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 |
|---|---|---|---|---|---|---|
| 1ST SOURCE CORP COM | 336901103 | Stock | 7,456 | $369,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 18,133 | $369,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 12,125 | $369,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 7,730 | $366,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 48,000 | $366,000 | thousands by filing date | put |
| Seadrill Partners, LLC | Y7545W109 | LTD | 100,050 | $366,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 8,222 | $365,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 8,976 | $365,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 5,800 | $365,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 7,085 | $365,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 4,110 | $365,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 47,846 | $365,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 36,752 | $364,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 6,626 | $364,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 2,963 | $363,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 9,575 | $362,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 26,613 | $362,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 16,741 | $362,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 5,349 | $360,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 21,700 | $360,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 169,000 | $360,000 | thousands by filing date | call |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 30,142 | $360,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 28,735 | $360,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 12,490 | $359,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 8,474 | $359,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 7,188 | $358,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 12,509 | $358,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 19,135 | $358,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 5,454 | $358,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 11,397 | $357,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 13,000 | $357,000 | thousands by filing date | |
| COLUMBIA ETF TR II BEYOND BRICS ETF | 19762B103 | CEF | 19,365 | $357,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 41,049 | $356,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 354,000 | $355,000 | thousands by filing date | principal |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 879 | $354,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 17,072 | $354,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 4,827 | $354,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 5,964 | $354,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 6,364 | $353,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 8,822 | $353,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 42,147 | $352,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 7,135 | $352,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 13,447 | $352,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 30,767 | $351,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 13,340 | $351,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 11,766 | $351,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 4,870 | $350,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 5,810 | $350,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 18,728 | $350,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 24,361 | $350,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 17,313 | $349,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 66,752 | $348,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 18,587 | $346,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 15,657 | $346,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 24,282 | $345,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 13,642 | $345,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 5,568 | $344,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 20,739 | $344,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 7,954 | $343,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 24,190 | $343,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 10,230 | $343,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 12,302 | $343,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 44,095 | $343,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 20,000 | $342,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 25,484 | $342,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 2,687 | $341,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 2,289 | $341,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 4,832 | $341,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 23,451 | $341,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 4,662 | $341,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 10,325 | $341,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 12,936 | $340,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 24,212 | $340,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 14,712 | $340,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 35,147 | $339,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 33,247 | $339,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 20,750 | $338,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 31,463 | $338,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 23,943 | $337,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 49,040 | $337,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 11,606 | $337,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 28,313 | $337,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 10,569 | $336,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 5,750 | $336,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 115,232 | $336,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 34,829 | $335,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 19,250 | $335,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 18,500 | $334,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 5,133 | $334,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 43,418 | $334,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 5,919 | $334,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 58,208 | $334,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 8,828 | $333,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 5,000 | $332,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652406 | COM | 39,357 | $332,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 15,817 | $331,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 43,800 | $331,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 12,500 | $331,000 | thousands by filing date | call |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 116,692 | $330,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,400 | $330,000 | thousands by filing date | call |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 6,714 | $330,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 11,051 | $329,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 4,748 | $329,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 19,576 | $328,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 7,249 | $328,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 7,961 | $328,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 23,450 | $328,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 7,559 | $328,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 10,488 | $327,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 8,924 | $327,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 6,784 | $327,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 14,702 | $327,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 29,218 | $326,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 23,788 | $326,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 13,869 | $325,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 19,179 | $325,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 4,542 | $324,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 23,522 | $323,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 15,911 | $323,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 3,862 | $323,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 17,800 | $322,000 | thousands by filing date | put |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 9,349 | $322,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 4,667 | $322,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 11,681 | $322,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 46,776 | $321,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 35,865 | $321,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 39,380 | $321,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 26,939 | $321,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 12,181 | $320,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 3,398 | $320,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 31,221 | $320,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 26,500 | $319,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 5,359 | $318,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 5,441 | $317,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 12,154 | $317,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 40,884 | $317,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 7,913 | $316,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 29,416 | $316,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 24,951 | $315,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 13,708 | $315,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 6,343 | $315,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 16,295 | $315,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 22,753 | $314,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 5,243 | $313,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 10,000 | $312,000 | thousands by filing date | call |
| MERIT MED SYS INC COM | 589889104 | Stock | 7,232 | $312,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 17,727 | $312,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 15,642 | $312,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 17,500 | $311,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 20,500 | $310,000 | thousands by filing date | put |
| OSI ETF TR | 67110P100 | OSI ETF TR | 11,450 | $310,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 36,315 | $309,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 39,748 | $309,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 23,117 | $308,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,500 | $308,000 | thousands by filing date | call |
