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 |
|---|---|---|---|---|---|---|
| VANGUARD WHITEHALL FDS | 921946885 | COM | 26,709 | $2,127,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 37,319 | $2,126,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 314,890 | $2,125,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 48,621 | $2,124,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 36,263 | $2,118,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 423,348 | $2,117,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 45,913 | $2,116,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 103,875 | $2,114,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 26,348 | $2,106,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 126,330 | $2,105,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 91,699 | $2,096,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 41,992 | $2,096,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 82,956 | $2,096,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 62,824 | $2,092,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 133,519 | $2,092,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 33,179 | $2,088,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 1,186,000 | $2,087,000 | thousands by filing date | principal |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 59,307 | $2,084,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 50,544 | $2,079,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 119,735 | $2,073,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 98,334 | $2,070,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 45,000 | $2,069,000 | thousands by filing date | call |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 79,780 | $2,064,000 | thousands by filing date | principal |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 79,662 | $2,063,000 | thousands by filing date | principal |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 18,239 | $2,060,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 142,656 | $2,060,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 78,757 | $2,057,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 55,000 | $2,056,000 | thousands by filing date | put |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 2,005,000 | $2,055,000 | thousands by filing date | principal |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 148,546 | $2,054,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 60,707 | $2,051,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 157,227 | $2,039,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 56,734 | $2,037,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 36,610 | $2,032,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 13,700 | $2,031,000 | thousands by filing date | put |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 73,900 | $2,025,000 | thousands by filing date | call |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 92,111 | $2,025,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 46,928 | $2,024,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 96,300 | $2,024,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 35,200 | $2,015,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 19,977 | $2,013,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 96,303 | $2,013,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 135,790 | $2,012,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 17,536 | $2,012,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 70,376 | $2,010,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 302,115 | $2,009,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U308 | HEALTH FITNESS | 76,915 | $2,007,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 32,880 | $2,002,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 241,809 | $1,997,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 22,937 | $1,993,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 40,000 | $1,991,000 | thousands by filing date | put |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 81,268 | $1,990,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 39,718 | $1,990,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 138,606 | $1,985,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 93,827 | $1,985,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 293,250 | $1,979,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 80,708 | $1,977,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 60,751 | $1,975,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 59,479 | $1,974,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 43,192 | $1,974,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 67,776 | $1,974,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 169,753 | $1,973,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 382,591 | $1,972,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 42,000 | $1,970,000 | thousands by filing date | call |
| CNO FINL GROUP INC | 12621E103 | COM | 96,070 | $1,969,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 239,038 | $1,962,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 170,308 | $1,960,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 52,129 | $1,952,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 111,883 | $1,949,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 30,768 | $1,944,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 56,499 | $1,943,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 113,144 | $1,942,000 | thousands by filing date | call |
| CALAMOS DY COM NPV | 12811V105 | COM | 100,892 | $1,938,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 280,725 | $1,937,000 | thousands by filing date | |
| BulletShares 2024 Corporate | 18383M233 | COM | 94,158 | $1,936,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 31,428 | $1,933,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 35,468 | $1,932,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 38,145 | $1,931,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 78,261 | $1,929,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 77,583 | $1,928,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 46,113 | $1,926,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 15,200 | $1,918,000 | thousands by filing date | call |
| GRACO INC COM | 384109104 | Stock | 20,302 | $1,911,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 56,049 | $1,910,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 12,900 | $1,907,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 77,937 | $1,907,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 169,599 | $1,906,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 16,011 | $1,894,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 28,500 | $1,889,000 | thousands by filing date | put |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 28,147 | $1,881,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 81,381 | $1,881,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 125,017 | $1,876,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 152,737 | $1,874,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 33,560 | $1,872,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 28,600 | $1,872,000 | thousands by filing date | put |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 76,271 | $1,865,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 98,292 | $1,863,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 41,726 | $1,850,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 62,783 | $1,846,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 55,759 | $1,844,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 46,823 | $1,841,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 57,877 | $1,840,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 78,199 | $1,839,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 86,610 | $1,839,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 37,335 | $1,839,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 21,839 | $1,838,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 17,600 | $1,838,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 197,705 | $1,835,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 51,502 | $1,833,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 58,610 | $1,832,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 140,000 | $1,830,000 | thousands by filing date | put |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 30,649 | $1,829,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 58,159 | $1,829,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 178,342 | $1,825,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 99,392 | $1,822,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 16,961 | $1,819,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 21,144 | $1,817,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 29,893 | $1,814,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 52,418 | $1,811,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 465,446 | $1,810,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 136,140 | $1,803,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 96,739 | $1,796,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 18,600 | $1,795,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 8,945 | $1,793,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 143,898 | $1,789,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 103,399 | $1,786,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 28,634 | $1,785,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 88,811 | $1,784,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 38,000 | $1,782,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 597,320 | $1,779,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 60,521 | $1,779,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 25,706 | $1,779,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 30,378 | $1,778,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 130,352 | $1,775,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 94,424 | $1,774,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 60,100 | $1,772,000 | thousands by filing date | put |
| CAMECO CORP COM | 13321L108 | Stock | 160,000 | $1,771,000 | thousands by filing date | put |
| INSPERITY INC | 45778Q107 | COM | 19,963 | $1,770,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 27,355 | $1,767,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 102,101 | $1,762,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 314,303 | $1,760,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 40,421 | $1,757,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 40,938 | $1,754,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 19,362 | $1,752,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 77,718 | $1,751,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 68,177 | $1,750,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 22,100 | $1,750,000 | thousands by filing date | put |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 123,092 | $1,745,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 21,000 | $1,743,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 24,552 | $1,743,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 25,333 | $1,737,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 149,488 | $1,733,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 76,069 | $1,733,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 172,873 | $1,727,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 33,655 | $1,727,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 231,756 | $1,726,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 47,341 | $1,721,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 39,500 | $1,711,000 | thousands by filing date | call |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 120,000 | $1,711,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 20,700 | $1,708,000 | thousands by filing date | put |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 76,726 | $1,707,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 14,213 | $1,706,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 80,746 | $1,705,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 53,334 | $1,703,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 80,000 | $1,703,000 | thousands by filing date | call |
| ASGN INC | 682159108 | COM | 35,126 | $1,703,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 58,500 | $1,702,000 | thousands by filing date | put |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 15,305 | $1,699,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 29,237 | $1,698,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 107,476 | $1,698,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 19,565 | $1,696,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 20,000 | $1,695,000 | thousands by filing date | call |
| MARATHON OIL CORP | 565849106 | COM | 107,200 | $1,694,000 | thousands by filing date | call |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 443,818 | $1,687,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 15,400 | $1,676,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 40,092 | $1,676,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 39,281 | $1,673,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 98,025 | $1,673,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 10,434 | $1,672,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 107,750 | $1,670,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 39,900 | $1,665,000 | thousands by filing date | put |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 123,639 | $1,664,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 84,069 | $1,664,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 16,900 | $1,658,000 | thousands by filing date | call |
| SHORETEL INC | 825211105 | COM | 269,639 | $1,658,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 33,862 | $1,656,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 74,387 | $1,655,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 72,846 | $1,649,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 65,479 | $1,649,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 16,766 | $1,648,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 139,713 | $1,648,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 62,093 | $1,647,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 38,235 | $1,645,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 70,893 | $1,639,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 80,096 | $1,633,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 71,430 | $1,631,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 166,147 | $1,630,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 81,020 | $1,629,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 55,570 | $1,625,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 159,540 | $1,624,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 41,560 | $1,623,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 31,190 | $1,615,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 30,338 | $1,614,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 32,057 | $1,611,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 10,830 | $1,606,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 17,300 | $1,605,000 | thousands by filing date | put |
