13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 6,969 holding rows worth $227,740,927,000.
- Accession
- 0001140361-18-008010
- Filer
- CIK 1000275
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 25,591 entries on the cover page, a total value of $227,740,927,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $227,740,927,000 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 (Jersey) 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 managerCITY NATIONAL ROCHDALE, LLC028-05392
- 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
- included managerLomas Capital Management, LLC028-15278
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 |
|---|---|---|---|---|---|---|
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,723 | $72,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,660 | $72,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 3,929 | $71,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 6,812 | $71,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 14,861 | $71,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,547 | $71,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 10,509 | $71,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 22,000 | $71,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 1,517 | $71,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 8,117 | $71,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 3,441 | $70,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 2,464 | $70,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 6,257 | $70,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 1,262 | $70,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 8,706 | $70,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 2,983 | $70,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 4,825 | $70,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 2,470 | $70,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 3,652 | $70,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 5,540 | $70,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 2,458 | $70,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 23,609 | $70,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 1,200 | $70,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 4,376 | $70,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 17,448 | $70,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,411 | $69,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 3,182 | $69,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,094 | $69,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 1,550 | $69,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 4,123 | $69,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 1,658 | $68,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,525 | $68,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 10,966 | $68,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,433 | $68,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 2,839 | $68,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,450 | $68,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $68,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 19,483 | $68,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 1,875 | $68,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 3,872 | $68,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 4,850 | $68,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 2,792 | $67,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 16,538 | $67,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 3,021 | $67,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 1,644 | $67,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 474 | $66,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 1,366 | $66,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 12,045 | $66,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 5,659 | $66,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 2,768 | $66,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 4,666 | $65,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 2,073 | $65,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 1,500 | $65,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 1,360 | $65,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 9,357 | $65,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 694 | $65,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 8,570 | $65,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 1,000 | $65,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 4,692 | $64,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 900 | $63,000 | thousands by filing date | put |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 4,590 | $63,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 3,548 | $63,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,325 | $63,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 11,062 | $63,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 23,380 | $63,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 5,050 | $63,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 958 | $62,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 4,497 | $62,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,000 | $62,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 30,390 | $62,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 5,565 | $62,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,323 | $62,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 3,407 | $62,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 5,000 | $62,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 1,038 | $61,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 3,211 | $61,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 22,535 | $61,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 6,575 | $61,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 4,126 | $61,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 2,427 | $61,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 10,202 | $61,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 7,000 | $61,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 24,429 | $61,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 2,303 | $61,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 6,421 | $61,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 1,300 | $60,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 4,370 | $60,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 35,799 | $60,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 42,518 | $60,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 1,251 | $59,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 5,946 | $59,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 9,127 | $59,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 15,100 | $59,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 3,880 | $59,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 1,000 | $59,000 | thousands by filing date | call |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 822 | $59,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 5,037 | $59,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,707 | $59,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 2,492 | $59,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,087 | $59,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 1,610 | $58,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 832 | $58,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 3,859 | $58,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 4,008 | $58,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,453 | $58,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 7,597 | $58,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,649 | $58,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 32,520 | $58,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 2,428 | $57,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 2,225 | $57,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 8,101 | $57,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 2,738 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 4,229 | $57,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 1,540 | $57,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 1,850 | $57,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,330 | $56,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 7,950 | $56,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 1,401 | $56,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 56,000 | $56,000 | thousands by filing date | principal |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 2,625 | $56,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 10,895 | $55,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 6,521 | $55,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 894 | $55,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 2,000 | $55,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 1,166 | $55,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 3,385 | $55,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 2,657 | $55,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,793 | $55,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,007 | $55,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 811 | $55,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 1,200 | $55,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 5,928 | $55,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 3,680 | $55,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 2,000 | $55,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 2,930 | $55,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 12,882 | $55,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,500 | $55,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 7,224 | $54,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 1,638 | $54,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 14,482 | $54,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 1,292 | $54,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 542 | $54,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 2,606 | $54,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 491 | $54,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 580 | $53,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,715 | $53,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 9,900 | $53,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,000 | $53,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 1,746 | $53,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 3,287 | $53,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 7,097 | $53,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 4,259 | $53,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 623 | $52,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 5,325 | $52,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 1,545 | $52,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 2,624 | $52,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 2,791 | $52,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 5,900 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 6,021 | $52,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 11,200 | $52,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,600 | $52,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 6,001 | $51,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 1,661 | $51,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,943 | $51,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 5,615 | $51,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 3,225 | $51,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 2,830 | $51,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 9,590 | $51,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 2,725 | $51,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 30,400 | $51,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 2,085 | $51,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 4,100 | $51,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 19,340 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 2,331 | $51,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 4,730 | $51,000 | thousands by filing date | principal |
