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 |
|---|---|---|---|---|---|---|
| NEOS THERAPEUTICS INC | 64052L106 | COM | 1,408 | $10,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,830 | $10,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 270 | $10,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 422 | $10,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 3,547 | $10,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 562 | $9,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 700 | $9,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 700 | $9,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 344 | $9,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 119 | $9,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 960 | $9,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 376 | $9,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,078 | $9,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,433 | $9,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 2,102 | $9,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 755 | $9,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $9,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 400 | $9,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 3,150 | $9,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 833 | $9,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 6,500 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,000 | $9,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 831 | $9,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 400 | $9,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 751 | $9,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 2,618 | $9,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 879 | $9,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 860 | $9,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,123 | $9,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 5,000 | $9,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,000 | $9,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 681 | $9,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 847 | $9,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 328 | $9,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $9,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $9,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 450 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 538 | $9,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 500 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 244 | $9,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $9,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 5,705 | $9,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 300 | $9,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 489 | $9,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 338 | $9,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 311 | $9,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 440 | $9,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 20,800 | $9,000 | thousands by filing date | put |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 1,450 | $9,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 1,563 | $9,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 350 | $9,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 165 | $8,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 534 | $8,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,000 | $8,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 540 | $8,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 375 | $8,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 232 | $8,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 100 | $8,000 | thousands by filing date | put |
| HEICO CORP NEW | 422806208 | CL A | 109 | $8,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 374 | $8,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 500 | $8,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 543 | $8,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 500 | $8,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $8,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 300 | $8,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 901 | $8,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 260 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 428 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,011 | $8,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 467 | $8,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 5,000 | $8,000 | thousands by filing date | principal |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 1,000 | $8,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,150 | $8,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 621 | $8,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 304 | $8,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 7,000 | $8,000 | thousands by filing date | principal |
| CEMPRA INC | 15130J109 | COM | 2,018 | $8,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 5,517 | $8,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 633 | $8,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 791 | $8,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 2,817 | $8,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 427 | $8,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 934 | $8,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 404 | $8,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 1,000 | $8,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 784 | $8,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $8,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 300 | $8,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 100 | $8,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 1,244 | $8,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 1,000 | $8,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,538 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 200 | $8,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,273 | $7,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 255 | $7,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 192 | $7,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 4,214 | $7,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 302 | $7,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,200 | $7,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 715 | $7,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 343 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 649 | $7,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 375 | $7,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 231 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 645 | $7,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 245 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 500 | $7,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 240 | $7,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 2,693 | $7,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 4,000 | $7,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 500 | $7,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 372 | $7,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 432 | $7,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 707 | $7,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,921 | $7,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 624 | $7,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,544 | $7,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $7,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 449 | $7,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 1,658 | $7,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 800 | $7,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 559 | $7,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,600 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 241 | $7,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 5,000 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 200 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 125 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 1,372 | $7,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 4,450 | $7,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 127 | $7,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 400 | $7,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 400 | $7,000 | thousands by filing date | |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 272 | $7,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 60 | $6,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 300 | $6,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 167 | $6,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 1,352 | $6,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 380 | $6,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 210 | $6,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 381 | $6,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 241 | $6,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 430 | $6,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,749 | $6,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 778 | $6,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 441 | $6,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 519 | $6,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 457 | $6,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 398 | $6,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 378 | $6,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 758 | $6,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 487 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| STRATUS PPTYS INC | 863167201 | COM NEW | 220 | $6,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 207 | $6,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 700 | $6,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 785 | $6,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 439 | $6,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| SILVER WHEATON CORP | 828336107 | COM | 300 | $6,000 | thousands by filing date | put |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 384 | $6,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $6,000 | thousands by filing date | principal |
| BSB BANCORP INC MD | 05573H108 | COM | 214 | $6,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,392 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,474 | $6,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,301 | $6,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 500 | $6,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,600 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,107 | $6,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 618 | $6,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 515 | $6,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $6,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 510 | $6,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 2,500 | $6,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 410 | $6,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 432 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $6,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 327 | $6,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 3,266 | $6,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 200 | $6,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,005 | $6,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 4,624 | $6,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,250 | $6,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 550 | $6,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 1,367 | $6,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 3,165 | $6,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 60 | $6,000 | thousands by filing date | principal |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,306 | $6,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 662 | $6,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 382 | $6,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,276 | $6,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 741 | $6,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 11,013 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 200 | $6,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 100 | $5,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 1,825 | $5,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 900 | $5,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 551 | $5,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 213 | $5,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 544 | $5,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 77 | $5,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 428 | $5,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 100 | $5,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 325 | $5,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 163 | $5,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 584 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 360 | $5,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 400 | $5,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,010 | $5,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 397 | $5,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 876 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 200 | $5,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 449 | $5,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 124 | $5,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 934 | $5,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 818 | $5,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 366 | $5,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 13 | $5,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,096 | $5,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 1,177 | $5,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 333 | $5,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 3,500 | $5,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 319 | $5,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 4,000 | $5,000 | thousands by filing date | principal |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 1,270 | $5,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 3,150 | $5,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 400 | $5,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 4,991 | $5,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 198 | $5,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 1,233 | $5,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 1,402 | $5,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 260 | $5,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 395 | $5,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 4,000 | $5,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $5,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 777 | $5,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 1,495 | $5,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 7,901 | $5,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,700 | $5,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 400 | $5,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $5,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 374 | $5,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 268 | $5,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 2,191 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 200 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 200 | $5,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,006 | $5,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 222 | $5,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 2,635 | $5,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 250 | $5,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 80 | $5,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 4,000 | $5,000 | thousands by filing date | principal |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,876 | $5,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,655 | $5,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 85 | $5,000 | thousands by filing date | principal |
