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 |
|---|---|---|---|---|---|---|
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 1,511 | $26,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 25,000 | $26,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 1,117 | $26,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 100 | $25,000 | thousands by filing date | call |
| CORVEL CORP COM | 221006109 | Stock | 467 | $25,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 1,387 | $25,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,376 | $25,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,802 | $25,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 612 | $25,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 973 | $25,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,622 | $25,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,750 | $25,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 470 | $25,000 | thousands by filing date | principal |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 660 | $25,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,169 | $25,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 664 | $25,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,300 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,272 | $25,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 1,614 | $25,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $25,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25490K810 | MD CP BEAR 3X NW | 1,823 | $25,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,759 | $25,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 986 | $24,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 1,502 | $24,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 102 | $24,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $24,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 950 | $24,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 1,130 | $24,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 980 | $24,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 1,200 | $24,000 | thousands by filing date | put |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 900 | $24,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 2,828 | $24,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 7,238 | $24,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,775 | $24,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 7,142 | $24,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $24,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 1,498 | $24,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 10,050 | $24,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 6,757 | $24,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 9,440 | $24,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 1,063 | $24,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 14,000 | $24,000 | thousands by filing date | principal |
| PENUMBRA INC COM | 70975L107 | Stock | 250 | $23,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,200 | $23,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 2,285 | $23,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,553 | $23,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 312 | $23,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 1,172 | $23,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 676 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 950 | $23,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,562 | $23,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,638 | $23,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 62,793 | $23,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 6,427 | $23,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,069 | $23,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 936 | $23,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 2,400 | $23,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 950 | $23,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 425 | $22,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,700 | $22,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,806 | $22,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 920 | $22,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 9,297 | $22,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 307 | $22,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 500 | $22,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 6,563 | $22,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 1,705 | $22,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 5,148 | $22,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 1,503 | $22,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,411 | $22,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 300 | $21,000 | thousands by filing date | call |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 596 | $21,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 485 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 320 | $21,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 1,185 | $21,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 900 | $21,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 1,245 | $21,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,370 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 300 | $21,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 2,316 | $21,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 15,000 | $21,000 | thousands by filing date | principal |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 1,338 | $21,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 13,466 | $21,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 1,105 | $21,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,554 | $21,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 21,881 | $21,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 16,222 | $21,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 15,731 | $21,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 865 | $21,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 52,514 | $21,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $21,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 988 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y181 | SML CP BULL 2X | 405 | $21,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 21,000 | $21,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,337 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 522 | $20,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,250 | $20,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 417 | $20,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 2,948 | $20,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 404 | $20,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 506 | $20,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 2,504 | $20,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 5,080 | $20,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 17,618 | $20,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 480 | $20,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,091 | $20,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,654 | $20,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 1,316 | $20,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $20,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 780 | $20,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 400 | $20,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 1,178 | $19,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 866 | $19,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 400 | $19,000 | thousands by filing date | put |
| STEELCASE INC-CLASS A | 858155203 | CL A | 1,293 | $19,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 934 | $19,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 2,426 | $19,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 784 | $19,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 226 | $19,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $19,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 561 | $19,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 14,510 | $19,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 2,039 | $19,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,951 | $19,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 1,015 | $19,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 280 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 600 | $19,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $19,000 | thousands by filing date | principal |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 500 | $18,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 7,628 | $18,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,167 | $18,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 532 | $18,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,739 | $18,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,000 | $18,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 5,200 | $18,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 4,367 | $18,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,520 | $18,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 13,000 | $18,000 | thousands by filing date | principal |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,108 | $18,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,533 | $18,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 11,208 | $18,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $18,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 1,130 | $18,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 34,000 | $18,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 27,475 | $18,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 4,705 | $18,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 10,409 | $18,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 18,000 | $18,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 13,000 | $18,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 16,000 | $18,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 13,851 | $18,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 1,100 | $17,000 | thousands by filing date | put |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 1,162 | $17,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 5,247 | $17,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 2,291 | $17,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 200 | $17,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 900 | $17,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 800 | $17,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 606 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 372 | $17,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,300 | $17,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,800 | $17,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $17,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $17,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,000 | $17,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,481 | $17,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,202 | $17,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,500 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,466 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 15,418 | $17,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,001 | $17,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,270 | $17,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 287 | $17,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 1,184 | $17,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 28,182 | $17,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 1,180 | $17,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 17,000 | $17,000 | thousands by filing date | principal |