| VAREX IMAGING CORP | 92214X106 | COMMON STOCK | 7,673 | $308,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 24,472 | $307,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 21,766 | $307,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 6,190 | $306,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 6,054 | $305,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 46,291 | $305,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,482 | $304,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 25,837 | $304,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 12,946 | $303,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 20,459 | $302,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 4,466 | $302,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 2,661 | $301,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 5,523 | $301,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 9,800 | $299,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 82,436 | $299,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,901 | $298,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 4,990 | $298,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 23,180 | $298,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 19,970 | $298,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 4,400 | $297,000 | thousands by filing date | call |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 60,665 | $297,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 16,122 | $297,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 59,900 | $297,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 6,685 | $296,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 10,852 | $295,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 8,321 | $295,000 | thousands by filing date | |
| MTGE INVT CORP COM | 55378A105 | REIT | 15,949 | $295,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 7,077 | $294,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 17,403 | $294,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 22,787 | $293,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 44,826 | $292,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 51,200 | $292,000 | thousands by filing date | put |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 3,900 | $291,000 | thousands by filing date | call |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 11,341 | $291,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 16,913 | $290,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 6,565 | $290,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 28,550 | $290,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 17,350 | $289,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 17,474 | $289,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 16,510 | $289,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 35,224 | $289,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 7,516 | $288,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 15,951 | $288,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 6,709 | $288,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 2,500 | $287,000 | thousands by filing date | put |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 14,293 | $286,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 4,410 | $286,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 30,513 | $286,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 36,807 | $286,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 285,000 | $285,000 | thousands by filing date | principal |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 7,807 | $284,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 90,000 | $284,000 | thousands by filing date | put |
| KOREA FD INC | 500634209 | COM NEW | 6,850 | $283,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 12,437 | $282,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 18,535 | $282,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 4,447 | $282,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 49,400 | $282,000 | thousands by filing date | call |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 329 | $280,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 9,143 | $280,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 7,325 | $280,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 11,785 | $280,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 2,765 | $279,000 | thousands by filing date | |
| SUPERVALU INC | 868536301 | COM NEW | 12,903 | $279,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 28,703 | $278,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 28,051 | $277,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 10,600 | $277,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 17,001 | $276,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 2,923 | $276,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 10,800 | $276,000 | thousands by filing date | put |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 28,749 | $275,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 3,873 | $274,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 10,606 | $274,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 28,131 | $273,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 9,341 | $273,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 38,464 | $273,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 26,696 | $272,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 18,871 | $272,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 14,341 | $272,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,100 | $271,000 | thousands by filing date | call |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 14,043 | $270,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 2,636 | $270,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 20,290 | $269,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 7,243 | $269,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 15,854 | $268,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 5,681 | $268,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 19,990 | $267,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 266,000 | $267,000 | thousands by filing date | principal |
| RADIAN GROUP INC COM | 750236101 | Stock | 12,900 | $266,000 | thousands by filing date | put |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 10,358 | $266,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 3,464 | $266,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 15,455 | $266,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 6,040 | $266,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 15,000 | $266,000 | thousands by filing date | put |
| VERIFONE SYS INC | 92342Y109 | COM | 15,000 | $266,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 7,960 | $265,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 281,000 | $264,000 | thousands by filing date | principal |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 7,699 | $263,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 18,672 | $263,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 5,162 | $263,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 7,814 | $262,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 2,898 | $262,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 8,335 | $261,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 7,300 | $261,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 17,883 | $261,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 8,617 | $261,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 6,729 | $260,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 4,837 | $260,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 9,985 | $258,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 21,178 | $258,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 19,462 | $258,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 9,014 | $258,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 66,593 | $258,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 1,075 | $257,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 26,443 | $256,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 11,571 | $256,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 20,313 | $256,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 26,776 | $255,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 76,876 | $254,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 27,577 | $254,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 10,938 | $254,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 22,865 | $254,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,400 | $253,000 | thousands by filing date | call |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 11,188 | $252,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,700 | $251,000 | thousands by filing date | put |
| LA Z BOY INC | 505336107 | COM | 8,061 | $251,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 12,072 | $251,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 5,225 | $251,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 6,045 | $250,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 69,200 | $249,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 6,554 | $248,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 6,824 | $248,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 12,166 | $248,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 26,098 | $248,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 39,748 | $247,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 17,061 | $247,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,100 | $246,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 10,635 | $246,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 5,200 | $246,000 | thousands by filing date | put |
| AUDIOCODES LTD | M15342104 | ORD | 33,299 | $245,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 5,444 | $245,000 | thousands by filing date | |
| Invesco Wilderhill Clean Energy ETF | 73935x112 | COM | 9,678 | $245,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 2,918 | $244,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 12,301 | $244,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 76,787 | $243,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 19,603 | $243,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 16,281 | $242,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 8,375 | $241,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 2,058 | $240,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 21,369 | $240,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 31,800 | $239,000 | thousands by filing date | put |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 1,966 | $239,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 4,065 | $239,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 8,078 | $239,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 38,845 | $239,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 6,539 | $237,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 11,809 | $236,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 63,099 | $235,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 5,137 | $235,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 7,488 | $235,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 1,017,600 | $235,000 | thousands by filing date | put |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 235,000 | $235,000 | thousands by filing date | principal |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 4,643 | $234,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 41,762 | $234,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 6,682 | $234,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 4,385 | $234,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 12,825 | $233,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 16,181 | $232,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 3,240 | $232,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 7,732 | $232,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 8,550 | $232,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 11,427 | $231,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 27,800 | $231,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 2,669 | $230,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 35,226 | $230,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 336,000 | $230,000 | thousands by filing date | principal |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 6,327 | $230,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 5,029 | $229,000 | thousands by filing date | |
