13F-HR/A filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR/A for the quarter ended 2018-03-31, filed 2018-05-18, with 6,633 holding rows worth $223,039,932,000.
- Accession
- 0001140361-18-024535
- Filer
- CIK 1000275
- Filed
- 2018-05-18
- 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, amendment of type restatement, 24,469 entries on the cover page, a total value of $223,039,932,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $223,039,932,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAston Asset Management, LLC028-12347
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
- included managerCRAMER ROSENTHAL MCGLYNN LLC028-02028
- included managerLomas Capital Management, LLC028-15278
- 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 |
|---|---|---|---|---|---|---|
| MERCURY SYS INC COM | 589378108 | Stock | 1,165 | $56,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,275 | $56,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 19,100 | $56,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 2,700 | $56,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 5,037 | $56,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 56,000 | $56,000 | thousands by filing date | principal |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 1,227 | $56,000 | thousands by filing date | principal |
| HUB GROUP INC | 443320106 | CL A | 1,331 | $55,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 10,763 | $55,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 27,755 | $55,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,000 | $55,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 796 | $55,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 2,000 | $55,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 3,613 | $55,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 2,255 | $55,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 1,853 | $55,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 4,150 | $55,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 2,016 | $54,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 3,750 | $54,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 2,830 | $54,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 2,818 | $54,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,000 | $54,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 1,320 | $54,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 4,749 | $54,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 234 | $54,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 64,965 | $54,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 770 | $53,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 7,663 | $53,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 1,312 | $53,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,715 | $53,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 9,900 | $53,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 1,330 | $53,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 9,200 | $53,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,306 | $53,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 3,076 | $52,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 2,000 | $52,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 2,000 | $52,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 582 | $52,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 869 | $52,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 1,545 | $52,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 1,046 | $52,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 2,500 | $52,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 2,014 | $52,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 3,106 | $51,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 1,902 | $51,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 1,565 | $51,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 675 | $51,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 1,000 | $51,000 | thousands by filing date | call |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 1,965 | $51,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 2,778 | $51,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 38,049 | $50,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 2,267 | $50,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 1,759 | $50,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 5,325 | $50,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 2,272 | $50,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 2,340 | $50,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 1,541 | $50,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 4,089 | $50,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 30,400 | $50,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 981 | $50,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 369 | $50,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 3,118 | $50,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 3,633 | $50,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 10,550 | $50,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 35,075 | $50,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 1,971 | $49,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 1,204 | $49,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,367 | $49,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 8,400 | $49,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 650 | $49,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,600 | $49,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 1,666 | $48,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 994 | $48,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,793 | $48,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 1,850 | $48,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 10,875 | $48,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 702 | $48,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 2,000 | $48,000 | thousands by filing date | |
| ACTIVE WEIGHTING FDS ETF TR | 00509T300 | EVENTSHS US POLI | 2,306 | $48,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 1,655 | $47,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 5,729 | $47,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 3,453 | $47,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 670 | $47,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 3,700 | $47,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 4,100 | $47,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 7,262 | $47,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 19,600 | $47,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 3,793 | $47,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D357 | VELOCITY SHS SHR | 5,001 | $47,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 4,724 | $46,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 3,347 | $46,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 2,645 | $46,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 507 | $46,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 1,027 | $46,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,003 | $46,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 1,183 | $46,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 5,000 | $46,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 2,394 | $45,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 4,656 | $45,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 3,340 | $45,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 2,550 | $45,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 1,500 | $45,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 1,705 | $45,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 5,564 | $45,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 1,495 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 2,048 | $45,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 2,267 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 624 | $44,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 712 | $44,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 7,275 | $44,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 5,800 | $44,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 7,285 | $44,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 4,121 | $44,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,300 | $44,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 1,784 | $44,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 1,274 | $44,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 4,231 | $44,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 7,482 | $43,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 956 | $43,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 2,200 | $43,000 | thousands by filing date | put |
| CEVA INC | 157210105 | COMMON STOCK | 1,200 | $43,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 1,522 | $43,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,217 | $43,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 2,364 | $43,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 1,113 | $43,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 3,006 | $43,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 3,769 | $43,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,000 | $42,000 | thousands by filing date | call |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,000 | $42,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 677 | $42,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 5,515 | $42,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,851 | $42,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,640 | $42,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 955 | $42,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 7,005 | $42,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 2,565 | $42,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 1,221 | $42,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 5,034 | $42,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,591 | $42,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 571 | $42,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 14,994 | $42,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,343 | $41,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 1,557 | $41,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,805 | $41,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,703 | $41,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 1,103 | $41,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 2,500 | $41,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 11,000 | $41,000 | thousands by filing date | principal |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 8,374 | $41,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 900 | $41,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 4,986 | $40,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 5,002 | $40,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 3,002 | $40,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,800 | $40,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 18,610 | $40,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 9,496 | $40,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 375 | $40,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 1,100 | $40,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 