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 |
|---|---|---|---|---|---|---|
| CUBIC CORP | 229669106 | COM | 10,317 | $657,000 | thousands by filing date | |
| SYNEOS HEALTH INC | 87166B102 | CL A | 18,444 | $656,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 757,123 | $655,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 35,869 | $654,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 52,225 | $654,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 21,413 | $654,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 37,200 | $653,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 47,202 | $652,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 5,465 | $651,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 14,701 | $651,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 7,842 | $651,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 49,870 | $650,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 44,271 | $649,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 48,670 | $648,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 10,995 | $648,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 35,583 | $647,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 31,288 | $647,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 13,377 | $646,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 30,369 | $645,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 25,526 | $642,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 49,668 | $641,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 30,320 | $640,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 9,620 | $640,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 18,598 | $639,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 46,808 | $637,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 7,168 | $634,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 39,002 | $634,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 23,000 | $634,000 | thousands by filing date | put |
| OLD NATL BANCORP IND | 680033107 | COM | 37,465 | $633,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 12,077 | $633,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 35,371 | $632,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 53,173 | $631,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 18,864 | $630,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 55,510 | $627,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 9,710 | $626,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 22,500 | $625,000 | thousands by filing date | call |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 25,714 | $625,000 | thousands by filing date | principal |
| MSG NETWORK INC | 553573106 | CL A | 27,637 | $625,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 638,224 | $625,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 371,044 | $624,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 47,664 | $624,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 9,414 | $624,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 92,234 | $623,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 44,280 | $623,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 21,436 | $623,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 6,870 | $622,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 18,778 | $621,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 13,770 | $621,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 101,856 | $620,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 6,952 | $620,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 12,318 | $620,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 34,053 | $620,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 60,005 | $619,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 36,177 | $619,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 19,607 | $617,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 15,314 | $616,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 19,318 | $616,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 13,306 | $616,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 6,400 | $614,000 | thousands by filing date | put |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 10,914 | $614,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 23,608 | $613,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 58,555 | $611,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 95,000 | $611,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 2,623 | $610,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 14,166 | $609,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 15,236 | $608,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 20,277 | $608,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 221,400 | $607,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 161,607 | $606,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 14,737 | $603,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 21,014 | $602,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 3,567 | $602,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 19,373 | $601,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 27,411 | $601,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 18,912 | $600,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 596,000 | $599,000 | thousands by filing date | principal |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 784,154 | $599,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 23,451 | $598,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 18,350 | $598,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 19,650 | $597,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 16,188 | $596,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 24,607 | $595,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 18,014 | $595,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 221,810 | $593,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 20,000 | $592,000 | thousands by filing date | put |
| TRINET GROUP INC COM | 896288107 | Stock | 12,762 | $591,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 34,327 | $591,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 55,777 | $589,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 41,863 | $588,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 11,131 | $586,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 14,800 | $586,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 25,855 | $585,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 72,492 | $583,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 17,976 | $583,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 43,146 | $582,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 4,853 | $581,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 36,726 | $580,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 11,347 | $579,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 11,945 | $578,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 48,406 | $578,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 17,700 | $577,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 12,839 | $577,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 24,174 | $576,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 15,600 | $576,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 41,140 | $576,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 900,014 | $576,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 44,462 | $574,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 27,119 | $573,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 10,115 | $573,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 116,692 | $572,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 134 | $572,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 41,626 | $571,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 8,533 | $571,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 4,363 | $570,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 7,497 | $569,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 14,915 | $569,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 39,676 | $569,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 10,115 | $568,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 15,186 | $566,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 54,479 | $566,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 114,142 | $566,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 157,206 | $566,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 17,910 | $565,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M126 | GUGGENHEM 2026 | 29,734 | $565,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 15,986 | $559,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 42,099 | $557,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 15,162 | $556,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 54,279 | $555,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 22,555 | $555,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 17,463 | $555,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 10,970 | $554,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 5,815 | $554,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 35,866 | $554,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 23,249 | $554,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 21,935 | $553,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 19,791 | $553,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 12,394 | $552,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 7,484 | $551,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 17,500 | $551,000 | thousands by filing date | call |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 9,378 | $549,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 30,618 | $549,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 295,046 | $549,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 64,193 | $548,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 68,069 | $547,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 95,661 | $544,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 15,725 | $544,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 6,414 | $544,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 15,475 | $543,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 628,073 | $542,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 50,007 | $540,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 41,075 | $540,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 14,508 | $540,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 7,813 | $539,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 7,702 | $539,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 31,715 | $537,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 25,850 | $537,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 27,300 | $534,000 | thousands by filing date | call |
| ISHARES TR | 46435G425 | COM | 9,217 | $533,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 11,200 | $533,000 | thousands by filing date | call |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 81,874 | $533,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 24,893 | $533,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 17,388 | $529,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 13,516 | $529,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 22,000 | $528,000 | thousands by filing date | call |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 24,700 | $528,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 50,000 | $528,000 | thousands by filing date | put |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 29,081 | $528,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 21,485 | $527,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 71,558 | $524,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 16,881 | $524,000 | thousands by filing date | principal |