| ARTIVION INC | 228903100 | COM | 96,278 | $1,603,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 93,352 | $1,599,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 13,766 | $1,592,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 11,785 | $1,592,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 20,681 | $1,590,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 59,625 | $1,584,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 64,906 | $1,583,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 20,620 | $1,581,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 42,650 | $1,581,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 61,294 | $1,581,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 33,797 | $1,574,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 53,281 | $1,573,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 37,447 | $1,573,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 15,645 | $1,568,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 105,404 | $1,567,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 23,310 | $1,562,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 67,136 | $1,561,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 102,208 | $1,559,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 208,250 | $1,556,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 115,335 | $1,556,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 62,670 | $1,555,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 125,422 | $1,555,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 20,000 | $1,553,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 19,700 | $1,546,000 | thousands by filing date | call |
| GAMESTOP CORP | 36467W109 | CL A | 68,333 | $1,541,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 62,019 | $1,541,000 | thousands by filing date | |
| AUSTRALIA & NEW ZEALA BKG 14 | Q0426RND6 | DEBT 4.400% 5/1 | 1,500,000 | $1,541,000 | thousands by filing date | principal |
| MGE ENERGY INC | 55277P104 | COM | 23,677 | $1,540,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 118,766 | $1,539,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 436,900 | $1,534,000 | thousands by filing date | call |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 319,352 | $1,533,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 1,500,000 | $1,529,000 | thousands by filing date | principal |
| LGI HOMES INC COM | 50187T106 | Stock | 45,057 | $1,528,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 182,261 | $1,527,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 118,338 | $1,525,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 49,358 | $1,520,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 12,648 | $1,518,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 38,306 | $1,516,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 46,992 | $1,511,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 13,500 | $1,510,000 | thousands by filing date | put |
| PepsiCo,Inc. | 713448108 | COM | 13,500 | $1,510,000 | thousands by filing date | call |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 9,700 | $1,510,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 25,150 | $1,510,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 12,327 | $1,510,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 1,116,000 | $1,509,000 | thousands by filing date | principal |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 60,611 | $1,504,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 50,000 | $1,503,000 | thousands by filing date | call |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 115,684 | $1,503,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 23,682 | $1,503,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 78,729 | $1,503,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 45,441 | $1,502,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 60,148 | $1,498,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 36,764 | $1,496,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 53,802 | $1,495,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 101,168 | $1,494,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 17,354 | $1,493,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 62,065 | $1,492,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 72,545 | $1,492,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 22,689 | $1,491,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 85,905 | $1,490,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 146,732 | $1,489,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 63,754 | $1,487,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 10,702 | $1,487,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 20,000 | $1,485,000 | thousands by filing date | put |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 506,858 | $1,485,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 29,356 | $1,482,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 34,965 | $1,479,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 117,126 | $1,476,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 18,506 | $1,475,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 323,883 | $1,474,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 13,500 | $1,471,000 | thousands by filing date | call |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 21,705 | $1,471,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 32,286 | $1,469,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 58,815 | $1,469,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 45,755 | $1,468,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 18,503 | $1,468,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 8,500 | $1,466,000 | thousands by filing date | call |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 28,399 | $1,466,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 57,648 | $1,465,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 193,369 | $1,464,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 42,298 | $1,463,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 24,562 | $1,461,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 25,500 | $1,455,000 | thousands by filing date | call |
| EXPONENT INC | 30214U102 | COM | 24,423 | $1,453,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 129,490 | $1,450,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 137,301 | $1,447,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 60,000 | $1,441,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 60,000 | $1,441,000 | thousands by filing date | call |
| NV5 HOLDINGS, INC | 62945V109 | COM | 38,265 | $1,439,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 89,913 | $1,439,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 53,326 | $1,433,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 20,615 | $1,431,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 158,271 | $1,430,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 31,865 | $1,429,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 50,964 | $1,428,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 49,437 | $1,427,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 17,164 | $1,421,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 54,275 | $1,420,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 195,372 | $1,418,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 120,000 | $1,417,000 | thousands by filing date | call |