| OM ASSET MGMT PLC | G67506108 | SHS | 1,036 | $17,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,648 | $17,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 546 | $17,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 300 | $16,000 | thousands by filing date | put |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 1,381 | $16,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 1,000 | $16,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 250 | $16,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 366 | $16,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 1,605 | $16,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 291 | $16,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 365 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 644 | $16,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,000 | $16,000 | thousands by filing date | put |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 625 | $16,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,013 | $16,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,489 | $16,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 431 | $16,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 3,000 | $16,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 500 | $16,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 2,500 | $16,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 782 | $16,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 10,905 | $16,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,000 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 200 | $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 |
| ALEXANDERS INC COM | 014752109 | REIT | 38 | $15,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 500 | $15,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 743 | $15,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 3,433 | $15,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 587 | $15,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 3,000 | $15,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 3,782 | $15,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,473 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,090 | $15,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 5,372 | $15,000 | thousands by filing date | |
| SENDGRID INC | 816883102 | COM | 629 | $15,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 700 | $15,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 6,364 | $15,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 8,917 | $15,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 14,000 | $15,000 | thousands by filing date | principal |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,000 | $15,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,015 | $15,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 1,365 | $15,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 757 | $15,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,485 | $15,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 387 | $15,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 851 | $15,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 495 | $15,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 401 | $15,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 1,025 | $14,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 531 | $14,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,300 | $14,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 686 | $14,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,223 | $14,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 347 | $14,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 300 | $14,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 316 | $14,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 622 | $14,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 487 | $14,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 12,041 | $14,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 457 | $14,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,500 | $14,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 500 | $14,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 884 | $14,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 2,698 | $14,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,141 | $14,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $14,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 500 | $14,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $14,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,000 | $14,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 300 | $14,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 628 | $14,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 2,279 | $14,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 1,385 | $14,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 326 | $14,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 585 | $14,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 2,819 | $14,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,483 | $14,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 864 | $14,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 14,000 | $14,000 | thousands by filing date | principal |
| BOJANGLES INC | 097488100 | COM | 1,215 | $14,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 11,000 | $14,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 13,000 | $14,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $14,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 10,000 | $14,000 | thousands by filing date | principal |
| NUCOR CORP COM | 670346105 | Stock | 200 | $13,000 | thousands by filing date | put |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 300 | $13,000 | thousands by filing date | call |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 900 | $13,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 9,944 | $13,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 3,656 | $13,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 4,515 | $13,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 653 | $13,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 700 | $13,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,001 | $13,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 6,116 | $13,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,603 | $13,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 16,214 | $13,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $13,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,828 | $13,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 3,215 | $13,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 225 | $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 |
| PEAK RESORTS INC | 70469L100 | COM | 2,509 | $13,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 220 | $13,000 | thousands by filing date | principal |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 4,316 | $12,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,702 | $12,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,226 | $12,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 729 | $12,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 426 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 300 | $12,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 3,001 | $12,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 410 | $12,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 800 | $12,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 650 | $12,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 977 | $12,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 847 | $12,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 100 | $12,000 | thousands by filing date | call |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,000 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 557 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 145 | $12,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,043 | $12,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 2,613 | $12,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 1,154 | $12,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,523 | $12,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 224 | $12,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 590 | $12,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 1,776 | $12,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,860 | $12,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 10,000 | $12,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 13,858 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 287 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 500 | $12,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 400 | $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 |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 439 | $12,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 1,000 | $11,000 | thousands by filing date | put |
