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 |
|---|---|---|---|---|---|---|
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 18,000 | $18,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 18,000 | $18,000 | thousands by filing date | principal |
| PARAMOUNT GROUP INC | 69924R108 | COM | 1,200 | $17,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,160 | $17,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 706 | $17,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 1,905 | $17,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 200 | $17,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 922 | $17,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 864 | $17,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 410 | $17,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 971 | $17,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 300 | $17,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 5,372 | $17,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,462 | $17,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 2,384 | $17,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 15,110 | $17,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 2,566 | $17,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,004 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 856 | $17,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 2,001 | $17,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 2,504 | $17,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 16,194 | $17,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 2,504 | $17,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,001 | $17,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 5,000 | $17,000 | thousands by filing date | principal |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 297 | $17,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,631 | $17,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $17,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 286 | $16,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 716 | $16,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 841 | $16,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 584 | $16,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 250 | $16,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 3,121 | $16,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 323 | $16,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 3,601 | $16,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $16,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 526 | $16,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 663 | $16,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 2,146 | $16,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 800 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 250 | $16,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 320 | $16,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 676 | $16,000 | thousands by filing date | |
| BRIGHTSPHERE INVESTMENT GROUP | G1644T109 | COMMON STOCK-FO | 968 | $16,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 372 | $16,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 1,200 | $16,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 880 | $16,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,000 | $16,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,186 | $16,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,000 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,466 | $16,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 1,184 | $16,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 8,035 | $16,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 17,000 | $16,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 200 | $16,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 260 | $16,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 802 | $16,000 | thousands by filing date | |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 190 | $15,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 371 | $15,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 1,962 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 230 | $15,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $15,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 2,310 | $15,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 814 | $15,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 11,865 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 714 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 625 | $15,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,300 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 435 | $15,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 3,654 | $15,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 9,500 | $15,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 3,526 | $15,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 5,006 | $15,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 1,385 | $15,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 14,000 | $15,000 | thousands by filing date | principal |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,270 | $15,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,015 | $15,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 785 | $15,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 786 | $15,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $15,000 | thousands by filing date | principal |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 1,000 | $14,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 190 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 200 | $14,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 1,649 | $14,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,195 | $14,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 990 | $14,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 823 | $14,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,000 | $14,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 500 | $14,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 558 | $14,000 | thousands by filing date | principal |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,815 | $14,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 237 | $14,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 7,324 | $14,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 590 | $14,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $14,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 200 | $14,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 400 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 300 | $14,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 367 | $14,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,000 | $14,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,600 | $14,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 9,880 | $14,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 585 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 517 | $14,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 300 | $14,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,029 | $14,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 1,711 | $14,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,481 | $14,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 467 | $14,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,000 | $14,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 14,000 | $14,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 4,000 | $14,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 495 | $14,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $14,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 271 | $13,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 5,120 | $13,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 24,348 | $13,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 821 | $13,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 723 | $13,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 972 | $13,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 761 | $13,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 316 | $13,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,585 | $13,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 900 | $13,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 3,144 | $13,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,000 | $13,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 457 | $13,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 6,275 | $13,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,121 | $13,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 251 | $13,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 472 | $13,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,698 | $13,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 655 | $13,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 629 | $13,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 13,067 | $13,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,900 | $13,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 439 | $13,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,671 | $13,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 4,574 | $13,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 13,000 | $13,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y509 | Cmn | 400 | $13,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 1,100 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 300 | $12,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 3,445 | $12,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,507 | $12,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,007 | $12,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 700 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 557 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 450 | $12,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,560 | $12,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 392 | $12,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 292 | $12,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 10,000 | $12,000 | thousands by filing date | principal |
| EATON VANCE | 27826G109 | SH BEN INT | 1,000 | $12,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $12,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 800 | $12,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 2,851 | $12,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 7,021 | $12,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,500 | $12,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 7,422 | $12,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 715 | $11,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 200 | $11,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 4,800 | $11,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 400 | $11,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 243 | $11,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 367 | $11,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 610 | $11,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 623 | $11,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 470 | $11,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 92 | $11,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,347 | $11,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 359 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 120 | $11,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 390 | $11,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,075 | $11,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,403 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 545 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 457 | $11,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 173 | $11,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 373 | $11,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 10,480 | $11,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 3,600 | $11,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,016 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 333 | $11,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 500 | $11,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 150 | $11,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 625 | $11,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 140 | $11,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 1,185 | $11,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 3,233 | $11,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,018 | $11,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 800 | $11,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 1,200 | $11,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 403 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $11,000 | thousands by filing date | principal |
| REMARK HLDGS INC | 75955K102 | COM | 2,000 | $11,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,259 | $11,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 137 | $11,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 971 | $11,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 354 | $11,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 346 | $11,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 8,000 | $11,000 | thousands by filing date | principal |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 414 | $11,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,000 | $10,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 216 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 500 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 200 | $10,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $10,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 179 | $10,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 907 | $10,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 430 | $10,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,010 | $10,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,186 | $10,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,500 | $10,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 360 | $10,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 700 | $10,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 2,090 | $10,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $10,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 2,500 | $10,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 509 | $10,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 5,200 | $10,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 1,001 | $10,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 400 | $10,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 62,004 | $10,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 6,700 | $10,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 20,866 | $10,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 2,615 | $10,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 435 | $10,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 8,000 | $10,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 3,825 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 551 | $10,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| COLUMBIA ETF TR II BEYOND BRICS ETF | 19762B103 | CEF | 530 | $10,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 590 | $10,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 283 | $10,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 1,745 | $9,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 1,000 | $9,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 400 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 15,696 | $9,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,040 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 166 | $9,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P888 | NUVEEN ESG EMRGN | 312 | $9,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 400 | $9,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 161 | $9,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 125 | $9,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,250 | $9,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 108 | $9,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,756 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 500 | $9,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 470 | $9,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,500 | $9,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 800 | $9,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 290 | $9,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 500 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,049 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 9,896 | $9,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 338 | $9,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 300 | $9,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,950 | $9,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,500 | $9,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,250 | $9,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,197 | $9,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,496 | $9,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 176 | $9,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 6,062 | $9,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 665 | $9,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 392 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 105 | $9,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 6,214 | $9,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 4,393 | $9,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 15,894 | $9,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 333 | $9,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,017 | $9,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 787 | $9,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,600 | $9,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 742 | $9,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 9,000 | $9,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 1,000 | $9,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 297 | $8,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 1,100 | $8,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 3,731 | $8,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 200 | $8,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 455 | $8,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 500 | $8,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 149 | $8,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 542 | $8,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 1,000 | $8,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 448 | $8,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 403 | $8,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 506 | $8,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 250 | $8,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $8,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 615 | $8,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,800 | $8,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 221 | $8,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,221 | $8,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 132 | $8,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 225 | $8,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 370 | $8,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 153 | $8,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 337 | $8,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 448 | $8,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 100 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 10,092 | $8,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 700 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 450 | $8,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,682 | $8,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 397 | $8,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 220 | $8,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 1,954 | $8,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,295 | $8,000 | thousands by filing date | |
| OCEAN RIG UDW INC | G66964118 | SHS NEW | 300 | $8,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 321 | $8,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 362 | $8,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,012 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L727 | 2XLEV US HG DV | 300 | $8,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 42,050 | $8,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 300 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 264 | $7,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 230 | $7,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 1,550 | $7,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 300 | $7,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 347 | $7,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 842 | $7,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,284 | $7,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 400 | $7,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 500 | $7,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 284 | $7,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 502 | $7,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 5,002 | $7,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 232 | $7,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,661 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 265 | $7,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 277 | $7,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 350 | $7,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 503 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 80 | $7,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 267 | $7,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $7,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 100 | $7,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $7,000 | thousands by filing date | principal |
| HAYNES INTL INC | 420877201 | COM NEW | 202 | $7,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,628 | $7,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 600 | $7,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 920 | $7,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,860 | $7,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 756 | $7,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 4,500 | $7,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 226 | $7,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 274 | $7,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 177 | $7,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 475 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 460 | $7,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 259 | $7,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 300 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 250 | $7,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 4,000 | $7,000 | thousands by filing date | principal |
| STEWARDSHIP FINL CORP | 860326107 | COM | 600 | $7,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 1,250 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 628 | $7,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 188 | $7,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,000 | $7,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 813 | $7,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 732 | $7,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,667 | $7,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642403 | COM PAR | 190 | $7,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 741 | $7,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 283 | $6,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 175 | $6,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 338 | $6,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 209 | $6,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 386 | $6,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 1,514 | $6,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,004 | $6,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 851 | $6,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 2,009 | $6,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,635 | $6,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $6,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 500 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| MARCHEX INC | 56624R108 | CMN | 2,100 | $6,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 384 | $6,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 200 | $6,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 160 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 200 | $6,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 180 | $6,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 750 | $6,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 1,148 | $6,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 200 | $6,000 | thousands by filing date | call |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R117 | WARR | 1,664 | $6,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 1,799 | $6,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 152 | $6,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 300 | $6,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 284 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 218 | $6,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,117 | $6,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 167 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 34 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 200 | $6,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 200 | $6,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,750 | $6,000 | thousands by filing date | |
| Armo Biosciences Inc | 04225U104 | COM | 150 | $6,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 406 | $6,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 210 | $6,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 1,629 | $6,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 5,000 | $6,000 | thousands by filing date | principal |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 105 | $5,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 59 | $5,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 48 | $5,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 200 | $5,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 179 | $5,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 400 | $5,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 156 | $5,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 53 | $5,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 120 | $5,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $5,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 117 | $5,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 194 | $5,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 400 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 178 | $5,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 161 | $5,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,005 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 239 | $5,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 10,775 | $5,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 754 | $5,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $5,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 513 | $5,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 270 | $5,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 818 | $5,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 12 | $5,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 800 | $5,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4,000 | $5,000 | thousands by filing date | principal |
| CZR | 127686103 | Stock | 400 | $5,000 | thousands by filing date | put |
| ObsEva SA | H5861P103 | COM | 375 | $5,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,100 | $5,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 707 | $5,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 500 | $5,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 1,206 | $5,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 258 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 100 | $5,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 4,327 | $5,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 251 | $5,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 311 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 11,681 | $5,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 6,350 | $5,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,523 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 621 | $5,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 368 | $5,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 3,680 | $5,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 1,815 | $5,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 1,380 | $5,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 890 | $5,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 1,000 | $5,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,150 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,572 | $5,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 1,476 | $5,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 500 | $5,000 | thousands by filing date | |
| MABVAX THERAPEUTICS | 55414P702 | Equities | 2,999 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 900 | $5,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 2,308 | $5,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 517 | $5,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 400 | $5,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 200 | $5,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 214 | $5,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 12,356 | $5,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 100 | $4,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 200 | $4,000 | thousands by filing date | call |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 79 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 125 | $4,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 66 | $4,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 135 | $4,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 100 | $4,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 300 | $4,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 89 | $4,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 98 | $4,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 758 | $4,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 148 | $4,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 230 | $4,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 88 | $4,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 143 | $4,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 145 | $4,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 214 | $4,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,004 | $4,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 375 | $4,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 319 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P736 | FTSE MEXICO | 175 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 850 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 200 | $4,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 600 | $4,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 6,079 | $4,000 | 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 |