| ERIN ENERGY CORP COM | 295625107 | Stock | 2,131 | $5,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 578 | $5,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 1,321 | $5,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 4,000 | $5,000 | thousands by filing date | principal |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 175 | $5,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $5,000 | thousands by filing date | principal |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 166 | $4,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 160 | $4,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,183 | $4,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 549 | $4,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 453 | $4,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 605 | $4,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 157 | $4,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 71 | $4,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 669 | $4,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 274 | $4,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 123 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 254 | $4,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 270 | $4,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 689 | $4,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 368 | $4,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 85 | $4,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 303 | $4,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 170 | $4,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 129 | $4,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 813 | $4,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 317 | $4,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 328 | $4,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 610 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 90 | $4,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 214 | $4,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 511 | $4,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 938 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,500 | $4,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 1,665 | $4,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 126 | $4,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 400 | $4,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 195 | $4,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 393 | $4,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 7,075 | $4,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 504 | $4,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 4,000 | $4,000 | thousands by filing date | principal |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 378 | $4,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,100 | $4,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 671 | $4,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 612 | $4,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 200 | $4,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 335 | $4,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 402 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 900 | $4,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 200 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X336 | ULTRASHRT TIPS | 148 | $4,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 10,038 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $4,000 | thousands by filing date | principal |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 219 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 115 | $4,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 300 | $4,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 1,424 | $4,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 952 | $4,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 630 | $4,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 1,010 | $4,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 630 | $4,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 358 | $4,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 400 | $4,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 250 | $4,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 6,365 | $4,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 2,000 | $4,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 245 | $4,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 1,000 | $3,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 243 | $3,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 696 | $3,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 1,342 | $3,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 1,000 | $3,000 | thousands by filing date | put |
| FULGENT GENETICS INC | 359664109 | COM | 218 | $3,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 1,097 | $3,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 430 | $3,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 67 | $3,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 524 | $3,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 141 | $3,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 107 | $3,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 192 | $3,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 24 | $3,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 300 | $3,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 236 | $3,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 155 | $3,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 289 | $3,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 500 | $3,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 500 | $3,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 523 | $3,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 628 | $3,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,000 | $3,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 231 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 95 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 200 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 400 | $3,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,202 | $3,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 300 | $3,000 | thousands by filing date | put |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 205 | $3,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 230 | $3,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 24,148 | $3,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,475 | $3,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 565 | $3,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 633 | $3,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 488 | $3,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 650 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 5,000 | $3,000 | thousands by filing date | principal |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 852 | $3,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,650 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $3,000 | thousands by filing date | principal |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 460 | $3,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 787 | $3,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,400 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,300 | $3,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,883 | $3,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 113 | $3,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 115 | $3,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 3,000 | $3,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 423 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 21 | $3,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 102 | $3,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 677 | $3,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 1,000 | $3,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 50 | $3,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 1,000 | $3,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 2,000 | $3,000 | thousands by filing date | principal |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 107 | $3,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 200 | $3,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 500 | $3,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 100 | $3,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 551 | $3,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 2,337 | $3,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 323 | $3,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 833 | $3,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 715 | $3,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 290 | $3,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 509 | $3,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 805 | $3,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 828 | $3,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 139 | $3,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 2,000 | $3,000 | thousands by filing date | principal |
| COUNTERPATH CORP | 22228P302 | COM | 1,480 | $3,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 400 | $3,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $3,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 2,000 | $3,000 | thousands by filing date | principal |
| SUNWORKS INC | 86803X105 | COM | 1,900 | $3,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 3,462 | $3,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642403 | COM PAR | 126 | $3,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 7,080 | $3,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 427 | $2,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 109 | $2,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 120 | $2,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 117 | $2,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 626 | $2,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 134 | $2,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 102 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 41 | $2,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 160 | $2,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 200 | $2,000 | thousands by filing date | call |
| STEALTHGAS INC | Y81669106 | COM | 400 | $2,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 300 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 141 | $2,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 434 | $2,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 290 | $2,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,109 | $2,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 131 | $2,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 522 | $2,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 312 | $2,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 2,000 | $2,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 580 | $2,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 107 | $2,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 98 | $2,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 152 | $2,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 91 | $2,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 2,000 | $2,000 | thousands by filing date | principal |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 96 | $2,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 459 | $2,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 5,135 | $2,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 1,520 | $2,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 2,305 | $2,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 100 | $2,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 417 | $2,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 4,900 | $2,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 59 | $2,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 6,427 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 800 | $2,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 600 | $2,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 99 | $2,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 50 | $2,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 6,594 | $2,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q408 | COM PAR | 906 | $2,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 100 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 75 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 552 | $2,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 100 | $2,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 566 | $2,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 1,375 | $2,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 338 | $2,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 298 | $2,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 56 | $2,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 50 | $2,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 2,000 | $2,000 | thousands by filing date | principal |
| FLEX PHARMA INC | 33938A105 | COM | 397 | $2,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 298 | $2,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 45 | $2,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 78 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 279 | $2,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 800 | $2,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 1,500 | $2,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 2,000 | $2,000 | thousands by filing date | principal |
| COGINT INC | 19241Q101 | COM | 511 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| VINCE HLDG CORP | 92719W108 | COM | 1,087 | $2,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 600 | $2,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 1,093 | $2,000 | thousands by filing date | |
| ELKHORN ETF TR S&P MIDCP INDL | 287711865 | COM | 135 | $2,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 45 | $1,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 40 | $1,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 31 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 337 | $1,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 87 | $1,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 28 | $1,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 60 | $1,000 | 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 |