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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 46429B515 | CMN | 580 | $22,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 15,000 | $22,000 | thousands by filing date | principal |
| VBI VACCINES INC | 91822J103 | COM NEW | 5,075 | $22,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 21,828 | $22,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 830 | $22,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 746 | $22,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,876 | $22,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 453 | $22,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $22,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 185 | $22,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 3,000 | $22,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 6,773 | $21,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 100 | $21,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 410 | $21,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,213 | $21,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,133 | $21,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 1,072 | $21,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 2,088 | $21,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 921 | $21,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 442 | $21,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,092 | $21,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 1,199 | $21,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,800 | $21,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,917 | $21,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 13,535 | $21,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,182 | $21,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 16,205 | $21,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 1,661 | $21,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 12,662 | $21,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $21,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 5,276 | $21,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 19,000 | $21,000 | thousands by filing date | principal |
| NEURODERM LTD | M74231107 | ORD SHS | 700 | $21,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $21,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 21,000 | $21,000 | thousands by filing date | principal |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 683 | $21,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164878 | PFD SH CONV | 390 | $21,000 | thousands by filing date | principal |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 1,050 | $21,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 1,524 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 1,350 | $20,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 4,836 | $20,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 4,137 | $20,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 246 | $20,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,819 | $20,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 770 | $20,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 15,795 | $20,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $20,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 14,800 | $20,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 370 | $20,000 | thousands by filing date | principal |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 578 | $20,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 404 | $20,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 1,156 | $20,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 1,277 | $20,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 19,000 | $20,000 | thousands by filing date | principal |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 523 | $19,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 691 | $19,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 3,000 | $19,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 911 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 950 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,260 | $19,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $19,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 463 | $19,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 300 | $19,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 13,000 | $19,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,000 | $19,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 1,004 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $19,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 418 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 504 | $19,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 22,126 | $19,000 | thousands by filing date | |
| UBS ETRACS M PY 2XLVG WF MLP EX-ENGY ETN | 90273A207 | ETF | 1,275 | $19,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,640 | $19,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 1,146 | $19,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 4,673 | $19,000 | thousands by filing date | |
| PARKWAY INC COM | 70156Q107 | Stock | 823 | $19,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,380 | $19,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 14,000 | $19,000 | thousands by filing date | principal |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,526 | $18,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 668 | $18,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,706 | $18,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 2,125 | $18,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 750 | $18,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 952 | $18,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,000 | $18,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 372 | $18,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 50,000 | $18,000 | thousands by filing date | call |
| VCA ANTECH INC | 918194101 | COM | 200 | $18,000 | thousands by filing date | call |
| KNOLL INC | 498904200 | COM NEW | 903 | $18,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 504 | $18,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $18,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,622 | $18,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 761 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 1,375 | $18,000 | thousands by filing date | put |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,545 | $18,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 381 | $18,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 2,999 | $17,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 446 | $17,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 635 | $17,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 1,455 | $17,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 1,035 | $17,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 841 | $17,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $17,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 15,139 | $17,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 6,298 | $17,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,223 | $17,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 9,300 | $17,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,033 | $17,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 13,865 | $17,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 9,000 | $17,000 | thousands by filing date | principal |
| HORIZON PHARMA PLC | G4617B105 | SHS | 1,429 | $17,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 940 | $17,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 17,000 | $17,000 | thousands by filing date | principal |
| FNFV GROUP | 31620R402 | COM | 1,056 | $17,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 319 | $17,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 15,000 | $17,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 16,000 | $17,000 | thousands by filing date | principal |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 1,700 | $17,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T104 | COM | 1,700 | $17,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $16,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 2,070 | $16,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 464 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 200 | $16,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 913 | $16,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,963 | $16,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 6,270 | $16,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 990 | $16,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 792 | $16,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 5,935 | $16,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 820 | $16,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,000 | $16,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 11,000 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 11,261 | $16,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 300 | $16,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 1,455 | $16,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,000 | $16,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 760 | $16,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 3,375 | $16,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 19,000 | $16,000 | thousands by filing date | principal |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 11,000 | $16,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 7,560 | $16,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 15,000 | $16,000 | thousands by filing date | principal |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $16,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 13,000 | $16,000 | thousands by filing date | principal |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 738 | $15,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 529 | $15,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 941 | $15,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 340 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 250 | $15,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,913 | $15,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 200 | $15,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 884 | $15,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 1,300 | $15,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 533 | $15,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 420 | $15,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 610 | $15,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 365 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,095 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 300 | $15,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 600 | $15,000 | thousands by filing date | put |