| BARNES GROUP INC | 067806109 | COM | 8,733 | $523,000 | thousands by filing date | |
| AMERICOLD REALTY TRUST INC COM | 03064D108 | REIT | 27,321 | $522,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 16,757 | $522,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 8,719 | $522,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 38,710 | $521,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 35,078 | $520,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 25,692 | $519,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 6,110 | $519,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 114,580 | $519,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 27,379 | $519,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 16,646 | $518,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 39,238 | $518,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 33,017 | $518,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 61,244 | $518,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 13,643 | $517,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 37,506 | $516,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 77,184 | $516,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 19,549 | $515,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 44,450 | $514,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 10,292 | $514,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 31,173 | $514,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 23,752 | $514,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 6,456 | $513,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 17,150 | $512,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 27,323 | $512,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 41,653 | $510,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 11,391 | $507,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 26,772 | $507,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 45,048 | $507,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 51,910 | $506,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P200 | ST STR TOTAL ETF | 10,295 | $505,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 47,149 | $505,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 9,268 | $504,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 20,834 | $504,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 6,000 | $504,000 | thousands by filing date | call |
| TRECORA RES | 894648104 | COM | 37,039 | $503,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 71,363 | $503,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 38,566 | $502,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 10,094 | $502,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 31,600 | $502,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 6,609 | $501,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 43,055 | $501,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,760 | $500,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 140,805 | $500,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 7,766 | $500,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 24,826 | $498,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 26,129 | $496,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 5,781 | $496,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 26,134 | $496,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 45,316 | $495,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 28,300 | $495,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 18,523 | $495,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 4,015 | $494,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 7,294 | $494,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 49,385 | $493,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 9,512 | $490,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 111,548 | $489,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 20,095 | $487,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 26,629 | $486,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 122,146 | $486,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 578,376 | $486,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 29,852 | $484,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 4,993 | $483,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 18,400 | $482,000 | thousands by filing date | |
| MGC | 921910873 | COM | 5,313 | $481,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 14,587 | $481,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 18,295 | $481,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 8,020 | $481,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 27,590 | $480,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 23,415 | $479,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 10,895 | $479,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 38,371 | $479,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 12,650 | $476,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 13,089 | $475,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 21,371 | $475,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 37,547 | $474,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 36,149 | $473,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 17,889 | $472,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 13,894 | $470,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 12,252 | $469,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 30,000 | $469,000 | thousands by filing date | principal |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 28,487 | $468,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 27,700 | $466,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 60,497 | $466,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 7,620 | $465,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 41,376 | $464,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 51,527 | $464,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 38,302 | $464,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 12,326 | $459,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 41,733 | $459,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 32,243 | $458,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 2,200 | $456,000 | thousands by filing date | call |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 15,236 | $456,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 36,442 | $456,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 88,423 | $455,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 22,012 | $454,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 11,435 | $452,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 18,432 | $452,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 46,215 | $450,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 18,437 | $450,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 18,939 | $450,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 4,900 | $450,000 | thousands by filing date | put |
| CMB.TECH NV SHS | B38564108 | Stock | 54,688 | $448,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 5,651 | $445,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 17,886 | $445,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 37,799 | $444,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 8,239 | $443,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 39,517 | $443,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 1,595 | $442,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 15,087 | $442,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 7,500 | $442,000 | thousands by filing date | put |
| FIVE BELOW INC COM | 33829M101 | Stock | 6,000 | $440,000 | thousands by filing date | put |
| SUPERIOR INDS INTL INC | 868168105 | COM | 33,125 | $440,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 37,918 | $440,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 40,386 | $439,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 10,219 | $438,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 258,700 | $435,000 | thousands by filing date | call |
| KOREA FD INC | 500634209 | COM NEW | 10,663 | $435,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 14,518 | $435,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 39,629 | $433,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 63,271 | $433,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 47,338 | $433,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 21,876 | $432,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 15,150 | $431,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 79,100 | $431,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 3,538 | $430,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 10,000 | $429,000 | thousands by filing date | put |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 46,140 | $428,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 5,555 | $427,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 34,955 | $427,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 7,100 | $425,000 | thousands by filing date | put |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 4,101 | $425,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 6,078 | $424,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 19,799 | $424,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 38,535 | $424,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 62,820 | $424,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 2,629 | $423,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 158,873 | $423,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 16,884 | $423,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 26,100 | $422,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 12,504 | $421,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 15,292 | $421,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 44,113 | $420,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 14,500 | $419,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 9,493 | $419,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 9,121 | $419,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 29,826 | $419,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 190,550 | $419,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 19,526 | $418,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 27,380 | $418,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 7,384 | $417,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R207 | S&P GSCI CM K 1 | 14,745 | $417,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 6,535 | $416,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 16,158 | $416,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 86,976 | $415,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 50,000 | $414,000 | thousands by filing date | put |
