13F-HR filed by MANUFACTURERS LIFE INSURANCE COMPANY, THE
MANUFACTURERS LIFE INSURANCE COMPANY, THE filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 4,447 holding rows worth $70,198,778,000.
- Accession
- 0001145443-17-000177
- Filer
- CIK 928047
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 9,793 entries on the cover page, a total value of $70,198,778,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $70,198,823,000 with VALUE read as thousands by filing date, 13F file number 028-04428. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerMANULIFE FINANCIAL CORP028-11519
- included managerManulife Asset Management Ltd028-11524
- included managerJOHN HANCOCK LIFE INSURANCE CO USA028-15079
- included managerMANULIFE ASSET MANAGEMENT (US) LLC028-03673
- included managerManulife Asset Management (North America) Ltd028-10490
- included managerSignator Investors, Inc.028-16472
- included managerManulife Asset Management (Hong Kong) Ltd028-15006
- included managerManulife Asset Management (Europe) Ltd028-14594
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 |
|---|---|---|---|---|---|---|
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 1,397 | $35,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 9,361 | $34,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 2,279 | $34,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 823 | $34,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 1,915 | $34,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 724 | $34,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 2,220 | $34,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 6,277 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 410 | $33,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 2,082 | $33,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 2,400 | $33,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 4,297 | $33,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 2,370 | $33,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 1,134 | $33,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 919 | $33,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 1,051 | $33,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 5,687 | $33,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 679 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 290 | $32,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 738 | $32,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 518 | $32,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 2,476 | $32,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,687 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 694 | $32,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 9,257 | $32,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 763 | $32,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 700 | $31,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,515 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 673 | $31,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 1,360 | $31,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,156 | $31,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 1,449 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 400 | $30,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 1,092 | $30,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 2,662 | $30,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 2,475 | $30,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 3,523 | $30,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 1,000 | $29,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 630 | $29,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 406 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 796 | $29,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 1,122 | $29,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 1,852 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 798 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 338 | $28,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,639 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 2,088 | $28,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,978 | $28,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,219 | $28,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,513 | $28,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 238 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 1,017 | $27,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,930 | $27,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 3,216 | $27,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 4,813 | $27,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,576 | $27,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,111 | $27,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 6,420 | $27,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 494 | $26,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,734 | $26,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 877 | $26,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 722 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 708 | $25,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 1,765 | $25,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 1,150 | $25,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 3,804 | $25,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 202 | $25,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 429 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 791 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 427 | $25,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,671 | $25,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,338 | $25,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 1,125 | $25,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 497 | $24,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 800 | $24,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,993 | $24,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 478 | $24,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,286 | $24,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,202 | $24,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 718 | $24,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 762 | $24,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,995 | $24,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 9,249 | $24,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 1,193 | $24,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 16,000 | $24,000 | thousands by filing date | principal |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 3,369 | $23,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,234 | $23,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 906 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 181 | $23,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,115 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 535 | $23,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 637 | $23,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,385 | $23,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 5,355 | $23,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 2,957 | $23,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 20,322 | $23,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 559 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 416 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 1,120 | $22,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,721 | $22,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 2,138 | $22,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 9,706 | $22,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 8,480 | $22,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 10,113 | $22,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 984 | $22,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 692 | $22,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 2,689 | $22,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 32,820 | $22,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 426 | $21,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 163 | $21,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 389 | $21,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,100 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 257 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 227 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 639 | $21,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 1,127 | $21,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 4,068 | $21,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,168 | $21,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,085 | $21,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 9,794 | $21,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 519 | $21,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,828 | $21,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 340 | $20,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 1,011 | $20,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 626 | $20,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 12,785 | $20,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 1,995 | $20,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 706 | $20,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 443 | $20,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,122 | $20,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 2,658 | $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 |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 17,000 | $20,000 | thousands by filing date | principal |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,417 | $20,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 18,000 | $20,000 | thousands by filing date | principal |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,236 | $20,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 232 | $19,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 622 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 642 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 643 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 322 | $19,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 533 | $19,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,435 | $19,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,062 | $19,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,423 | $19,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 14,000 | $19,000 | thousands by filing date | principal |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 4,000 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 500 | $19,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 10,939 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 15,000 | $19,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 15,000 | $19,000 | thousands by filing date | principal |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 3,370 | $19,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 419 | $19,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 4,896 | $19,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 480 | $18,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 431 | $18,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 429 | $18,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 417 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 620 | $18,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,012 | $18,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 1,226 | $18,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 3,207 | $18,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,292 | $18,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 18,000 | $18,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 16,000 | $18,000 | thousands by filing date | principal |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 366 | $17,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 1,598 | $17,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 331 | $17,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 3,060 | $17,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 1,081 | $17,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 324 | $17,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 526 | $17,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,757 | $17,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,532 | $17,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 576 | $17,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 167 | $16,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 509 | $16,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,455 | $16,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 243 | $16,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 428 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 280 | $16,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 239 | $15,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 567 | $15,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 3,139 | $15,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 2,111 | $15,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 622 | $15,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 272 | $15,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 253 | $15,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 15,000 | $15,000 | thousands by filing date | principal |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 713 | $15,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $15,000 | thousands by filing date | principal |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 683 | $15,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 21,000 | $15,000 | thousands by filing date | principal |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 15,000 | $15,000 | thousands by filing date | principal |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 1,362 | $14,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 697 | $14,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 520 | $14,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 2,110 | $14,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,602 | $14,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 1,904 | $14,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 446 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 155 | $14,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 494 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 257 | $14,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 870 | $14,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 5,190 | $14,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 884 | $14,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 749 | $14,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,197 | $14,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 2,116 | $14,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,582 | $14,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 15,000 | $14,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 16,000 | $14,000 | thousands by filing date | principal |