| ALMOST FAMILY INC | 020409108 | COM | 242 | $15,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 14,000 | $15,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,270 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 490 | $15,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 805 | $15,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 755 | $15,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,805 | $15,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,000 | $15,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,476 | $15,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 502 | $15,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 1,223 | $15,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 600 | $15,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 3,876 | $14,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,435 | $14,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 2,041 | $14,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 800 | $14,000 | thousands by filing date | put |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 28,714 | $14,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 863 | $14,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 6,952 | $14,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 763 | $14,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 444 | $14,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 627 | $14,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 666 | $14,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 436 | $14,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 611 | $14,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,000 | $14,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 585 | $14,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 750 | $14,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 503 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 638 | $14,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,654 | $14,000 | thousands by filing date | |
| PROSHARES TR II | 74347W239 | ULTRA VIX ETF | 1,446 | $14,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 1,100 | $14,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 11,433 | $14,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 12,000 | $14,000 | thousands by filing date | principal |
| FORMFACTOR INC COM | 346375108 | Stock | 1,043 | $13,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 300 | $13,000 | thousands by filing date | call |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 13,040 | $13,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 10 | $13,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,100 | $13,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 147 | $13,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 280 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 622 | $13,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 600 | $13,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 514 | $13,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 786 | $13,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,000 | $13,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 4,457 | $13,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 375 | $13,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,600 | $13,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 13,000 | $13,000 | thousands by filing date | principal |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 8,088 | $13,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,015 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 445 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $13,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,561 | $13,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 14,000 | $13,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 14,000 | $13,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 12,000 | $13,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 13,000 | $13,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 549 | $13,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 10,000 | $13,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B357 | S&P INTL DEV HIG | 450 | $13,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 401 | $13,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 600 | $12,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 411 | $12,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 233 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 200 | $12,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 971 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 300 | $12,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 643 | $12,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 416 | $12,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 276 | $12,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 513 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 217 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 557 | $12,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 480 | $12,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 520 | $12,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,460 | $12,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,860 | $12,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 268 | $12,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 220 | $12,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 22,490 | $12,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 880 | $12,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 354 | $12,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,000 | $12,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 15,665 | $12,000 | thousands by filing date | principal |
| TELIGENT INC NEW | 87960W104 | COM | 1,348 | $12,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 13,000 | $12,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $12,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 12,000 | $12,000 | thousands by filing date | principal |
| JANUS VELOCITY TAIL RISK HEDGED LARGE CAP ETF | 47103U704 | ETF | 400 | $12,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 700 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 439 | $12,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 1,000 | $11,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 300 | $11,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 137 | $11,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $11,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 392 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,447 | $11,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 500 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 341 | $11,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 3,001 | $11,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,580 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 400 | $11,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 363 | $11,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 294 | $11,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 5,350 | $11,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,259 | $11,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 660 | $11,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,433 | $11,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 375 | $11,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 200 | $11,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 10,000 | $11,000 | thousands by filing date | principal |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 945 | $11,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 6,000 | $11,000 | thousands by filing date | principal |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 1,380 | $11,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 1,883 | $11,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 732 | $11,000 | thousands by filing date | |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 9,000 | $11,000 | thousands by filing date | principal |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 270 | $11,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 6,087 | $10,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 601 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 467 | $10,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 663 | $10,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 476 | $10,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 238 | $10,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 239 | $10,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 92 | $10,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 336 | $10,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 774 | $10,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,340 | $10,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 1,494 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 500 | $10,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 390 | $10,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $10,000 | thousands by filing date | call |
| CROWN CRAFTS INC | 228309100 | COM | 1,502 | $10,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 108 | $10,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 380 | $10,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,000 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 545 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 400 | $10,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 320 | $10,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 883 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,017 | $10,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 139 | $10,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 163 | $10,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,100 | $10,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,041 | $10,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 1,235 | $10,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 927 | $10,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 10,000 | $10,000 | thousands by filing date | principal |