| CSW INDUSTRIALS INC | 126402106 | COM | 1,098 | $50,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 2,436 | $50,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,875 | $50,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 28,087 | $50,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 2,350 | $50,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,400 | $50,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 3,700 | $50,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 6,445 | $50,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 27,543 | $49,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 1,800 | $49,000 | thousands by filing date | principal |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 7,615 | $49,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 6,029 | $49,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,750 | $49,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 1,668 | $49,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,407 | $49,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 8,407 | $48,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 1,497 | $48,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 19,960 | $48,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 46,000 | $48,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 2,450 | $48,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,484 | $47,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 1,981 | $47,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 5,429 | $47,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 5,000 | $47,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 2,500 | $47,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 65,970 | $47,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 15,900 | $47,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 9,200 | $47,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,772 | $46,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 4,380 | $46,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 1,179 | $46,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 660 | $46,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 575 | $46,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 19,113 | $46,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,926 | $46,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 1,500 | $46,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 1,951 | $46,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 15,000 | $46,000 | thousands by filing date | principal |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 1,423 | $46,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 2,204 | $45,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 1,723 | $45,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 2,000 | $45,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 1,800 | $45,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $45,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 786 | $45,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 2,950 | $45,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 788 | $45,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 561 | $45,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 11,909 | $45,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 20,193 | $45,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 5,000 | $45,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 1,485 | $44,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 1,643 | $44,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 3,511 | $44,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 878 | $44,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 3,000 | $44,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $44,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,656 | $44,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 1,183 | $43,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 723 | $43,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,805 | $43,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,089 | $43,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 1,645 | $43,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 759 | $43,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 1,000 | $43,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 500 | $43,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 4,652 | $43,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 74 | $43,000 | thousands by filing date | principal |
| CADIZ INC | 127537207 | COM NEW | 2,940 | $42,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 1,898 | $42,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 2,200 | $42,000 | thousands by filing date | put |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,851 | $42,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 4,693 | $42,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 5,745 | $42,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 764 | $42,000 | thousands by filing date | principal |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 3,235 | $42,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 9,699 | $42,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $42,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 685 | $42,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 2,991 | $42,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,200 | $42,000 | thousands by filing date | principal |
| ELFBEAUTYINC | 26856L103 | STOK | 1,856 | $41,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 602 | $41,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 200 | $41,000 | thousands by filing date | call |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 1,589 | $41,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 2,863 | $41,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,704 | $41,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,660 | $41,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 319 | $41,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 2,145 | $41,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,265 | $41,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 3,000 | $41,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 14,007 | $41,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 811 | $41,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,100 | $41,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 2,500 | $41,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 9,253 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 1,631 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 1,067 | $41,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 1,500 | $41,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 711 | $40,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 900 | $40,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 1,300 | $40,000 | thousands by filing date | call |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 1,450 | $40,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 4,605 | $40,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,300 | $40,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 997 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 676 | $40,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,006 | $40,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 12,947 | $40,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 2,413 | $40,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 3,132 | $40,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,048 | $40,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,065 | $40,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 900 | $40,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,486 | $40,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,513 | $39,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 2,701 | $39,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 1,569 | $39,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 6,983 | $39,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 1,040 | $39,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 3,690 | $39,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 1,241 | $39,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 18,200 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 2,540 | $39,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B357 | S&P INTL DEV HIG | 1,350 | $39,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,463 | $38,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 1,510 | $38,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,693 | $38,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 1,000 | $38,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,061 | $38,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 1,273 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,080 | $38,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 5,874 | $38,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 3,002 | $38,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 4,106 | $38,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,192 | $38,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 3,303 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 1,375 | $38,000 | thousands by filing date | put |
| NANTKWEST INC | 63016Q102 | COM | 8,647 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 1,120 | $38,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 11,276 | $37,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,500 | $37,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 765 | $37,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 720 | $37,000 | thousands by filing date | principal |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $37,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 1,344 | $37,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,707 | $37,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,046 | $37,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,502 | $37,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 915 | $37,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 1,155 | $37,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,472 | $37,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,151 | $37,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 219 | $37,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,000 | $37,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 3,976 | $36,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 500 | $36,000 | thousands by filing date | put |
