418 | $21,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 865 | $21,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 1,080 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 547 | $21,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $21,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 2,584 | $21,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,540 | $21,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 2,828 | $21,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,486 | $21,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 478 | $20,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 4,446 | $20,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 370 | $20,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $20,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 770 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 365 | $20,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 2,950 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 520 | $20,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $20,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 8,976 | $20,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 31,780 | $20,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 523 | $20,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 857 | $20,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,291 | $20,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 19,000 | $20,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 746 | $20,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 29,970 | $20,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,882 | $20,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 2,495 | $20,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 925 | $20,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 700 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 650 | $20,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 160 | $20,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 2,250 | $20,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 525 | $19,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 1,868 | $19,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,269 | $19,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 1,000 | $19,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,486 | $19,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 782 | $19,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 1,106 | $19,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 343 | $19,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 501 | $19,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 13,630 | $19,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 674 | $19,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 2,061 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 950 | $19,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,359 | $19,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 4,300 | $19,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,482 | $19,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 453 | $19,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 800 | $19,000 | thousands by filing date | put |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 7,211 | $19,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,485 | $19,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,053 | $19,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 7,942 | $19,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 5,289 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 1,420 | $19,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $19,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 445 | $19,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 826 | $19,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 5,155 | $19,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 956 | $19,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $19,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 6,200 | $19,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 7,558 | $18,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,001 | $18,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 2,093 | $18,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 640 | $18,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 4,000 | $18,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 271 | $18,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 9,984 | $18,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 850 | $18,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 855 | $18,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 1,425 | $18,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,139 | $18,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 629 | $18,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 820 | $18,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,000 | $18,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,000 | $18,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 1,831 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 9,099 | $18,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 252 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 643 | $18,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,151 | $18,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 300 | $18,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 378 | $18,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 15,024 | $18,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 898 | $18,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 2,323 | $18,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 986 | $18,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 1,700 | $18,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 3,253 | $18,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 1,000 | $18,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $18,000 | thousands by filing date | principal |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 565 | $18,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 853 | $17,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 13,115 | $17,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 650 | $17,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 2,124 | $17,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 947 | $17,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 523 | $17,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 324 | $17,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 674 | $17,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 500 | $17,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,009 | $17,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 905 | $17,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 455 | $17,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 35 | $17,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 27,500 | $17,000 | thousands by filing date | put |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,353 | $17,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,033 | $17,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 1,241 | $17,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,029 | $17,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 2,698 | $17,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 9,279 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 504 | $17,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 977 | $17,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 6,515 | $17,000 | thousands by filing date | |
| UBS ETRACS M PY 2XLVG WF MLP EX-ENGY ETN | 90273A207 | ETF | 1,275 | $17,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 1,000 | $17,000 | thousands by filing date | call |
| SONUS NETWORKS INC | 835916503 | COM NEW | 2,492 | $17,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 1,113 | $17,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 3,472 | $17,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 12,000 | $17,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 948 | $16,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $16,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 2,036 | $16,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 3,350 | $16,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 437 | $16,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 2,679 | $16,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 10,000 | $16,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 816 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 248 | $16,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 569 | $16,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 3,961 | $16,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 535 | $16,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,851 | $16,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,092 | $16,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 465 | $16,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 10,221 | $16,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 781 | $16,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 625 | $16,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,600 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 686 | $16,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,500 | $16,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 750 | $16,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 445 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 940 | $16,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 615 | $16,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 19,000 | $16,000 | thousands by filing date | principal |
| SMART & FINAL STORES INC | 83190B101 | COM | 1,364 | $16,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 3,000 | $16,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 1,998 | $15,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 2,898 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 594 | $15,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 1,394 | $15,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 200 | $15,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 3,672 | $15,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 1,006 | $15,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,199 | $15,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 136 | $15,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 581 | $15,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 641 | $15,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 438 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 503 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $15,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,140 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 850 | $15,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 25,911 | $15,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,751 | $15,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 1,056 | $15,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,633 | $15,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 737 | $15,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 38,600 | $15,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 1,786 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 198 | $15,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 1,980 | $15,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 585 | $15,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 8,815 | $15,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 4,103 | $15,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 4,590 | $15,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 12,329 | $15,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 1,826 | $15,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 790 | $15,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 1,000 | $15,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 15,000 | $15,000 | thousands by filing date | principal |