2,500 | $40,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 1,048 | $40,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 6,411 | $40,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 1,360 | $39,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 85,530 | $39,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 1,819 | $39,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 1,722 | $39,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,380 | $39,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 7,700 | $39,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 33,023 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 830 | $39,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 685 | $39,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,000 | $39,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,544 | $39,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B357 | S&P INTL DEV HIG | 1,350 | $39,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 2,402 | $38,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 2,275 | $38,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 970 | $38,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 5,317 | $38,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,125 | $38,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 4,192 | $38,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,435 | $38,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 5,000 | $38,000 | thousands by filing date | put |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 5,040 | $38,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,424 | $38,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,151 | $38,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 3,312 | $38,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,330 | $37,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 3,000 | $37,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,486 | $37,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 2,455 | $37,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 2,550 | $37,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 1,000 | $37,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 1,230 | $37,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 4,302 | $37,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 52,505 | $37,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,350 | $37,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 8,033 | $37,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 9,315 | $37,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 1,612 | $37,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,350 | $37,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 11,276 | $36,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 1,887 | $36,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 2,113 | $36,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 5,975 | $36,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 999 | $36,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 2,693 | $36,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 1,200 | $36,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 720 | $36,000 | thousands by filing date | principal |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 941 | $36,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 491 | $36,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 186,279 | $36,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 1,586 | $36,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 7,400 | $36,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 11,900 | $36,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 1,619 | $36,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 14,386 | $36,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,339 | $36,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 1,200 | $36,000 | thousands by filing date | principal |
| CARGURUS INC COM CL A | 141788109 | Stock | 900 | $35,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 1,000 | $35,000 | thousands by filing date | put |
| CSW INDUSTRIALS INC | 126402106 | COM | 785 | $35,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 1,605 | $35,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 763 | $35,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 1,310 | $35,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 1,406 | $35,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 5,400 | $35,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 3,000 | $35,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 2,000 | $35,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 8,884 | $35,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,000 | $35,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 527 | $34,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 1,350 | $34,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 2,101 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 709 | $34,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 1,192 | $34,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,992 | $34,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 14,007 | $34,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 433 | $34,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 13,124 | $34,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 1,146 | $34,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,180 | $34,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 15,976 | $34,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 900 | $34,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 506 | $33,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 8,000 | $33,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 326 | $33,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,304 | $33,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 618 | $33,000 | thousands by filing date | principal |
| FARMER BROS CO | 307675108 | COM | 1,100 | $33,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 16,162 | $33,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 957 | $33,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 1,000 | $32,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 1,146 | $32,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 2,661 | $32,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 1,300 | $32,000 | thousands by filing date | call |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,150 | $32,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 18,200 | $32,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 1,662 | $32,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 1,139 | $32,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 6,277 | $32,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,000 | $32,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 2,233 | $32,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,870 | $32,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 5,245 | $32,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 15,648 | $32,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 1,250 | $32,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G821 | SPIRITED ETFMG | 975 | $32,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 600 | $31,000 | thousands by filing date | call |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 2,000 | $31,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,620 | $31,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,630 | $31,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,193 | $31,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,490 | $31,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 4,400 | $31,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 1,144 | $31,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,806 | $31,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 11,320 | $31,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 1,165 | $31,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 1,000 | $31,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 302 | $31,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 5,400 | $31,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 3,385 | $31,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 2,080 | $31,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 6,004 | $31,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 1,000 | $31,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 955 | $31,000 | thousands by filing date | |
| ISHARES TR | 46435G565 | MLTFCT HLTCARE | 1,000 | $31,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 914 | $30,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 3,338 | $30,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 1,315 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $30,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,810 | $30,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 1,500 | $30,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,610 | $30,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 1,956 | $30,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 658 | $30,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 471 | $30,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $30,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,898 | $30,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 3,316 | $30,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 3,668 | $30,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 4,275 | $30,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 9,533 | $30,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,796 | $30,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 16,684 | $30,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 3,508 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $30,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 902 | $29,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 2,125 | $29,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 968 | $29,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 16,439 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 535 | $29,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 1,521 | $29,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 2,000 | $29,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 716 | $28,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 6,540 | $28,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,190 | $28,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 8,189 | $28,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 810 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 782 | $28,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 900 | $28,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 2,100 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,300 | $28,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $28,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 1,867 | $28,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 6,000 | $28,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 1,900 | $28,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 2,745 | $28,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 2,685 | $27,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 1,550 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 2,518 | $27,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 