| CARS COM INC | 14575E105 | COM | 14,602 | $413,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 150,000 | $413,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 4,390 | $412,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 43,240 | $411,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 11,061 | $411,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 16,507 | $411,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 6,047 | $410,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 8,000 | $410,000 | thousands by filing date | call |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 100,602 | $410,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 6,504 | $410,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 24,867 | $409,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 5,991 | $409,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 25,000 | $409,000 | thousands by filing date | put |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 13,474 | $409,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C724 | RUSL 1000 DYNM | 15,898 | $409,000 | thousands by filing date | |
| PROSHARES TR | 74347B706 | COM | 5,404 | $409,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 19,572 | $408,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 15,737 | $408,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 157,900 | $407,000 | thousands by filing date | put |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 50,126 | $406,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 84,550 | $406,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 22,000 | $405,000 | thousands by filing date | call |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 26,048 | $405,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 16,664 | $404,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 13,810 | $403,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 32,331 | $403,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 20,908 | $402,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 15,814 | $402,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 15,661 | $401,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 5,909 | $399,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 20,401 | $398,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 4,991 | $398,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 41,809 | $398,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 4,315 | $397,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 14,797 | $397,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 36,302 | $395,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 17,161 | $395,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 58,801 | $395,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 4,495 | $394,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 2,508 | $394,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 165,090 | $394,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 15,518 | $394,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 18,642 | $394,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 7,674 | $393,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 7,692 | $392,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 3,188 | $391,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 10,003 | $390,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 58,740 | $390,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 31,425 | $389,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 17,150 | $389,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 20,747 | $388,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 54,335 | $388,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 29,500 | $388,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 18,739 | $385,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 20,098 | $385,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 4,011 | $385,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 31,819 | $385,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 17,470 | $385,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 8,883 | $384,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 9,067 | $384,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 23,028 | $384,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 19,030 | $384,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 6,654 | $384,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 36,400 | $383,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 3,572 | $382,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 13,400 | $382,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 28,200 | $382,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 35,000 | $382,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 41,430 | $382,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 3,583 | $381,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 45,701 | $381,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 21,410 | $380,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 19,021 | $379,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 190,501 | $379,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 15,341 | $377,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 4,923 | $377,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 12,946 | $375,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 4,894 | $374,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 21,683 | $374,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 18,673 | $374,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 5,325 | $374,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 35,864 | $373,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 5,108 | $372,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 24,394 | $372,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 32,689 | $372,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 11,000 | $370,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 5,385 | $370,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 48,700 | $370,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 18,546 | $369,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 13,780 | $368,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 14,800 | $368,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 22,568 | $367,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 29,925 | $367,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 36,272 | $366,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 17,096 | $365,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 14,187 | $364,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 7,168 | $363,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 38,464 | $363,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 85,243 | $363,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 20,075 | $362,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 9,898 | $362,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 39,661 | $362,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 14,354 | $362,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 13,127 | $362,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 19,686 | $361,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 354,000 | $361,000 | thousands by filing date | principal |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 32,526 | $360,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 27,574 | $360,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 27,042 | $360,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 59,278 | $359,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 22,315 | $358,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 178,000 | $358,000 | thousands by filing date | principal |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 58,484 | $357,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 5,011 | $357,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 21,474 | $356,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 8,610 | $355,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 17,876 | $355,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 79,895 | $354,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 4,983 | $353,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 19,250 | $353,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 8,253 | $352,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 12,452 | $352,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 14,735 | $351,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 7,860 | $350,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 3,503 | $350,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 6,556 | $350,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 303,500 | $349,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 26,090 | $349,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 5,084 | $349,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 60,100 | $349,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 71,213 | $348,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 6,293 | $348,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 37,218 | $347,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 18,570 | $347,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 13,710 | $347,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 6,760 | $345,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 19,274 | $345,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 4,172 | $344,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 10,302 | $344,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 18,000 | $344,000 | thousands by filing date | put |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 9,490 | $343,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 4,329 | $343,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 3,851 | $342,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 16,631 | $341,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 5,017 | $341,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 22,350 | $340,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 13,163 | $340,000 | thousands by filing date | |
| USCF FDS TR | 91733T406 | US 3X SHRT OIL | 41,257 | $340,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 10,247 | $339,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 22,021 | $339,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 15,800 | $338,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 8,558 | $338,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 4,180 | $338,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 12,600 | $337,000 | thousands by filing date | put |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 13,531 | $337,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 12,313 | $337,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 32,059 | $337,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 2,871 | $337,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 5,832 | $336,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 8,440 | $336,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L877 | ROYCE QUANT SML | 12,512 | $336,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 22,212 | $335,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 8,947 | $334,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 16,310 | $334,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 3,996 | $334,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 5,221 | $333,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 5,128 | $332,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 42,466 | $332,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 69,166 | $331,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 6,569 | $329,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 16,200 | $329,000 | thousands by filing date | put |
| VALLEY NATL BANCORP | 919794107 | COM | 26,407 | $329,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 13,129 | $329,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 14,881 | $329,000 | thousands by filing date |
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 |