13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-15, with 6,633 holding rows worth $223,279,685,000.
- Accession
- 0001140361-18-023764
- Filer
- CIK 1000275
- Filed
- 2018-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 24,473 entries on the cover page, a total value of $223,279,685,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $223,279,685,000 with VALUE read as thousands by filing date, 13F file number 028-11396. A later restatement replaced it, so the quarter does not use it. 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
- included managerCYPRESS FUNDS LLC028-04707
- included managerAscend Capital Limited Partnership028-11218
- included managerDiametric Capital, LP028-18524
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 |
|---|---|---|---|---|---|---|
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 160,000 | $144,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 5,637 | $143,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 4,610 | $141,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 48,550 | $141,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 9,725 | $140,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 2,851 | $140,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 21,000 | $139,000 | thousands by filing date | put |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 21,175 | $139,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 9,875 | $139,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 31,800 | $139,000 | thousands by filing date | put |
| RADIUS HEALTH INC | 750469207 | COM NEW | 3,857 | $139,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 25,548 | $139,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 24,390 | $139,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 12,263 | $138,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 9,529 | $138,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 18,884 | $138,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 4,688 | $138,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 26,513 | $137,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 2,000 | $137,000 | thousands by filing date | call |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 9,564 | $137,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 2,440 | $137,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 9,993 | $137,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 4,160 | $137,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 24,700 | $137,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 4,597 | $136,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 4,200 | $136,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 14,942 | $136,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 9,025 | $136,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 4,328 | $135,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 1,913 | $134,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 2,143 | $134,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,271 | $134,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 52,600 | $134,000 | thousands by filing date | |
| Invesco Wilderhill Clean Energy ETF | 73935x112 | COM | 5,355 | $134,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 14,522 | $133,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 9,895 | $133,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 1,146 | $133,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 40,695 | $133,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 8,677 | $132,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 11,226 | $132,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 40,850 | $131,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 1,671 | $130,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 6,731 | $130,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 2,658 | $130,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 13,399 | $130,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 2,626 | $130,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 6,900 | $130,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 5,966 | $130,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 9,506 | $130,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 6,356 | $129,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,439 | $129,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 3,182 | $129,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 12,806 | $129,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 3,468 | $129,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 1,453 | $128,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,850 | $128,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 8,945 | $128,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 6,300 | $128,000 | thousands by filing date | call |
| LAKELAND BANCORP INC | 511637100 | COM | 6,453 | $128,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 3,374 | $127,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 3,217 | $127,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 3,737 | $127,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 4,185 | $127,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 4,390 | $127,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 5,152 | $126,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 15,533 | $126,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 2,400 | $126,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 13,500 | $126,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33739Q606 | HEITMAN GLOBAL | 6,375 | $126,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 2,057 | $125,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 5,227 | $125,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 3,840 | $125,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 9,094 | $125,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 11,000 | $125,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 2,460 | $124,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 11,969 | $124,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 2,685 | $124,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 2,565 | $124,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 2,217 | $123,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 8,137 | $123,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 51,603 | $123,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,196 | $123,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,987 | $123,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 5,100 | $122,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 2,794 | $122,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 11,905 | $122,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 34,743 | $122,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 4,165 | $121,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 1,733 | $121,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 2,402 | $121,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 50,849 | $121,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 2,977 | $121,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 24,030 | $121,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 4,582 | $120,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 52,348 | $120,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 2,292 | $120,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 12,399 | $120,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 3,538 | $120,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 1,433 | $120,000 | thousands by filing date | |
| WORLD GOLD TR | 98146B104 | SPDR GLD MINIS | 989 | $120,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 15,911 | $119,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 5,404 | $119,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 12,443 | $119,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 8,446 | $119,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 1,024 | $119,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 12,723 | $119,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 10,493 | $118,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,231 | $118,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 31,904 | $117,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 10,757 | $117,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 5,132 | $117,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 10,508 | $117,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 1,654 | $117,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 42,400 | $117,000 | thousands by filing date | call |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 2,629 | $117,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 7,825 | $117,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 5,996 | $117,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 3,688 | $116,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 7,529 | $116,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 1,954 | $116,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 5,079 | $116,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 3,178 | $116,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,769 | $116,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 24,660 | $116,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 6,949 | $115,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 4,252 | $115,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 9,900 | $115,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 5,387 | $115,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,694 | $115,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 6,517 | $114,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 9,208 | $114,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 18,245 | $114,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 23,100 | $114,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 400 | $113,000 | thousands by filing date | put |
| ACNB CORP | 000868109 | COMMON STOCK | 3,865 | $113,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 8,403 | $113,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,585 | $113,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 7,648 | $113,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 7,965 | $113,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 11,887 | $112,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 1,986 | $112,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 11,470 | $112,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 3,029 | $111,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 8,530 | $111,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 3,090 | $111,000 | thousands by filing date | principal |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 4,620 | $111,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 6,403 | $110,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 13,371 | $110,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 11,318 | $109,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 7,267 | $109,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 16,200 | $109,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 1,300 | $109,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 2,040 | $108,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 8,315 | $108,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 17,211 | $108,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 2,348 | $108,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 7,906 | $108,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 4,600 | $107,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 7,693 | $107,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 4,420 | $107,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,444 | $107,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 7,551 | $107,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 35,900 | $107,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 3,876 | $107,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 13,401 | $107,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 6,844 | $107,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 4,015 | $107,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 5,705 | $107,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 3,887 | $107,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 7,434 | $106,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 7,080 | $106,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 11,486 | $106,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 5,431 | $106,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 35,422 | $106,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 146,607 | $106,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 9,395 | $106,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 2,703 | $105,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 1,165 | $105,000 | thousands by filing date | |
