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 |
|---|---|---|---|---|---|---|
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 619 | $18,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 2,901 | $18,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 1,518 | $18,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 15,000 | $18,000 | thousands by filing date | principal |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,000 | $18,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 3,855 | $18,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 7,304 | $18,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 407 | $18,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 3,126 | $18,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,514 | $18,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,544 | $18,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 3,956 | $18,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 713 | $18,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 515 | $18,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 761 | $18,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,941 | $18,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 733 | $18,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 538 | $17,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $17,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 906 | $17,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 3,102 | $17,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 616 | $17,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 491 | $17,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 127 | $17,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 254 | $17,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,295 | $17,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 945 | $17,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 896 | $17,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 846 | $17,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,444 | $17,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 2,016 | $17,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,003 | $17,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,805 | $17,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 943 | $17,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 5,200 | $17,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 731 | $17,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,487 | $17,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 4,932 | $17,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,223 | $17,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 2,276 | $17,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 515 | $17,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 600 | $17,000 | thousands by filing date | put |
| VBI VACCINES INC | 91822J103 | COM NEW | 4,362 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 639 | $17,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,478 | $17,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 18,144 | $17,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 287 | $17,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 43,824 | $17,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,602 | $17,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 4,087 | $17,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 3,268 | $17,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 17,000 | $17,000 | thousands by filing date | principal |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 19,000 | $17,000 | thousands by filing date | principal |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 934 | $17,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 16,000 | $17,000 | thousands by filing date | principal |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,500 | $17,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 538 | $17,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T104 | COM | 1,700 | $17,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y669 | GARTMAN GLD/EU | 1,500 | $17,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 1,305 | $16,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 440 | $16,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 508 | $16,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 2,132 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 200 | $16,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,223 | $16,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,534 | $16,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 610 | $16,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 795 | $16,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,256 | $16,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 715 | $16,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,628 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 625 | $16,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 540 | $16,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 340 | $16,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $16,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 15,900 | $16,000 | thousands by filing date | put |
| PETIQ INC | 71639T106 | COMMON STOCK | 582 | $16,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 641 | $16,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 871 | $16,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,596 | $16,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,644 | $16,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 14,000 | $16,000 | thousands by filing date | principal |
| PLANET PAYMENT INC | U72603118 | SHS | 3,825 | $16,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 2,841 | $16,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 600 | $16,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,466 | $16,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,001 | $16,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,270 | $16,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 1,051 | $16,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 800 | $16,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 2,212 | $16,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 3,176 | $16,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,800 | $16,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,068 | $16,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 2,022 | $16,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 1,069 | $16,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $16,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 12,000 | $16,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 13,000 | $16,000 | thousands by filing date | principal |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,501 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 250 | $15,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 1,645 | $15,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 13,040 | $15,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 1,936 | $15,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 713 | $15,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 1,017 | $15,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 206 | $15,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,241 | $15,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,402 | $15,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 3,255 | $15,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 280 | $15,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 13,448 | $15,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $15,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 254 | $15,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 718 | $15,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,077 | $15,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,000 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 12,988 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 450 | $15,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 3,392 | $15,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 16,681 | $15,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 658 | $15,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,811 | $15,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 4,146 | $15,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 43,252 | $15,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,063 | $15,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 11,000 | $15,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 495 | $15,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 2,294 | $14,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 777 | $14,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 724 | $14,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 691 | $14,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 3,425 | $14,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 1,615 | $14,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 3,009 | $14,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 572 | $14,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 502 | $14,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 480 | $14,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 15,748 | $14,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,000 | $14,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 687 | $14,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 6,362 | $14,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 40,990 | $14,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,065 | $14,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 3,019 | $14,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,949 | $14,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,614 | $14,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,013 | $14,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 800 | $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 | |
| ASIA PAC FD INC | 044901106 | COM | 1,015 | $14,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 757 | $14,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 2,243 | $14,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 3,159 | $14,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 14,000 | $14,000 | thousands by filing date | principal |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 1,971 | $14,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 566 | $14,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 13,000 | $14,000 | thousands by filing date | principal |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 610 | $14,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 220 | $14,000 | thousands by filing date | principal |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 401 | $14,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 758 | $13,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 300 | $13,000 | thousands by filing date | call |
