13F-HR filed by WEDBUSH SECURITIES INC
WEDBUSH SECURITIES INC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-10-31, with 837 holding rows worth $769,928,000.
- Accession
- 0001142495-17-000006
- Filer
- CIK 1142495
- Filed
- 2017-10-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 13,395 entries on the cover page, a total value of $769,928,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $769,928,000 with VALUE read as thousands by filing date, 13F file number 028-12460. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| QUALSTAR CORP | 74758R208 | COM NEW | 51,197 | $345,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 25,739 | $344,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 12,494 | $343,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 4,135 | $343,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 9,295 | $341,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 10,060 | $340,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 6,227 | $340,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 16,695 | $338,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 43,140 | $333,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 287,422 | $331,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 40,890 | $330,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 2,356 | $329,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 22,777 | $329,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $328,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 32,051 | $327,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 10,282 | $327,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 45,035 | $327,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 19,082 | $322,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 6,263 | $321,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 31,434 | $321,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 4,342 | $320,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 5,703 | $320,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,886 | $320,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 17,333 | $319,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 29,772 | $319,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 5,215 | $318,000 | thousands by filing date | |
| GRAMERCY PPTY TR | 385002308 | COM NEW | 10,498 | $318,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,650 | $317,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 2,017 | $315,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 6,191 | $313,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 14,595 | $313,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 4,546 | $312,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 5,848 | $312,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 431,959 | $311,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 3,356 | $309,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,780 | $309,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 3,236 | $309,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 24,280 | $308,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 8,246 | $307,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 15,238 | $306,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 17,580 | $306,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 21,166 | $306,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 9,700 | $306,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,582 | $305,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,335 | $305,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 16,185 | $305,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 3,712 | $304,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,579 | $302,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 32,407 | $302,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,390 | $301,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 14,000 | $301,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 7,951 | $300,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 38,000 | $300,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 1,603 | $300,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 4,789 | $299,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 15,815 | $299,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 13,323 | $298,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 11,975 | $296,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 5,960 | $295,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 882 | $294,000 | thousands by filing date | |
| ANDEAVOR | 03349M105 | COM | 2,852 | $294,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 9,780 | $294,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 5,410 | $292,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 10,141 | $292,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 4,743 | $292,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 5,122 | $291,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 35,102 | $291,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,432 | $291,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 8,227 | $291,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 14,718 | $290,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 19,243 | $289,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 6,030 | $288,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 8,503 | $288,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 10,208 | $287,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 5,162 | $286,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 70,513 | $285,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 3,873 | $283,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 18,585 | $283,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 9,843 | $283,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 174,750 | $283,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 8,568 | $281,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 23,826 | $281,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 42,622 | $281,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 19,019 | $278,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 2,389 | $278,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,555 | $278,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 5,072 | $278,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 5,739 | $277,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 30,858 | $277,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 22,986 | $275,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 17,338 | $273,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 2,458 | $272,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 9,574 | $270,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 8,670 | $269,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 2,285 | $269,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 4,037 | $268,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 5,103 | $266,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 18,961 | $266,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 2,281 | $266,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 1,169 | $266,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 22,967 | $264,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 3,343 | $263,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 4,628 | $262,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 8,733 | $262,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,969 | $261,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 17,925 | $261,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 14,500 | $260,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 4,700 | $260,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 25,850 | $260,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 24,472 | $258,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 9,958 | $258,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 8,996 | $258,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 15,248 | $257,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 11,102 | $257,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 4,009 | $256,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 2,000 | $256,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 29,312 | $256,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 16,925 | $255,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,756 | $253,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 38,228 | $253,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 14,305 | $251,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 5,129 | $251,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,488 | $250,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 10,968 | $250,000 | thousands by filing date | |
| L3 TECHNOLOGIES INC | 502413107 | COM | 1,327 | $250,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 24,790 | $250,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 17,691 | $249,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 19,986 | $249,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 54,413 | $249,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 19,652 | $247,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 15,985 | $246,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 5,612 | $245,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 6,073 | $245,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 3,024 | $244,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,507 | $243,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 15,114 | $242,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,060 | $241,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 10,296 | $241,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 17,004 | $240,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 5,250 | $239,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 5,663 | $239,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 5,592 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 8,184 | $237,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 5,935 | $237,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 8,275 | $236,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 101,862 | $236,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 6,557 | $234,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 9,075 | $233,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 9,058 | $232,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,349 | $230,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 3,966 | $229,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 17,000 | $229,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 1,601 | $228,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 9,489 | $228,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,014 | $227,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 23,776 | $226,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 4,336 | $226,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 23,760 | $226,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 975 | $225,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 3 | $224,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 8,147 | $224,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 179,321 | $224,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 4,776 | $223,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 11,168 | $223,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 4,352 | $223,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 12,540 | $223,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 11,472 | $222,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 4,909 | $221,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,166 | $221,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,005 | $221,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 14,460 | $221,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 4,500 | $220,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 6,110 | $220,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 21,773 | $220,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 9,527 | $219,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 39,200 | $219,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 13,450 | $218,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,217 | $217,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 1,927 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 7,800 | $215,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 5,520 | $215,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 15,164 | $214,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 3,200 | $214,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 4,009 | $214,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 10,483 | $213,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 2,239 | $213,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 13,550 | $212,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 6,690 | $211,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 46,207 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 7,741 | $209,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 2,648 | $209,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,114 | $208,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 93,228 | $208,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 10,943 | $207,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 13,427 | $207,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 1,279 | $206,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 2,308 | $206,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 4,314 | $205,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 3,733 | $204,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,372 | $204,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,900 | $204,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 14,050 | $204,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 4,393 | $203,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 6,873 | $203,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 13,550 | $203,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,320 | $202,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 10,076 | $202,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 24,000 | $202,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,178 | $201,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 22,619 | $201,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 3,025 | $200,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 17,414 | $196,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 11,675 | $196,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 40,053 | $193,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 11,172 | $192,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 13,005 | $191,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 14,217 | $191,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,900 | $190,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 12,595 | $187,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 18,516 | $187,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 14,025 | $184,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 35,150 | $184,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 16,276 | $182,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 12,983 | $181,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 11,901 | $181,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 10,100 | $180,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 13,638 | $179,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 17,832 | $178,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 10,664 | $175,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 11,803 | $174,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 13,448 | $172,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,986 | $169,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 16,000 | $167,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 10,459 | $167,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 13,010 | $166,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,062 | $165,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 13,092 | $165,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 22,200 | $164,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 10,900 | $164,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 13,866 | $162,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 31,217 | $160,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 10,230 | $160,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 12,650 | $159,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 27,850 | $156,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 14,357 | $155,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 12,759 | $154,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,172 | $153,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 28,410 | $151,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 19,500 | $150,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 16,335 | $148,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 212,917 | $148,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 16,343 | $147,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 14,708 | $143,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 33,121 | $142,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 13,073 | $141,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 19,200 | $138,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 188,877 | $138,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,486 | $137,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,422 | $135,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 10,500 | $135,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 13,096 | $134,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 21,311 | $133,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 12,822 | $129,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 47,800 | $129,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 10,100 | $124,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 17,300 | $118,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 12,000 | $117,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 16,100 | $115,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 11,170 | $114,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 10,030 | $114,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 10,350 | $114,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 18,828 | $113,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 10,705 | $112,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 19,580 | $108,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 12,926 | $108,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 73,764 | $106,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 43,200 | $105,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,100 | $103,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 21,525 | $101,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 701,969 | $101,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 27,300 | $94,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,383 | $92,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 57,615 | $87,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 62,720 | $87,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 30,511 | $87,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,400 | $85,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 20,865 | $79,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 29,262 | $78,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 10,735 | $77,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 11,105 | $73,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,080 | $73,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 11,833 | $73,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 50,000 | $73,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 20,626 | $72,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 35,339 | $71,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 20,099 | $70,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 14,631 | $67,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 19,515 | $65,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 37,266 | $65,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 25,500 | $62,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 10,878 | $59,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 15,550 | $57,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 14,520 | $56,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 10,239 | $55,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 15,580 | $50,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 27,400 | $50,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 13,899 | $49,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 10,750 | $46,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 49,000 | $46,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,190 | $40,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 18,197 | $39,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 20,000 | $37,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 31,644 | $36,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 44,300 | $36,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 13,000 | $34,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 68,090 | $31,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 20,500 | $30,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 12,047 | $29,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 13,500 | $28,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 10,000 | $28,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 90,488 | $25,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 15,000 | $23,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 61,530 | $23,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,300 | $22,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 112,000 | $20,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 12,028 | $17,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 10,000 | $15,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 27,500 | $15,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 23,000 | $13,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 14,131 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 16,000 | $7,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 10,312 | $6,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 91,270 | $6,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,500 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,000 | $5,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 15,087 | $5,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 10,000 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001142495-17-000006 | this filing | 2017-10-31 | acceptance time not in the bulk data set |