| JANUS VELOCITY TAIL RISK HEDGED LARGE CAP ETF | 47103U704 | ETF | 500 | $15,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 639 | $14,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 716 | $14,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 435 | $14,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 558 | $14,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 504 | $14,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 2,043 | $14,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 381 | $14,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 4,500 | $14,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,698 | $14,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 17,292 | $14,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 12,448 | $14,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 1,494 | $14,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,511 | $14,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 691 | $14,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,945 | $14,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,275 | $14,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 3,052 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 453 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 8,179 | $14,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 244 | $14,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,185 | $14,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 700 | $14,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,000 | $14,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 9,868 | $14,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 1,001 | $14,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 3,141 | $14,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 1,038 | $14,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 3,786 | $14,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 785 | $14,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 600 | $14,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 229 | $13,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 300 | $13,000 | thousands by filing date | call |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 259 | $13,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 526 | $13,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 392 | $13,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 736 | $13,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 348 | $13,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 425 | $13,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 612 | $13,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,835 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 550 | $13,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 439 | $13,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 727 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 200 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 300 | $13,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,481 | $13,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,439 | $13,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 2,084 | $13,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 361 | $13,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 659 | $13,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 1,286 | $13,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 713 | $13,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,200 | $13,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 239 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 638 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $13,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 352 | $13,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,624 | $13,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 270 | $13,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 949 | $13,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 818 | $13,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 684 | $13,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 1,642 | $13,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,559 | $13,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 12,000 | $13,000 | thousands by filing date | principal |
| CLIFTON BANCORP INC | 186873105 | COM | 794 | $13,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 4,238 | $13,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 401 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 200 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 425 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 583 | $12,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 22,404 | $12,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 837 | $12,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 10 | $12,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,035 | $12,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 69 | $12,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,100 | $12,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 1,112 | $12,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 244 | $12,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 1,556 | $12,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 369 | $12,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 1,043 | $12,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 235 | $12,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 732 | $12,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 5,873 | $12,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,506 | $12,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 245 | $12,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,005 | $12,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 269 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 500 | $12,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 5,350 | $12,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,295 | $12,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,860 | $12,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 322 | $12,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 866 | $12,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 560 | $12,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 562 | $12,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 922 | $12,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,812 | $12,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 268 | $12,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 2,066 | $12,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 590 | $12,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,454 | $12,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 703 | $12,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 468 | $12,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 3,316 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 200 | $12,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 693 | $12,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 108 | $12,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 457 | $12,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $12,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 12,000 | $12,000 | thousands by filing date | principal |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 439 | $12,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 414 | $11,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,090 | $11,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 1,000 | $11,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 7,450 | $11,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 1,053 | $11,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 1,043 | $11,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 271 | $11,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 220 | $11,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 754 | $11,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 600 | $11,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 410 | $11,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 517 | $11,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 500 | $11,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 653 | $11,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 320 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 557 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 300 | $11,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,000 | $11,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 280 | $11,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,106 | $11,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 275 | $11,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 375 | $11,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 497 | $11,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 400 | $11,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 554 | $11,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 814 | $11,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 610 | $11,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 3,621 | $11,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 853 | $11,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 832 | $11,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 24,352 | $11,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 220 | $11,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 2,159 | $11,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 8,000 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 552 | $11,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 2,064 | $11,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 313 | $11,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 26,217 | $11,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 391 | $11,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 384 | $11,000 | thousands by filing date | principal |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 230 | $11,000 | thousands by filing date | principal |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 220 | $11,000 | thousands by filing date | principal |
| XACTLY CORP | 98386L101 | COM | 984 | $11,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 157 | $10,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 291 | $10,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 1,732 | $10,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 326 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 213 | $10,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 625 | $10,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 15,061 | $10,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 213 | $10,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 303 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 410 | $10,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 241 | $10,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 200 | $10,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 276 | $10,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 281 | $10,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 581 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 500 | $10,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 390 | $10,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,000 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 545 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 100 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 363 | $10,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 317 | $10,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 1,109 | $10,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,499 | $10,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 200 | $10,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 390 | $10,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 2,461 | $10,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 202 | $10,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 406 | $10,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 333 | $10,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 216 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 6,000 | $10,000 | thousands by filing date | principal |
| SENOMYX INC | 81724Q107 | COM | 9,452 | $10,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,370 | $10,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 3,000 | $10,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 966 | $10,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 760 | $10,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 6,000 | $10,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 750 | $10,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,200 | $10,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,224 | $10,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 543 | $10,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 599 | $10,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,201 | $10,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-020563 | this filing | 2017-05-15 | acceptance time not in the bulk data set |