13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 7,124 holding rows worth $208,237,386,000.
- Accession
- 0001140361-17-042641
- Filer
- CIK 1000275
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 25,717 entries on the cover page, a total value of $208,237,386,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $208,237,386,000 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
- included managerCRAMER ROSENTHAL MCGLYNN LLC028-02028
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 |
|---|---|---|---|---|---|---|
| BLACKROCK MUN BD TR | 09249H104 | COM | 2,750 | $43,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 2,502 | $43,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 3,522 | $43,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 17,201 | $43,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 912 | $43,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 2,830 | $43,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 1,362 | $43,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 9,563 | $43,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,801 | $43,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 2,716 | $43,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 16,990 | $43,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 500 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 2,082 | $43,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 28,986 | $43,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 5,198 | $43,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,637 | $43,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 1,812 | $43,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 1,845 | $42,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 100 | $42,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 1,015 | $42,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 9,277 | $42,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,000 | $42,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 10,783 | $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 | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 1,000 | $42,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 3,059 | $42,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 5,194 | $42,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 2,100 | $42,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 15,976 | $42,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 1,533 | $41,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 7,720 | $41,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 1,136 | $41,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,496 | $41,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 4,367 | $41,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 2,723 | $41,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 4,283 | $41,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 2,243 | $41,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 4,074 | $41,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 11,675 | $41,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,811 | $41,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 1,511 | $41,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 900 | $41,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 2,120 | $41,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 7,318 | $41,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 8,650 | $41,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 4,621 | $40,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 1,031 | $40,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,769 | $40,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 4,613 | $40,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 7,034 | $40,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,704 | $40,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 3,669 | $40,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 16,451 | $40,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 6,938 | $40,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $40,000 | thousands by filing date | principal |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 1,419 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 2,540 | $40,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 681 | $39,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 5,102 | $39,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 3,592 | $39,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 3,270 | $39,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 1,000 | $39,000 | thousands by filing date | call |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 13,860 | $39,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 23,609 | $39,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,048 | $39,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,070 | $39,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 1,407 | $39,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 996 | $39,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 335 | $38,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 5,172 | $38,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 1,335 | $38,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 831 | $38,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 2,435 | $38,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 3,186 | $38,000 | thousands by filing date | put |
| BB & T CORP | 054937107 | COM | 800 | $38,000 | thousands by filing date | call |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 3,512 | $38,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,470 | $38,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,592 | $38,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 1,009 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,200 | $38,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,097 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 676 | $38,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 4,056 | $38,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 4,099 | $38,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 9,529 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 1,015 | $38,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 2,000 | $37,000 | thousands by filing date | call |
| CERUS CORP | 157085101 | COM | 13,549 | $37,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,573 | $37,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 1,040 | $37,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 200 | $37,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,468 | $37,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,125 | $37,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 720 | $37,000 | thousands by filing date | principal |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 20,000 | $37,000 | thousands by filing date | put |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 950 | $37,000 | thousands by filing date | principal |
| AVID TECHNOLOGY INC | 05367P100 | COM | 8,237 | $37,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 2,264 | $37,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 14,007 | $37,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,353 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 864 | $37,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 3,303 | $37,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 5,076 | $37,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 10,687 | $37,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 5,008 | $37,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 1,326 | $36,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 1,500 | $36,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,720 | $36,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,131 | $36,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,500 | $36,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 2,305 | $36,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 12,987 | $36,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 2,178 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 3,617 | $36,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,355 | $36,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,092 | $36,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,050 | $36,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 4,300 | $36,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 4,648 | $36,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 1,458 | $36,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 2,530 | $36,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,670 | $36,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 1,250 | $36,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 1,696 | $35,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,822 | $35,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 910 | $35,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,346 | $35,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,310 | $35,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 3,304 | $35,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,292 | $35,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 11,117 | $35,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 1,240 | $35,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,131 | $35,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,059 | $35,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 2,900 | $35,000 | thousands by filing date | call |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 1,911 | $35,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,350 | $35,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 1,120 | $35,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 9,900 | $34,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 1,217 | $34,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 644 | $34,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 925 | $34,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 2,289 | $34,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 2,494 | $34,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 2,528 | $34,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,898 | $34,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 926 | $34,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 6,916 | $34,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,744 | $34,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 17,582 | $34,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 1,828 | $34,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 865 | $34,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 385 | $34,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 810 | $34,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 2,233 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $34,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,018 | $34,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 1,487 | $34,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 500 | $34,000 | thousands by filing date | principal |