| RIOT PLATFORMS INC | 767292105 | COM | 1,285 | $36,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 6,113 | $36,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 1,560 | $36,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,310 | $36,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,125 | $36,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,818 | $36,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,298 | $36,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,139 | $36,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 700 | $36,000 | thousands by filing date | principal |
| OIL STS INTL INC | 678026105 | COM | 1,235 | $35,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 3,000 | $35,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 6,764 | $35,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 803 | $35,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,032 | $35,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 1,506 | $35,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 3,502 | $35,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 2,438 | $35,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,350 | $35,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,000 | $35,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 2,013 | $34,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 1,300 | $34,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 1,169 | $34,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 10,000 | $34,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 6,254 | $34,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,181 | $34,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 710 | $34,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 4,589 | $34,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,058 | $34,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 859 | $33,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 1,669 | $33,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,567 | $33,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,160 | $33,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,135 | $33,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,150 | $33,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,898 | $33,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,000 | $33,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 983 | $33,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,355 | $33,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 16,572 | $33,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 3,000 | $33,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 975 | $33,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 448 | $32,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $32,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 1,463 | $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 | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,000 | $32,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 685 | $32,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,454 | $32,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,101 | $32,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 13,758 | $32,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 5,881 | $32,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,528 | $32,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,537 | $32,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 1,419 | $32,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 2,233 | $32,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 16,719 | $32,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 2,474 | $32,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 3,258 | $32,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 2,020 | $32,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 4,250 | $32,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 1,000 | $32,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 358 | $31,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 1,150 | $31,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 2,700 | $31,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 300 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $31,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 1,000 | $31,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 3,485 | $31,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,408 | $31,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 3,325 | $30,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 3,039 | $30,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 1,281 | $30,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,095 | $30,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 1,851 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 535 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,300 | $30,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 1,000 | $30,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 6,262 | $30,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 24,850 | $30,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 21,235 | $30,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 6,504 | $30,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,670 | $30,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 2,787 | $30,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 3,773 | $29,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 1,751 | $29,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 974 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 870 | $29,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 2,253 | $29,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 822 | $29,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 308 | $29,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $29,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,327 | $29,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 1,151 | $29,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 18,200 | $29,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 11,061 | $29,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 5,019 | $29,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 5,422 | $29,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 2,203 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 766 | $29,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 1,209 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 1,000 | $29,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $29,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,208 | $29,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 1,400 | $28,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 15,936 | $28,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,000 | $28,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,581 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 566 | $28,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,121 | $28,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,050 | $28,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 2,438 | $28,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 478 | $28,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1,394 | $28,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 6,827 | $28,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 1,100 | $28,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 13,237 | $28,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 400 | $28,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,062 | $28,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 2,500 | $28,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 546 | $28,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 1,022 | $28,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 3,000 | $28,000 | thousands by filing date | principal |
| CARGURUS INC COM CL A | 141788109 | Stock | 900 | $27,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 1,112 | $27,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 518 | $27,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 938 | $27,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,412 | $27,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 578 | $27,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,532 | $27,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 782 | $27,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,620 | $27,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 6,195 | $27,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,492 | $27,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 1,220 | $27,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 734 | $27,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 981 | $27,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 9,598 | $27,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,066 | $27,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 27,000 | $27,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 755 | $27,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,140 | $27,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 28,000 | $27,000 | thousands by filing date | principal |
| OSI ETF TR | 67110P209 | OSI ETF TR | 975 | $27,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 15,000 | $27,000 | thousands by filing date | principal |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,000 | $27,000 | thousands by filing date | principal |
| STRATEGY INC CL A NEW | 594972408 | Stock | 198 | $26,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,400 | $26,000 | thousands by filing date | call |
| UR-ENERGY INC | 91688R108 | COM | 38,079 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 450 | $26,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 722 | $26,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,792 | $26,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 3,000 | $26,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 1,661 | $26,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,520 | $26,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 1,366 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 865 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 575 | $26,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 17,495 | $26,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,550 | $26,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,613 | $26,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 2,000 | $26,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 984 | $26,000 | thousands by filing date | principal |
| KLONDEX MNS LTD | 498696103 | COM | 10,183 | $26,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,000 | $26,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 2,878 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 1,204 | $26,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-18-008010 | this filing | 2018-02-14 | acceptance time not in the bulk data set |