| SENECA FOODS CORP NEW | 817070501 | CL A | 371 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 200 | $13,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,776 | $13,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,660 | $13,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 425 | $13,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,100 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 622 | $13,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 666 | $13,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 747 | $13,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 420 | $13,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,108 | $13,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,783 | $13,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,931 | $13,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 424 | $13,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 962 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $13,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 3,152 | $13,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 849 | $13,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 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 |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 991 | $13,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 1,162 | $13,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $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 | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 300 | $12,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,908 | $12,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 145 | $12,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 480 | $12,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,630 | $12,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 867 | $12,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,001 | $12,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 586 | $12,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,492 | $12,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 2,892 | $12,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,860 | $12,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 788 | $12,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 889 | $12,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,308 | $12,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 268 | $12,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 1,385 | $12,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 601 | $12,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 461 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 853 | $12,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 8,186 | $12,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,250 | $12,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,185 | $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 |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 646 | $12,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 4,989 | $12,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 936 | $12,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 270 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 439 | $12,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 200 | $11,000 | thousands by filing date | put |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,166 | $11,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 21,269 | $11,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 511 | $11,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 720 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 600 | $11,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 518 | $11,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 92 | $11,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,922 | $11,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 503 | $11,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 380 | $11,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 390 | $11,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $11,000 | thousands by filing date | call |
| FULL HSE RESORTS INC | 359678109 | COM | 4,013 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 557 | $11,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 917 | $11,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 884 | $11,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,049 | $11,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 1,202 | $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 |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 6,939 | $11,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 1,484 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 145 | $11,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 7,895 | $11,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 245 | $11,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 731 | $11,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 7,090 | $11,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 450 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 750 | $11,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 643 | $11,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,496 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $11,000 | thousands by filing date | principal |
| COUNTY BANCORP INC | 221907108 | COM | 376 | $11,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 9,000 | $11,000 | thousands by filing date | principal |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 354 | $11,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,004 | $10,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 1,000 | $10,000 | thousands by filing date | put |
| OHIO VY BANC CORP | 677719106 | COM | 276 | $10,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 359 | $10,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 833 | $10,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 750 | $10,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 619 | $10,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,355 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 500 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 125 | $10,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,509 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 545 | $10,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 320 | $10,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 960 | $10,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 636 | $10,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 217 | $10,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,440 | $10,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 877 | $10,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 7,000 | $10,000 | thousands by filing date | principal |
| NEOVASC INC COM STK | 64065J106 | COM | 5,703 | $10,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 416 | $10,000 | thousands by filing date | |
| 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 | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 1,090 | $10,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,551 | $10,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 346 | $10,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 10,000 | $10,000 | thousands by filing date | principal |
| WENDYS CO COM | 95058W100 | Stock | 600 | $9,000 | thousands by filing date | put |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,540 | $9,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,373 | $9,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 100 | $9,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 277 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 200 | $9,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,250 | $9,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 930 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,040 | $9,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 805 | $9,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 523 | $9,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 2,043 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,115 | $9,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,711 | $9,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 290 | $9,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 950 | $9,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 2,525 | $9,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 264 | $9,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 3,033 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 200 | $9,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,341 | $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 | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,607 | $9,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 251 | $9,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,366 | $9,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 752 | $9,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 1,000 | $9,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 392 | $9,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 4,439 | $9,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 283 | $9,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 1,000 | $9,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 350 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 14,400 | $8,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 244 | $8,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 108 | $8,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 579 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 871 | $8,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 3,656 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 80 | $8,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 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 | 12,560 | $8,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 400 | $8,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 325 | $8,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 2,456 | $8,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 8,000 | $8,000 | thousands by filing date | principal |