| CSX Corporation | 126408103 | COM | 600 | $33,000 | thousands by filing date | call |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,122 | $33,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $33,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 938 | $33,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 4,807 | $33,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 788 | $33,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 2,808 | $33,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 3,179 | $33,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,298 | $33,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 7,516 | $33,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 916 | $33,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 3,514 | $33,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 2,051 | $33,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,000 | $33,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,680 | $32,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 1,281 | $32,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 14,779 | $32,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 500 | $32,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,443 | $32,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 3,402 | $32,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,181 | $32,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,112 | $32,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 970 | $32,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,810 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,000 | $32,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 1,074 | $32,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,301 | $32,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 1,779 | $32,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,101 | $32,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 1,507 | $32,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,521 | $32,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 934 | $32,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 2,617 | $32,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 24,618 | $32,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 2,743 | $32,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 1,125 | $32,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 2,181 | $32,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,053 | $32,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 7,498 | $32,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 2,048 | $32,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 7,208 | $31,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,152 | $31,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,661 | $31,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $31,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $31,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,150 | $31,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 7,053 | $31,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 10,000 | $31,000 | thousands by filing date | principal |
| MODEL N INC | 607525102 | COM | 2,051 | $31,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,024 | $31,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 878 | $31,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,500 | $31,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 20,510 | $31,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,572 | $31,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 4,597 | $31,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 1,847 | $31,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 2,000 | $31,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 2,356 | $31,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 1,645 | $31,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 6,901 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 2,491 | $31,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 1,867 | $31,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 3,325 | $30,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 1,693 | $30,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 1,037 | $30,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 1,751 | $30,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 1,406 | $30,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 739 | $30,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,050 | $30,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 3,500 | $30,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,365 | $30,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 1,403 | $30,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 308 | $30,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 537 | $30,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 1,314 | $30,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 6,350 | $30,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 1,466 | $30,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 70,014 | $30,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 21,235 | $30,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 730 | $30,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 8,126 | $30,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 3,234 | $30,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 1,268 | $30,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 1,000 | $30,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 975 | $30,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 20,617 | $29,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 2,885 | $29,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 566 | $29,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 7,172 | $29,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,770 | $29,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 945 | $29,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,481 | $29,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,193 | $29,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,393 | $29,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 1,013 | $29,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 655 | $29,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 5,202 | $29,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,377 | $29,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 5,604 | $29,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 1,616 | $29,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 711 | $29,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 1,977 | $29,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 568 | $29,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 3,573 | $29,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,670 | $29,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 2,324 | $29,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 1,900 | $29,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 6,321 | $29,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 2,735 | $28,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 500 | $28,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 559 | $28,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 493 | $28,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 407 | $28,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 727 | $28,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,725 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 535 | $28,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 1,200 | $28,000 | thousands by filing date | put |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 666 | $28,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 1,100 | $28,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 1,956 | $28,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,659 | $28,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 2,220 | $28,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 2,789 | $28,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 917 | $28,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,143 | $28,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,000 | $28,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 1,022 | $28,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 2,715 | $28,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 1,818 | $27,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,000 | $27,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,792 | $27,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 782 | $27,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 847 | $27,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,515 | $27,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,728 | $27,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,320 | $27,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,220 | $27,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 18,222 | $27,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,824 | $27,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 415 | $27,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 6,730 | $27,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 9,535 | $27,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 2,092 | $27,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,208 | $27,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 18,610 | $27,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 27,000 | $27,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 7,000 | $27,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 400 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 1,000 | $27,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 455 | $27,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 28,000 | $27,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $27,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 7,088 | $27,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,000 | $27,000 | thousands by filing date | principal |
| KEYCORP COM | 493267108 | Stock | 1,400 | $26,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 409 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 1,007 | $26,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,159 | $26,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 137 | $26,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,100 | $26,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 709 | $26,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 2,427 | $26,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 13,567 | $26,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,492 | $26,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,800 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 625 | $26,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 2,797 | $26,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 52,514 | $26,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 984 | $26,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 3,000 | $26,000 | thousands by filing date | principal |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,400 | $25,000 | thousands by filing date | call |