1,120 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,900 | $27,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,003 | $27,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,110 | $27,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,710 | $27,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,991 | $27,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 2,717 | $27,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 17,618 | $27,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,000 | $27,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 14,502 | $27,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 27,000 | $27,000 | thousands by filing date | principal |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 2,000 | $27,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 5,800 | $27,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 755 | $27,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,470 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K810 | MD CP BEAR 3X NW | 1,993 | $27,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 650 | $26,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 686 | $26,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 2,009 | $26,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 1,411 | $26,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1,527 | $26,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,400 | $26,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,800 | $26,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 4,892 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 461 | $26,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 18,959 | $26,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,593 | $26,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,000 | $26,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 7,100 | $26,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 1,140 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 1,272 | $26,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 984 | $26,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 25,000 | $26,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 7,000 | $26,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 7,480 | $26,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,000 | $26,000 | thousands by filing date | principal |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,140 | $25,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 2,000 | $25,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 10,490 | $25,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 1,487 | $25,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 4,525 | $25,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,050 | $25,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,792 | $25,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 597 | $25,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 826 | $25,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 627 | $25,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 2,400 | $25,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 26,000 | $25,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $25,000 | thousands by filing date | principal |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 2,200 | $25,000 | thousands by filing date | principal |
| FEDEX CORP COM | 31428X106 | Stock | 100 | $24,000 | thousands by filing date | call |
| RINGCENTRAL INC | 76680R206 | CL A | 378 | $24,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,700 | $24,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,428 | $24,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 6,614 | $24,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 354 | $24,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 1,064 | $24,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 980 | $24,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 938 | $24,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,750 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 531 | $24,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 3,074 | $24,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 801 | $24,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 871 | $24,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 4,000 | $24,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 693 | $24,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 766 | $23,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 596 | $23,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 505 | $23,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 486 | $23,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,376 | $23,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,802 | $23,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,110 | $23,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 5,008 | $23,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,622 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 795 | $23,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 660 | $23,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 17,495 | $23,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 5,140 | $23,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 4,172 | $23,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 300 | $23,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,846 | $23,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,411 | $23,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 835 | $22,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 754 | $22,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $22,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 3,000 | $22,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 500 | $22,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,000 | $22,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 570 | $22,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 600 | $22,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 5,980 | $22,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 2,828 | $22,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 5,720 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 1,540 | $22,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 857 | $22,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 820 | $21,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,035 | $21,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 346 | $21,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 3,000 | $21,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 955 | $21,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 1,025 | $21,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,500 | $21,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 868 | $21,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 260 | $21,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 522 | $21,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,540 | $21,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 19,042 | $21,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,050 | $21,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 425 | $21,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 11,500 | $21,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $21,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 12,238 | $21,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 12,996 | $21,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 1,124 | $21,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 1,448 | $21,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 14,000 | $21,000 | thousands by filing date | principal |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 500 | $20,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 430 | $20,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 2,792 | $20,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 2,185 | $20,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 370 | $20,000 | thousands by filing date | principal |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 10,960 | $20,000 | thousands by filing date | |
| SENDGRID INC | 816883102 | COM | 698 | $20,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 1,775 | $20,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $20,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,254 | $20,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 620 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 496 | $20,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 15,682 | $20,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 957 | $20,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 480 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 501 | $20,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 980 | $20,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 34,433 | $20,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 947 | $20,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 19,000 | $20,000 | thousands by filing date | principal |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 400 | $20,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 13,000 | $20,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 20,785 | $19,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 3,558 | $19,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,852 | $19,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,000 | $19,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 1,187 | $19,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 313 | $19,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 921 | $19,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 2,500 | $19,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,334 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $19,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $19,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 830 | $19,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 485 | $19,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,050 | $19,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 503 | $19,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 8,260 | $19,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,000 | $19,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 5,655 | $19,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 16,000 | $19,000 | thousands by filing date | principal |
| RIOT PLATFORMS INC | 767292105 | COM | 2,697 | $18,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 545 | $18,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,740 | $18,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 758 | $18,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 1,737 | $18,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 5,697 | $18,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,500 | $18,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 2,520 | $18,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 886 | $18,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 5,625 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 600 | $18,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 18,000 | $18,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-18-023764 | superseded | 2018-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-18-024535 | this filing | 2018-05-18 | acceptance time not in the bulk data set |