| GOLAR LNG LTD | G9456A100 | SHS | 50,600 | $1,413,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761U106 | COM | 215,332 | $1,413,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 103,178 | $1,408,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 16,718 | $1,405,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 55,379 | $1,404,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 95,263 | $1,403,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 96,655 | $1,401,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 75,575 | $1,401,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 47,700 | $1,400,000 | thousands by filing date | call |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 98,528 | $1,400,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 67,664 | $1,399,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 31,099 | $1,398,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 11,200 | $1,395,000 | thousands by filing date | call |
| OMEGA PROTEIN CORP | 68210P107 | COM | 69,469 | $1,393,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 46,327 | $1,388,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 11,030 | $1,387,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 90,512 | $1,386,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 38,124 | $1,384,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 33,167 | $1,383,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 500,000 | $1,380,000 | thousands by filing date | put |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 55,400 | $1,375,000 | thousands by filing date | put |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 234,596 | $1,375,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 62,254 | $1,374,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 32,312 | $1,374,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 40,000 | $1,374,000 | thousands by filing date | call |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 38,941 | $1,373,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 104,091 | $1,368,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 122,033 | $1,365,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 11,900 | $1,364,000 | thousands by filing date | put |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 27,388 | $1,360,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 113,841 | $1,358,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 185,288 | $1,358,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 56,801 | $1,357,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 64,052 | $1,356,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 64,166 | $1,354,000 | thousands by filing date | |
| PROSHARES TR | 74347X815 | ULTRA MDCAP400 | 15,602 | $1,353,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 137,734 | $1,350,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 24,000 | $1,348,000 | thousands by filing date | put |
| REXNORD CORP | 76169B102 | COMMON STOCK | 58,262 | $1,344,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 25,975 | $1,340,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 19,724 | $1,338,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 90,625 | $1,336,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 81,396 | $1,335,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 35,670 | $1,334,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 264,495 | $1,332,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 26,911 | $1,332,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 55,221 | $1,330,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 40,400 | $1,329,000 | thousands by filing date | call |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 31,392 | $1,327,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 33,405 | $1,326,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 20,065 | $1,325,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 45,800 | $1,324,000 | thousands by filing date | call |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 108,259 | $1,324,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 59,374 | $1,321,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 43,387 | $1,320,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 82,623 | $1,319,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 91,033 | $1,319,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 36,600 | $1,318,000 | thousands by filing date | call |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 27,777 | $1,316,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 68,635 | $1,315,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 69,116 | $1,312,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 133,859 | $1,309,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 44,981 | $1,306,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 41,295 | $1,303,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 64,000 | $1,302,000 | thousands by filing date | call |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 11,600 | $1,302,000 | thousands by filing date | put |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 51,625 | $1,299,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 30,598 | $1,298,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 50,000 | $1,295,000 | thousands by filing date | put |
| STANTEC INC COM | 85472N109 | Stock | 50,000 | $1,295,000 | thousands by filing date | call |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 35,769 | $1,294,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 62,509 | $1,294,000 | thousands by filing date | |
| SOCIETE GENERALE | F849BQAA2 | DEBT 8.250%12/3 | 1,235,000 | $1,294,000 | thousands by filing date | principal |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 82,949 | $1,292,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 45,684 | $1,292,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 30,000 | $1,291,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 22,500 | $1,290,000 | thousands by filing date | call |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 19,373 | $1,287,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 36,518 | $1,286,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 25,637 | $1,286,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 177,449 | $1,286,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 2,635,394 | $1,286,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 128,550 | $1,286,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 27,455 | $1,284,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 80,042 | $1,283,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 76,525 | $1,283,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 34,545 | $1,282,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 71,600 | $1,281,000 | thousands by filing date | call |
| CREDIT SUISSE AG NASSAU BRH | 22539T324 | VEL SH 3X LG NAT | 61,686 | $1,280,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 31,626 | $1,278,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 35,887 | $1,274,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 10,200 | $1,273,000 | thousands by filing date | call |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 10,766 | $1,272,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 100,000 | $1,271,000 | thousands by filing date | put |