| XPERI CORP | 98421B100 | COM | 4,952 | $105,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 12,901 | $105,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 3,525 | $105,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 3,571 | $105,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 3,250 | $105,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 3,347 | $105,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 8,556 | $104,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 36,500 | $104,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 18,694 | $104,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 1,439 | $103,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 46,001 | $103,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 2,234 | $103,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 940 | $102,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 4,165 | $102,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 4,100 | $102,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 490 | $101,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 1,603 | $101,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 20,645 | $101,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 6,554 | $101,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 25,876 | $101,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 3,050 | $101,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 2,015 | $100,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 70,768 | $100,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 16,665 | $100,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 2,200 | $100,000 | thousands by filing date | principal |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 11,523 | $99,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 1,000 | $99,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 8,480 | $99,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 615 | $99,000 | thousands by filing date | |
| ELKHORN S&P HIGH QUALITY PREFERRED ETF | 287711501 | ETF | 4,253 | $99,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 6,740 | $98,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 3,634 | $98,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 6,813 | $98,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 26,694 | $98,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 791 | $98,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 8,529 | $98,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 8,449 | $97,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 7,400 | $97,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 6,251 | $97,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 845 | $97,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 271,401 | $97,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 16,229 | $97,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 27,601 | $97,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 4,428 | $96,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 5,925 | $96,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 10,924 | $96,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 41,042 | $96,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 3,461 | $95,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 6,319 | $95,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 949 | $95,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 5,964 | $95,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 2,200 | $95,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 21,703 | $94,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 6,600 | $94,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 15,578 | $94,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 2,856 | $94,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 5,101 | $94,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 10,600 | $94,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 44,865 | $94,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 7,970 | $93,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 3,102 | $93,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 4,731 | $93,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 3,186 | $93,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 6,679 | $93,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 53,989 | $92,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 1,273 | $92,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 3,935 | $92,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 3,050 | $92,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 91,000 | $92,000 | thousands by filing date | principal |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 306,096 | $92,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 5,658 | $92,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 3,604 | $92,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 2,186 | $91,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 560 | $91,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 4,700 | $91,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,500 | $91,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 1,129 | $91,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 25,703 | $91,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 5,800 | $90,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 2,573 | $90,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 9,652 | $90,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G603 | HRZNS S&P500 COV | 1,873 | $90,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 1,558 | $89,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 2,871 | $89,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 1,200 | $89,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 3,717 | $89,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 3,000 | $89,000 | thousands by filing date | call |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 2,318 | $89,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 5,511 | $89,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 45,467 | $88,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,929 | $88,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 6,597 | $88,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 15,192 | $88,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 27,235 | $88,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 10,756 | $87,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 20,043 | $87,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 5,808 | $87,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 2,960 | $87,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 1,510 | $86,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 990 | $86,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 5,818 | $86,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 40,818 | $86,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 2,075 | $85,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 4,725 | $85,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 2,865 | $85,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 1,105 | $85,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 20,000 | $85,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 4,576 | $85,000 | thousands by filing date | |
| BANCORPSOUTH BK TUPELO MISS | 05971J102 | COM | 2,693 | $85,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 16,168 | $84,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 12,194 | $84,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 1,239 | $84,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,500 | $84,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 801 | $83,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 3,115 | $83,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 11,085 | $83,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 4,179 | $83,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 4,755 | $83,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 10,500 | $83,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 3,380 | $83,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 131 | $83,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 4,259 | $82,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 2,000 | $82,000 | thousands by filing date | put |
| HILLTOP HLDGS INC | 432748101 | COM | 3,525 | $82,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,833 | $82,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 2,390 | $82,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 5,000 | $82,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 16,731 | $82,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 9,428 | $82,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 4,800 | $82,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 65,200 | $82,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 2,206 | $82,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,500 | $82,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 1,332 | $81,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 6,301 | $81,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 6,016 | $81,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 4,545 | $81,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 7,000 | $81,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,750 | $81,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 6,535 | $81,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 2,319 | $81,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,536 | $80,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,335 | $80,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 18,337 | $80,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 814 | $80,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 35,799 | $79,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 2,113 | $79,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 3,745 | $79,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 79,504 | $79,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 4,703 | $79,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,029 | $79,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 6,800 | $78,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 9,357 | $78,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 8,051 | $78,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 6,000 | $78,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 2,498 | $78,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 2,880 | $78,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 5,110 | $77,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 2,875 | $77,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 17,196 | $77,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 3,069 | $77,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,821 | $77,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 3,604 | $77,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 8,126 | $77,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 7,600 | $77,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 7,036 | $77,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 7,376 | $76,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,300 | $76,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 1,912 | $76,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,835 | $76,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 14,999 | $75,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 1,137 | $75,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,400 | $75,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 3,872 | $75,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 4,354 | $75,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 10,244 | $74,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 5,520 | $74,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 5,000 | $74,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,545 | $74,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 5,408 | $73,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 3,696 | $73,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 1,562 | $73,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 1,583 | $73,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 5,780 | $73,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 35,421 | $73,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 4,048 | $73,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,259 | $73,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 3,766 | $73,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 2,592 | $73,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 2,762 | $72,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 1,211 | $72,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,452 | $72,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 9,003 | $72,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 22,911 | $72,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 805 | $72,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 3,149 | $72,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 3,155 | $72,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,873 | $72,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 437 | $72,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 5,164 | $71,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,383 | $71,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 35,822 | $71,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 11,219 | $71,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 10,940 | $71,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 5,447 | $71,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 4,456 | $71,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 1,460 | $70,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 500 | $70,000 | thousands by filing date | put |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,538 | $70,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 6,300 | $70,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 2,216 | $70,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 44,050 | $70,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,749 | $70,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 3,138 | $70,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 1,591 | $70,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 6,000 | $70,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 1,660 | $70,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 4,085 | $69,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 5,900 | $69,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 7,926 | $69,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 400 | $69,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 5,514 | $69,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 2,511 | $69,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 3,642 | $69,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 5,969 | $69,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 576 | $68,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 3,652 | $68,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 9,319 | $68,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 32,529 | $68,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 1,752 | $67,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 3,735 | $67,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 932 | $67,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 3,625 | $67,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,073 | $67,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 6,750 | $67,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 9,839 | $66,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 11,055 | $66,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,701 | $66,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 9,237 | $66,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,050 | $66,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 3,947 | $66,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 5,100 | $66,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 8,000 | $66,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 855 | $65,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 6,000 | $65,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 1,500 | $65,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 2,462 | $65,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 6,326 | $65,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 2,302 | $65,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 7,050 | $65,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 20,400 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 5,019 | $65,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRADED FD | 18386R205 | GUGGENHEIM BULET | 3,353 | $65,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 1,062 | $64,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 2,700 | $64,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 1,071 | $64,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 6,000 | $64,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 1,200 | $64,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 1,000 | $64,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 2,125 | $64,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 521 | $64,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 2,636 | $64,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 2,642 | $63,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 1,545 | $63,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 5,871 | $63,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 2,265 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,366 | $63,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 10,202 | $63,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,325 | $63,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 2,530 | $63,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,596 | $63,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 7,261 | $63,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 1,500 | $62,000 | thousands by filing date | put |
| DMC GLOBAL INC | 23291C103 | COM | 2,301 | $62,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 742 | $62,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 9,959 | $62,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 3,399 | $62,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 1,379 | $62,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 5,954 | $62,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 8,684 | $62,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 11,062 | $62,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 5,050 | $62,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,941 | $61,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 3,078 | $61,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 1,043 | $61,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 3,649 | $61,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 4,403 | $61,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 1,348 | $61,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 6,565 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 1,479 | $61,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 2,470 | $61,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 8,699 | $61,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 4,102 | $60,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 3,907 | $60,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 12,763 | $60,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 13,011 | $60,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 2,500 | $60,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,000 | $60,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 6,797 | $60,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 7,325 | $59,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 7,321 | $59,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 823 | $59,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 6,611 | $59,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 1,839 | $59,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 4,535 | $59,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 32,267 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 975 | $59,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 2,100 | $59,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 35,205 | $59,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X388 | EUR DOMST ECO FD | 1,874 | $59,000 | thousands by filing date | |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 1,700 | $58,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 16,088 | $58,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 8,100 | $58,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 4,126 | $58,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 8,038 | $58,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 1,130 | $57,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 8,908 | $57,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 9,322 | $57,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 2,350 | $57,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,467 | $57,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 8,505 | $57,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 1,958 | $57,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-18-023764 | this filing | 2018-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-18-024535 | base | 2018-05-18 | acceptance time not in the bulk data set |