| PHH CORP | 693320202 | COM NEW | 699 | $10,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 683 | $10,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 721 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 966 | $10,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 7,928 | $10,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 248 | $10,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,500 | $10,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 750 | $10,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 300 | $10,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,250 | $10,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 696 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $10,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 9,000 | $10,000 | thousands by filing date | principal |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 450 | $9,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 600 | $9,000 | thousands by filing date | put |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 272 | $9,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 532 | $9,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 190 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 14,863 | $9,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 242 | $9,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 193 | $9,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 400 | $9,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 200 | $9,000 | thousands by filing date | put |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 421 | $9,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 603 | $9,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 341 | $9,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 700 | $9,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $9,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 747 | $9,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,250 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 727 | $9,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 75 | $9,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 224 | $9,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 2,037 | $9,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 4,500 | $9,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 704 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,240 | $9,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 7,071 | $9,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 626 | $9,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 7,000 | $9,000 | thousands by filing date | principal |
| TELETECH HOLDINGS INC | 879939106 | COM | 189 | $9,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 371 | $9,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,370 | $9,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,850 | $9,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 800 | $9,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 404 | $9,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 700 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 450 | $9,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $9,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,766 | $9,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 9,896 | $9,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 5,940 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 816 | $9,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,429 | $9,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 2,975 | $9,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 350 | $9,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,267 | $8,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,000 | $8,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 200 | $8,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 487 | $8,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 267 | $8,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 456 | $8,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 503 | $8,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 108 | $8,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 1,907 | $8,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 294 | $8,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 423 | $8,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 1,800 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 12,454 | $8,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 6,500 | $8,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 600 | $8,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 853 | $8,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 5,000 | $8,000 | thousands by filing date | principal |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 456 | $8,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 936 | $8,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 391 | $8,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 328 | $8,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 538 | $8,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,393 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 105 | $8,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 9,350 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 5,627 | $8,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,600 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 396 | $8,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 5,625 | $8,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,228 | $8,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,303 | $8,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $8,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 750 | $8,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 587 | $8,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 978 | $8,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,175 | $8,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 400 | $8,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 1,000 | $8,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 10,000 | $8,000 | thousands by filing date | principal |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 187 | $7,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 500 | $7,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 232 | $7,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 100 | $7,000 | thousands by filing date | call |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 352 | $7,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,540 | $7,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 202 | $7,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 4,090 | $7,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 458 | $7,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 406 | $7,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 2,746 | $7,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 129 | $7,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 379 | $7,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 100 | $7,000 | thousands by filing date | put |
| ICF INTL INC | 44925C103 | COM | 124 | $7,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 325 | $7,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 105 | $7,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1,399 | $7,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 491 | $7,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 510 | $7,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 570 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 645 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 220 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 109 | $7,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $7,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,905 | $7,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 239 | $7,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,661 | $7,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 412 | $7,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 3,058 | $7,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 430 | $7,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 623 | $7,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 102 | $7,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 791 | $7,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $7,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 7,000 | $7,000 | thousands by filing date | principal |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 20,000 | $7,000 | thousands by filing date | principal |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 892 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $7,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 250 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $7,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 1,231 | $7,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 40 | $7,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 1,000 | $7,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 810 | $7,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 333 | $7,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 741 | $7,000 | thousands by filing date | |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 272 | $7,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,326 | $7,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 12,000 | $7,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 2,361 | $6,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 156 | $6,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 851 | $6,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 410 | $6,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 332 | $6,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 208 | $6,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 565 | $6,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 154 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 237 | $6,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 123 | $6,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 358 | $6,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 100 | $6,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 357 | $6,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 612 | $6,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 224 | $6,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 189 | $6,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1,004 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| MARCHEX INC | 56624R108 | CMN | 2,100 | $6,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 297 | $6,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 830 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,667 | $6,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 159 | $6,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 562 | $6,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,403 | $6,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 303 | $6,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,000 | $6,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 835 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,076 | $6,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 774 | $6,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 756 | $6,000 | 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 |