| HERC HLDGS INC COM | 42704L104 | Stock | 25,969 | $1,269,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 8,840 | $1,266,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 52,872 | $1,266,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 101,958 | $1,264,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 27,741 | $1,263,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 102,304 | $1,263,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 74,168 | $1,262,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 68,811 | $1,257,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 24,799 | $1,256,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 95,117 | $1,256,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 78,813 | $1,254,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 49,313 | $1,253,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 150,000 | $1,253,000 | thousands by filing date | put |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 38,371 | $1,252,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 79,914 | $1,251,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 17,817 | $1,249,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 12,760 | $1,249,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 93,258 | $1,249,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 6,832 | $1,248,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 28,475 | $1,243,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 52,599 | $1,242,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 47,532 | $1,241,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 14,223 | $1,240,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 57,970 | $1,240,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 38,485 | $1,238,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 70,400 | $1,235,000 | thousands by filing date | call |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 23,551 | $1,233,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 98,199 | $1,230,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 63,070 | $1,229,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 15,500 | $1,226,000 | thousands by filing date | call |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 10,781 | $1,226,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 35,920 | $1,225,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 29,265 | $1,224,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 10,283 | $1,223,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 50,976 | $1,223,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 49,030 | $1,222,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 24,692 | $1,219,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 43,942 | $1,219,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 79,205 | $1,217,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 34,343 | $1,217,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 255,933 | $1,216,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 204,994 | $1,215,000 | thousands by filing date | |
| SWEDBANK AB | W9423X4R0 | MTNF 5.500%12/3 | 1,200,000 | $1,215,000 | thousands by filing date | principal |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 24,257 | $1,212,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 23,028 | $1,209,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 33,233 | $1,209,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 52,046 | $1,209,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 1,208,680 | $1,208,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 34,530 | $1,203,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 72,005 | $1,203,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 37,504 | $1,201,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 33,665 | $1,197,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 16,947 | $1,195,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 81,789 | $1,191,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 28,721 | $1,190,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 40,714 | $1,190,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 38,418 | $1,189,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 64,365 | $1,187,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 77,625 | $1,185,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 44,630 | $1,184,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 15,165 | $1,181,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 21,557 | $1,179,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 15,000 | $1,177,000 | thousands by filing date | put |
| RAVEN INDS INC COM | 754212108 | Stock | 40,480 | $1,176,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 42,707 | $1,174,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 8,730 | $1,173,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 57,716 | $1,173,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 20,000 | $1,171,000 | thousands by filing date | put |
| CRH PLC ADS | 12626K203 | ADR | 33,286 | $1,171,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 128,871 | $1,170,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 21,578 | $1,170,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 25,552 | $1,169,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 20,109 | $1,169,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 48,617 | $1,169,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 42,535 | $1,167,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 26,091 | $1,166,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 37,200 | $1,164,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 60,787 | $1,161,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 33,186 | $1,160,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 4,130 | $1,156,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 94,718 | $1,156,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 46,300 | $1,151,000 | thousands by filing date | call |
| SIERRA WIRELESS INC | 826516106 | COM | 43,338 | $1,151,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 349,508 | $1,150,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 3,772 | $1,147,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 111,367 | $1,146,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 10,314 | $1,146,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 7,919 | $1,145,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 91,054 | $1,143,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 42,991 | $1,142,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 20,034 | $1,142,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 30,055 | $1,137,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 42,348 | $1,135,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 120,000 | $1,135,000 | thousands by filing date | call |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 47,659 | $1,134,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 84,535 | $1,134,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 23,662 | $1,134,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 161,549 | $1,129,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 122,440 | $1,128,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 54,017 | $1,128,000 | 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 |