| BEL FUSE INC | 077347300 | CL B | 799 | $25,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $25,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 2,356 | $25,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 1,026 | $25,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 593 | $25,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,455 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 865 | $25,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,750 | $25,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 470 | $25,000 | thousands by filing date | principal |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 796 | $25,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 3,891 | $25,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 3,496 | $25,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 987 | $25,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 7,563 | $25,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 5,289 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 746 | $25,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 4,125 | $25,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 6,711 | $25,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 2,500 | $25,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $25,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 2,500 | $25,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 500 | $25,000 | thousands by filing date | principal |
| ENTELLUS MED INC | 29363K105 | COM | 1,334 | $25,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 2,395 | $24,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,200 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 950 | $24,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,800 | $24,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,348 | $24,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 1,833 | $24,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,493 | $24,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 3,169 | $24,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 672 | $24,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 2,931 | $24,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 1,650 | $24,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 2,888 | $24,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 3,816 | $24,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 11,834 | $24,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,120 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 613 | $24,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 754 | $24,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 3,405 | $24,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 2,130 | $24,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 917 | $23,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 3,360 | $23,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 558 | $23,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 9,735 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 334 | $23,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 4,000 | $23,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 1,269 | $23,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 5,751 | $23,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 746 | $23,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 6,678 | $23,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 3,107 | $23,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 21,881 | $23,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,779 | $23,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 57,412 | $23,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,301 | $23,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 672 | $23,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,248 | $23,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 4,415 | $23,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 979 | $23,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 18,679 | $23,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 20,130 | $23,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 425 | $22,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 3,503 | $22,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 618 | $22,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,615 | $22,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,558 | $22,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 2,189 | $22,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 4,229 | $22,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,834 | $22,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,000 | $22,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 3,527 | $22,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 64 | $22,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,784 | $22,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 12,335 | $22,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 3,490 | $22,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 16,222 | $22,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 1,978 | $22,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 11,000 | $22,000 | thousands by filing date | principal |
| BG STAFFING INC | 05544A109 | COM | 1,326 | $22,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 1,480 | $22,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,912 | $21,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 207 | $21,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 100 | $21,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 1,350 | $21,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 1,011 | $21,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 6,760 | $21,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,596 | $21,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 565 | $21,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,554 | $21,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 693 | $21,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 850 | $21,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,489 | $21,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 770 | $21,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 823 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 663 | $21,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 2,316 | $21,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,337 | $21,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,243 | $21,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 1,153 | $21,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,655 | $21,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,709 | $21,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 22,544 | $21,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,674 | $21,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 4,304 | $21,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 1,329 | $21,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 7,961 | $21,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $21,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 10,005 | $21,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 7,500 | $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 |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 15,000 | $21,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,411 | $21,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 14,000 | $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 |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 200 | $20,000 | thousands by filing date | call |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 378 | $20,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 998 | $20,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 799 | $20,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 819 | $20,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 448 | $20,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 4,901 | $20,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,239 | $20,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,131 | $20,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 780 | $20,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,500 | $20,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 1,775 | $20,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,401 | $20,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 753 | $20,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 3,813 | $20,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 16,000 | $20,000 | thousands by filing date | principal |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 13,673 | $20,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 667 | $20,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 5,554 | $20,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,006 | $20,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,187 | $20,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 246 | $20,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $20,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 404 | $20,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 430 | $20,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,279 | $20,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,558 | $20,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 4,705 | $20,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,628 | $20,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 11,199 | $20,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $20,000 | thousands by filing date | principal |
| BEAR ST FINL INC | 073844102 | COM | 1,912 | $20,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 1,100 | $19,000 | thousands by filing date | put |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 262 | $19,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 864 | $19,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,872 | $19,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 399 | $19,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $19,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 13,336 | $19,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $19,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 13,000 | $19,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 11,262 | $19,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,650 | $19,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $19,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 583 | $19,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 3,555 | $19,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 629 | $19,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 328 | $19,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 4,133 | $19,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 4,153 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 430 | $18,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 652 | $18,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 3,143 | $18,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 737 | $18,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-042641 | this filing | 2017-11-14 | acceptance time not in the bulk data set |