| NATERA INC COM | 632307104 | Stock | 1,267 | $11,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 178 | $11,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 278 | $11,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 241 | $11,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,040 | $11,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,000 | $11,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 92 | $11,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 533 | $11,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 160 | $11,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 973 | $11,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 300 | $11,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 380 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 120 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 545 | $11,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $11,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $11,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,950 | $11,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 2,725 | $11,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 355 | $11,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 200 | $11,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 406 | $11,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 7,000 | $11,000 | thousands by filing date | principal |
| BOB EVANS FARMS | 096761101 | COM | 143 | $11,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 2,000 | $11,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 600 | $11,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,607 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 750 | $11,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 3,140 | $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 |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,669 | $11,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 15,000 | $11,000 | thousands by filing date | principal |
| 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 | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 346 | $11,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 642 | $10,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 1,744 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 500 | $10,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,832 | $10,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 646 | $10,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 650 | $10,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 400 | $10,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 100 | $10,000 | thousands by filing date | put |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 200 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 600 | $10,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 615 | $10,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 907 | $10,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 302 | $10,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,250 | $10,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,029 | $10,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,307 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 500 | $10,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,509 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 446 | $10,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,852 | $10,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,295 | $10,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 310 | $10,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,580 | $10,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 349 | $10,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 726 | $10,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,304 | $10,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,607 | $10,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $10,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 13,000 | $10,000 | thousands by filing date | principal |
| Proshares VIX Short-Term | 74347W171 | Equity | 418 | $10,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,022 | $10,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,250 | $10,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 6,112 | $10,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 633 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| Cenveo Inc (NV) | 15670S402 | CS | 10,687 | $10,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 283 | $10,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 96 | $9,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 389 | $9,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 1,068 | $9,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 400 | $9,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,016 | $9,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,173 | $9,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $9,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 108 | $9,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 568 | $9,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,372 | $9,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 215 | $9,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 775 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 277 | $9,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 221 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,498 | $9,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 800 | $9,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 1,000 | $9,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,213 | $9,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 875 | $9,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,980 | $9,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 262 | $9,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 325 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 105 | $9,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 155 | $9,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 6,350 | $9,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,455 | $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 | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 19,044 | $9,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $9,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,000 | $9,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 64,965 | $9,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 9,000 | $9,000 | thousands by filing date | principal |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 863 | $9,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 42,630 | $9,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 4,180 | $8,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 167 | $8,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,540 | $8,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 20,661 | $8,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 122 | $8,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 198 | $8,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $8,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $8,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $8,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 1,000 | $8,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 350 | $8,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 571 | $8,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,193 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 250 | $8,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 1,200 | $8,000 | thousands by filing date | call |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 254 | $8,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 154 | $8,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $8,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 81 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,049 | $8,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 627 | $8,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 7,578 | $8,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 750 | $8,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 6,154 | $8,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 808 | $8,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,585 | $8,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 370 | $8,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,200 | $8,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,026 | $8,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 830 | $8,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 280 | $8,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 440 | $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 | |
| FNB Bancorp | 302515101 | Common | 220 | $8,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 2,000 | $8,000 | thousands by filing date | |
| OCEAN RIG UDW INC | G66964118 | SHS NEW | 300 | $8,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 677 | $8,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 418 | $8,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 330 | $8,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,667 | $8,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 7,000 | $8,000 | thousands by filing date | principal |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 169 | $7,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 300 | $7,000 | thousands by filing date | put |
| MARATHON PETE CORP COM | 56585A102 | Stock | 100 | $7,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 3,307 | $7,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 2,000 | $7,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 880 | $7,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,500 | $7,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 165 | $7,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 238 | $7,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 500 | $7,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,756 | $7,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 660 | $7,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 250 | $7,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,324 | $7,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 487 | $7,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 545 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 80 | $7,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 335 | $7,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,100 | $7,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 2,090 | $7,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 11,428 | $7,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 272 | $7,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 714 | $7,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4,000 | $7,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 29,112 | $7,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 274 | $7,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 161 | $7,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,026 | $7,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $7,000 | 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 |