| VALHI INC NEW | 918905100 | COM | 3,654 | $8,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 252 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 300 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 397 | $8,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 200 | $8,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 2,000 | $8,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 1,964 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 300 | $8,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,160 | $8,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 235 | $8,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 2,825 | $8,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,336 | $8,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 354 | $8,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 195 | $7,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 494 | $7,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,700 | $7,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 2,000 | $7,000 | thousands by filing date | put |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 4,290 | $7,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 301 | $7,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,138 | $7,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 472 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 645 | $7,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 271 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $7,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 165 | $7,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4,000 | $7,000 | thousands by filing date | principal |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 151 | $7,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 371 | $7,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 274 | $7,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 500 | $7,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 429 | $7,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,859 | $7,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 253 | $7,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,300 | $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 | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 200 | $7,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 2,958 | $7,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $7,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 3,375 | $7,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 1,772 | $7,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 563 | $7,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 1,483 | $7,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 6,000 | $7,000 | thousands by filing date | principal |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,774 | $7,000 | thousands by filing date | |
| 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 | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,091 | $7,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 185 | $6,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 222 | $6,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 300 | $6,000 | thousands by filing date | put |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 400 | $6,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,756 | $6,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 327 | $6,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 207 | $6,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,454 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 206 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 183 | $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 | 2,120 | $6,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 200 | $6,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 354 | $6,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 174 | $6,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 500 | $6,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,008 | $6,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 791 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,379 | $6,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $6,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 20,101 | $6,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 259 | $6,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 300 | $6,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 685 | $6,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 441 | $6,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 1,000 | $6,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 1,309 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 200 | $6,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 400 | $5,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 216 | $5,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 1,807 | $5,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 200 | $5,000 | thousands by filing date | put |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 175 | $5,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 171 | $5,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 500 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 186 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 107 | $5,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 50 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 200 | $5,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 214 | $5,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $5,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 776 | $5,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,015 | $5,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 898 | $5,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,496 | $5,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 1,000 | $5,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 3,175 | $5,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 400 | $5,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 3,448 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,963 | $5,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 9,384 | $5,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 137 | $5,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 386 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $5,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 100 | $5,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 368 | $5,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,217 | $5,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 330 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 500 | $5,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,000 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 152 | $5,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 200 | $5,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 1,870 | $5,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 7,000 | $5,000 | thousands by filing date | principal |
| NXT-ID INC | 67091J206 | COM NEW | 2,385 | $5,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 3,059 | $5,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 206 | $5,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 807 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 105 | $5,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,184 | $5,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 166 | $4,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 750 | $4,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 262 | $4,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 300 | $4,000 | thousands by filing date | call |
| CAPITALA FIN CORP | 14054R106 | COM | 400 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 134 | $4,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 100 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 215 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 190 | $4,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 723 | $4,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 501 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 200 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 64 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 90 | $4,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 514 | $4,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 637 | $4,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 323 | $4,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 378 | $4,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 174 | $4,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,402 | $4,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 1,889 | $4,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 300 | $4,000 | thousands by filing date | call |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 40 | $4,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 2,000 | $4,000 | thousands by filing date | principal |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,704 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 128 | $4,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 154 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 400 | $4,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 1,223 | $4,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 507 | $4,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 1,000 | $4,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 3,322 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 171 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800806 | COM NEW | 11,047 | $4,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 615 | $4,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 3,155 | $4,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 600 | $4,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 250 | $4,000 | thousands by filing date | principal |
| COUNTERPATH CORP | 22228P302 | COM | 1,480 | $4,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 208 | $4,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 4,000 | $4,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $4,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 155 | $4,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,623 | $4,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $4,000 | thousands by filing date | principal |
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 |