| ABM INDS INC | 000957100 | COM | 6,064 | $229,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 3,178 | $229,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 9,100 | $229,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 19,964 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 8,783 | $228,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 18,560 | $228,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 9,364 | $228,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 8,957 | $228,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 25,772 | $227,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 5,382 | $227,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 17,260 | $227,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 32,708 | $226,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 4,697 | $226,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 33,353 | $226,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 31,462 | $226,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 9,000 | $226,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 13,547 | $225,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 6,939 | $225,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 22,550 | $225,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 5,526 | $225,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 6,687 | $225,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 23,154 | $224,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 24,045 | $223,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 9,177 | $223,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 3,279 | $222,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 42,476 | $222,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 16,905 | $221,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 7,448 | $221,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 8,201 | $220,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 8,347 | $220,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 2,268 | $219,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 5,060 | $219,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 18,900 | $219,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 55,722 | $219,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 15,639 | $218,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,500 | $217,000 | thousands by filing date | call |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 16,575 | $217,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 11,700 | $216,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 2,790 | $216,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 8,450 | $216,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 5,400 | $216,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 69,110 | $215,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,400 | $214,000 | thousands by filing date | call |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 1,380 | $214,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 14,124 | $214,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 20,200 | $214,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 5,531 | $213,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 7,783 | $213,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 19,700 | $213,000 | thousands by filing date | call |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 30,503 | $213,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 17,119 | $213,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 5,539 | $213,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 8,450 | $212,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 3,562 | $211,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 12,945 | $211,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 6,361 | $210,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 10,175 | $210,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 8,186 | $210,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 23,800 | $209,000 | thousands by filing date | call |
| KELLY SVCS INC | 488152208 | CL A | 7,646 | $209,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 10,017 | $209,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 9,859 | $209,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 8,947 | $209,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 35,855 | $209,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 22,318 | $208,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 16,915 | $208,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 7,334 | $208,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 93,094 | $208,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 28,841 | $207,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 19,084 | $207,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 3,041 | $207,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 16,012 | $207,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 15,156 | $206,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 17,138 | $206,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 19,800 | $206,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 40,585 | $206,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 49,308 | $205,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 21,814 | $205,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 4,000 | $204,000 | thousands by filing date | call |
| VALLEY NATL BANCORP | 919794107 | COM | 18,260 | $204,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 7,400 | $204,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 17,228 | $204,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 5,478 | $204,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 5,305 | $204,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 27,110 | $204,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 3,627 | $203,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 3,799 | $202,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 10,100 | $202,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 11,000 | $202,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 8,482 | $202,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 10,496 | $201,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 2,670 | $201,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 8,580 | $201,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 13,427 | $201,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 21,798 | $199,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 3,043 | $198,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 19,872 | $198,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 4,075 | $198,000 | thousands by filing date | principal |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 58,963 | $198,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 33,030 | $198,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 9,147 | $197,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 3,054 | $197,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 45,705 | $197,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 42,701 | $197,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 7,900 | $196,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 9,568 | $196,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,100 | $196,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 26,105 | $195,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 63,650 | $195,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 4,589 | $195,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 25,000 | $194,000 | thousands by filing date | put |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 22,067 | $194,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 1,940 | $194,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 75,271 | $194,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 45,490 | $193,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 8,033 | $193,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 5,100 | $192,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 33,518 | $191,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 5,276 | $191,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 9,353 | $191,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 6,877 | $190,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 10,000 | $190,000 | thousands by filing date | call |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 14,162 | $189,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 2,490 | $189,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 6,208 | $189,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 2,676 | $188,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 3,180 | $188,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 11,900 | $188,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 9,441 | $188,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 11,261 | $188,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 4,020 | $187,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 2,684 | $187,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 9,135 | $187,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,036 | $186,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,454 | $186,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 9,345 | $186,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 356,994 | $185,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,260 | $184,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 8,230 | $184,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 13,000 | $184,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 3,700 | $184,000 | thousands by filing date | put |
| EXONE CO | 302104104 | COM | 21,799 | $184,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 11,092 | $184,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 10,700 | $183,000 | thousands by filing date | put |
| MUELLER INDS INC COM | 624756102 | Stock | 5,156 | $183,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 18,003 | $183,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 25,000 | $183,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 5,820 | $183,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 18,703 | $182,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 4,017 | $182,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 8,361 | $182,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 17,209 | $182,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 31,311 | $181,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 5,544 | $181,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 6,204 | $181,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 7,960 | $180,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 5,256 | $180,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 10,015 | $180,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 11,087 | $180,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 795 | $180,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 2,268 | $179,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 7,261 | $179,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 11,755 | $179,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 26,984 | $179,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 9,564 | $178,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,500 | $177,000 | thousands by filing date | put |
| ETSY INC | 29786A106 | COM | 8,630 | $177,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 3,388 | $177,000 | 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 |