13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-14, with 6,786 holding rows worth $193,636,703,000.
- Accession
- 0001140361-17-031815
- Filer
- CIK 1000275
- Filed
- 2017-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 25,274 entries on the cover page, a total value of $193,636,703,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,636,703,000 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
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
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 |
|---|---|---|---|---|---|---|
| HMN FINL INC | 40424G108 | COM | 3,650 | $64,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 5,737 | $64,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 4,854 | $64,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 346 | $63,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,854 | $63,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,461 | $63,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 5,072 | $63,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,963 | $63,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 22,670 | $63,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 1,874 | $63,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 2,462 | $63,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,441 | $63,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 5,745 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,417 | $62,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 15,265 | $62,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 2,158 | $62,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 53,100 | $62,000 | thousands by filing date | put |
| CRAY INC | 225223304 | COM NEW | 3,370 | $62,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 4,500 | $62,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 2,100 | $61,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 8,985 | $61,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 17,452 | $61,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 9,647 | $61,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,441 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 1,974 | $61,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,500 | $61,000 | thousands by filing date | principal |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 2,267 | $60,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,050 | $60,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 5,300 | $60,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 17,600 | $60,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,800 | $60,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 2,261 | $60,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 700 | $59,000 | thousands by filing date | call |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 4,136 | $59,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 5,102 | $59,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 2,935 | $59,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 2,400 | $59,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,067 | $59,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 6,645 | $59,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 2,353 | $59,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 5,000 | $59,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 906 | $58,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 1,949 | $58,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,475 | $58,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 6,281 | $58,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,005 | $58,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 33,213 | $58,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 7,097 | $58,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 3,515 | $57,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 25,089 | $57,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 2,260 | $57,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 5,250 | $57,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 19,878 | $57,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 4,625 | $57,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 56,000 | $57,000 | thousands by filing date | principal |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 1,343 | $57,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 6,693 | $57,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 6,445 | $56,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 2,606 | $56,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,508 | $56,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 4,627 | $56,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 2,840 | $56,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 4,000 | $56,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 19,729 | $56,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 1,751 | $56,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 823 | $56,000 | thousands by filing date | principal |
| OLD NATL BANCORP IND | 680033107 | COM | 3,225 | $55,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 2,657 | $55,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 2,816 | $55,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 3,224 | $55,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 8,100 | $55,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 1,538 | $55,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 155,254 | $55,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 4,100 | $55,000 | thousands by filing date | |
| OSI ETF TR | 67110P209 | OSI ETF TR | 2,071 | $55,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 1,521 | $54,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 900 | $54,000 | thousands by filing date | put |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 1,745 | $54,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 5,122 | $54,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 2,351 | $54,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 869 | $54,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 1,299 | $54,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 21,367 | $54,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $54,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 11,528 | $54,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 767 | $53,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 4,112 | $53,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,812 | $53,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 3,325 | $53,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 6,124 | $53,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 2,807 | $53,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 81,465 | $53,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 4,142 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 1,050 | $53,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,400 | $53,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 2,244 | $53,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 8,724 | $52,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 5,142 | $52,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 2,403 | $52,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 7,413 | $52,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 454 | $52,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 5,112 | $52,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 5,194 | $52,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 2,751 | $52,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 3,821 | $52,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 822 | $51,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 7,476 | $51,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 4,743 | $51,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 34,203 | $51,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 860 | $51,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 1,493 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 5,462 | $51,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 1,169 | $51,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,553 | $51,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 13,855 | $50,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 1,162 | $50,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 4,576 | $50,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 580 | $50,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 7,525 | $50,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 14,000 | $50,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 1,800 | $50,000 | thousands by filing date | principal |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 1,200 | $50,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 4,115 | $50,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 987 | $50,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 3,859 | $50,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 3,470 | $50,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 788 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 586 | $49,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 2,769 | $49,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 8,305 | $49,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,560 | $49,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 784 | $49,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,318 | $49,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 1,620 | $49,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 706 | $48,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,033 | $48,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 3,398 | $48,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 8,435 | $48,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 8,400 | $48,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 1,542 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 1,317 | $48,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 4,000 | $48,000 | thousands by filing date | call |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 2,500 | $48,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 1,495 | $48,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 4,420 | $48,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 3,150 | $48,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 2,429 | $48,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,871 | $47,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 525 | $47,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,000 | $47,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 6,419 | $47,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 2,675 | $47,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 2,300 | $47,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 5,001 | $47,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 3,599 | $46,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 255 | $46,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 5,514 | $46,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 2,356 | $46,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 11,321 | $46,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 887 | $46,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,135 | $46,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 503 | $46,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 4,000 | $46,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,669 | $46,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 1,239 | $46,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 13,785 | $46,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 10,620 | $46,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 2,703 | $46,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 103,188 | $45,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 4,818 | $45,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 3,570 | $45,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 1,600 | $45,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 3,171 | $45,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 6,829 | $45,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 16,576 | $45,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 3,000 | $45,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 4,641 | $45,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 456 | $45,000 | thousands by filing date | principal |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 1,223 | $44,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 2,000 | $44,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,148 | $44,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 5,200 | $44,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,278 | $44,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $44,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 280 | $44,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 1,600 | $44,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 11,111 | $44,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 812 | $43,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $43,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,990 | $43,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 4,297 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 830 | $43,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 2,433 | $43,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 11,362 | $43,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 1,683 | $42,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 2,000 | $42,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,430 | $42,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 20,000 | $42,000 | thousands by filing date | put |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,528 | $42,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 2,785 | $42,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 3,000 | $42,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 3,904 | $42,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,568 | $42,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 500 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 900 | $42,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 2,381 | $42,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 1,265 | $42,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 2,100 | $42,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 2,124 | $41,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,664 | $41,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 949 | $41,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 2,750 | $41,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 900 | $41,000 | thousands by filing date | call |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 678 | $41,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 788 | $41,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,248 | $41,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 26,079 | $41,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 5,777 | $41,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 3,986 | $41,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 9,236 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 2,167 | $41,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 10,334 | $41,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,600 | $41,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 3,564 | $40,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,619 | $40,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,125 | $40,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 2,114 | $40,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 4,853 | $40,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,661 | $40,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 900 | $40,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,596 | $40,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 937 | $39,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 184 | $39,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 1,246 | $39,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 1,362 | $39,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,460 | $39,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 23,021 | $39,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 6,700 | $39,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 4,300 | $39,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 20,500 | $39,000 | thousands by filing date | |
| TAKUNG ART LTD | 87407Q207 | COM NEW | 7,500 | $39,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 1,372 | $39,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 899 | $38,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 2,664 | $38,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 4,491 | $38,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 1,500 | $38,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,713 | $38,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,981 | $38,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 704 | $38,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,248 | $38,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,700 | $38,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,843 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,449 | $38,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 4,927 | $38,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,418 | $37,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,800 | $37,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 2,830 | $37,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,900 | $37,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 720 | $37,000 | thousands by filing date | principal |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,474 | $37,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,898 | $37,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 1,255 | $37,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 2,861 | $37,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 8,475 | $37,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 645 | $37,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 109,113 | $37,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,631 | $37,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 1,403 | $37,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 6,455 | $37,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 2,406 | $37,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 548 | $37,000 | thousands by filing date | principal |
| REGENXBIO INC | 75901B107 | COM | 1,810 | $36,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 525 | $36,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 1,475 | $36,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 2,996 | $36,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 1,041 | $36,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,182 | $36,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 1,502 | $36,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,500 | $36,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,901 | $36,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,541 | $36,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 2,191 | $36,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 2,600 | $36,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 3,303 | $36,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 29,861 | $36,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 8,272 | $36,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 2,758 | $36,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 847 | $35,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 2,189 | $35,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 1,379 | $35,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 3,000 | $35,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 200 | $35,000 | thousands by filing date | put |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,310 | $35,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 1,248 | $35,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,286 | $35,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 1,391 | $35,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 27,396 | $35,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 9,000 | $35,000 | thousands by filing date | principal |
| Kelso Technologies Inc | 48826D201 | COM | 43,737 | $35,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 670 | $35,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 5,060 | $35,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 6,875 | $35,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 2,920 | $34,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 3,883 | $34,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 1,200 | $34,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 1,000 | $34,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,761 | $34,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 4,699 | $34,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 600 | $33,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 995 | $33,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 1,670 | $33,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 617 | $33,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $33,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 629 | $33,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 200 | $33,000 | thousands by filing date | call |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,500 | $33,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,091 | $33,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 2,367 | $33,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 6,950 | $33,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 985 | $33,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 53,040 | $33,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 900 | $33,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,665 | $33,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 1,050 | $33,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 11,175 | $33,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 25,935 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 830 | $33,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,000 | $32,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,800 | $32,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 951 | $32,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 2,535 | $32,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 2,107 | $32,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 4,034 | $32,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 865 | $32,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 8,615 | $32,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 9,750 | $32,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 810 | $32,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 10,000 | $32,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 751 | $32,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,000 | $32,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 285 | $31,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 746 | $31,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 500 | $31,000 | thousands by filing date | put |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 216 | $31,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 812 | $31,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 530 | $31,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $31,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 705 | $31,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,742 | $31,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 755 | $31,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 692 | $31,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 574 | $31,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,660 | $31,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,165 | $31,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 71,751 | $31,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 10,033 | $31,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 1,413 | $31,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,680 | $30,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 634 | $30,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 485 | $30,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $30,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,152 | $30,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,200 | $30,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 1,330 | $30,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 4,377 | $30,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,000 | $30,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 3,941 | $30,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 5,172 | $30,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 7,508 | $30,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 1,000 | $30,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 2,350 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 1,000 | $30,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 1,202 | $29,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 452 | $29,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 1,421 | $29,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 1,473 | $29,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 566 | $29,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 3,440 | $29,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 3,500 | $29,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 806 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 2,012 | $29,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,750 | $29,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 2,001 | $29,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,351 | $29,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 550 | $29,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 2,099 | $29,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 3,527 | $29,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,485 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,024 | $29,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,020 | $29,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 762 | $29,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 1,955 | $29,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,104 | $29,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $29,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,900 | $29,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 635 | $29,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 1,050 | $29,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 1,600 | $28,000 | thousands by filing date | call |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 911 | $28,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $28,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,200 | $28,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,000 | $28,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,900 | $28,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 470 | $28,000 | thousands by filing date | principal |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 1,100 | $28,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 540 | $28,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 999 | $28,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 21,411 | $28,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,114 | $28,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,140 | $28,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,500 | $28,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 25,817 | $28,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 2,426 | $28,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 1,022 | $28,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 1,940 | $28,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,100 | $28,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 3,003 | $27,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 2,953 | $27,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 933 | $27,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 994 | $27,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,172 | $27,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 743 | $27,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,792 | $27,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 2,000 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 1,545 | $27,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 650 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 535 | $27,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,490 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 665 | $27,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 10,000 | $27,000 | thousands by filing date | principal |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 845 | $27,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 582 | $27,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,670 | $27,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 28,000 | $27,000 | thousands by filing date | principal |
| LA QUINTA HLDGS INC | 50420D108 | COM | 1,830 | $27,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 505 | $26,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 1,400 | $26,000 | thousands by filing date | put |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 500 | $26,000 | thousands by filing date | call |
| FTI CONSULTING INC | 302941109 | COM | 721 | $26,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $26,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 1,151 | $26,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,803 | $26,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,725 | $26,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 1,000 | $26,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,220 | $26,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,775 | $26,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 8,000 | $26,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 400 | $26,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 902 | $26,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 984 | $26,000 | thousands by filing date | principal |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 952 | $25,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 2,535 | $25,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 1,612 | $25,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,903 | $25,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 812 | $25,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 625 | $25,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,750 | $25,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,413 | $25,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,062 | $25,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 881 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 1,121 | $25,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 843 | $25,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 2,500 | $25,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,521 | $25,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 500 | $25,000 | thousands by filing date | principal |
| LIVANOVA PLC | G5509L101 | SHS | 403 | $24,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 798 | $24,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 530 | $24,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 670 | $24,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 33,931 | $24,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 1,475 | $24,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,436 | $24,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,617 | $24,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 9,198 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 1,000 | $24,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $24,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 20,094 | $24,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 588 | $23,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 494 | $23,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 257 | $23,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 700 | $23,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,333 | $23,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,500 | $23,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 895 | $23,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 634 | $23,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 18,217 | $23,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 20,000 | $23,000 | thousands by filing date | call |
| DERMIRA INC | 24983L104 | COM | 797 | $23,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,497 | $23,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 9,372 | $23,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,573 | $23,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 3,263 | $23,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 15,000 | $23,000 | thousands by filing date | put |
| ARCBEST CORP COM | 03937C105 | Stock | 1,072 | $22,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 800 | $22,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,524 | $22,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 668 | $22,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 5,900 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 334 | $22,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,866 | $22,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-031815 | this filing | 2017-08-14 | acceptance time not in the bulk data set |