| COMFORT SYS USA INC COM | 199908104 | Stock | 381 | $13,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 922 | $13,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 738 | $13,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 1,023 | $13,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,321 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 854 | $13,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $13,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 931 | $13,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 400 | $12,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 1,254 | $12,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 430 | $12,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 1,626 | $12,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 118 | $12,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 575 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 157 | $12,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 85 | $12,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,164 | $12,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 500 | $12,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 450 | $12,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 1,758 | $12,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 113 | $12,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 771 | $12,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 5,625 | $12,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 1,847 | $12,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 1,178 | $12,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,797 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 272 | $11,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 781 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 352 | $11,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 1,245 | $11,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 743 | $11,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 612 | $11,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 646 | $11,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 748 | $11,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 652 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 434 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 68 | $11,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,494 | $11,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 2,109 | $11,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 1,502 | $11,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,927 | $11,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 349 | $11,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 449 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 265 | $11,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 11,000 | $11,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 450 | $11,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 349 | $10,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 198 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 141 | $10,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 312 | $10,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,184 | $10,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 685 | $10,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,580 | $10,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 457 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,224 | $10,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 500 | $10,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 450 | $10,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,176 | $10,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 6,514 | $10,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,500 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 397 | $10,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 205 | $10,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,064 | $10,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 15,000 | $10,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TURTLE BEACH CORP COM | 900450107 | Stock | 7,488 | $10,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 10,000 | $10,000 | thousands by filing date | principal |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 74 | $9,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 81 | $9,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,786 | $9,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 304 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 267 | $9,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 162 | $9,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 948 | $9,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 1,244 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 231 | $9,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 206 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 99 | $9,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 574 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 43 | $9,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 153 | $9,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 570 | $9,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 591 | $9,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 743 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 266 | $9,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 555 | $9,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 646 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 326 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 157 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 259 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 161 | $9,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 470 | $9,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 1,205 | $9,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 2,341 | $9,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 898 | $9,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 2,499 | $9,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,345 | $9,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,763 | $9,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 601 | $9,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,334 | $9,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 9,000 | $9,000 | thousands by filing date | principal |
| SYSTEMAX INC | 871851101 | COM | 1,057 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 213 | $9,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 10,000 | $9,000 | thousands by filing date | principal |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 208 | $8,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 149 | $8,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 28 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 162 | $8,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 2,686 | $8,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 557 | $8,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 606 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 342 | $8,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,270 | $8,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,346 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 665 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 100 | $8,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 350 | $8,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 343 | $8,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 3,177 | $8,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 5,196 | $8,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 927 | $8,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 361 | $8,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 6,000 | $8,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 354 | $8,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 396 | $8,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 8,000 | $8,000 | thousands by filing date | principal |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 650 | $8,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 291 | $8,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,221 | $8,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 5,500 | $8,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 622 | $8,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 8,068 | $8,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 63 | $7,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 86 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 364 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 142 | $7,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 74 | $7,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 697 | $7,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 567 | $7,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 1,000 | $7,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 700 | $7,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 529 | $7,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 304 | $7,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 382 | $7,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 250 | $7,000 | thousands by filing date | |
| PACER TRENDPILOT 100 ETF | 69374H303 | ETF | 287 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 211 | $7,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 1,712 | $7,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 178 | $7,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 812 | $7,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 912 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 324 | $7,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,116 | $7,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 1,255 | $7,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 58 | $7,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 604 | $7,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 617 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 400 | $7,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,094 | $7,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 3,157 | $7,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,679 | $7,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 497 | $7,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 42 | $6,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 134 | $6,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 321 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 300 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 153 | $6,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 2,229 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 113 | $6,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 314 | $6,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 533 | $6,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 532 | $6,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 418 | $6,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 185 | $6,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 300 | $6,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,164 | $6,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 307 | $6,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 900 | $6,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 547 | $6,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 590 | $6,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,160 | $6,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 259 | $6,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 1,245 | $6,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,155 | $6,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 465 | $6,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 88 | $6,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 710 | $6,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 924 | $6,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 868 | $6,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 3,427 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 633 | $6,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 473 | $6,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,263 | $6,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,481 | $6,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 4,315 | $6,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,317 | $6,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 108 | $6,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,462 | $6,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 6,000 | $6,000 | thousands by filing date | principal |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 1,186 | $6,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 385 | $6,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 21 | $5,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 904 | $5,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 120 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 136 | $5,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 300 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 194 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 57 | $5,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 521 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 100 | $5,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 220 | $5,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 86 | $5,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 435 | $5,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 400 | $5,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 586 | $5,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 280 | $5,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 2,979 | $5,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 825 | $5,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 941 | $5,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 200 | $5,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 2,173 | $5,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 188 | $5,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,409 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 187 | $5,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,760 | $5,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 658 | $5,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 2,403 | $5,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 242 | $5,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 286 | $5,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 583 | $5,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 300 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 264 | $5,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 466 | $5,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 172 | $5,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 1,053 | $5,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,354 | $5,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,126 | $5,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 921 | $5,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 2,111 | $5,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 6,300 | $5,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 2,788 | $5,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 529 | $5,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 629 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 233 | $5,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 2,731 | $5,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 510 | $5,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 1,048 | $5,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 499 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 79 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 55 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 30 | $4,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 103 | $4,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 567 | $4,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 264 | $4,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 533 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 147 | $4,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 69 | $4,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 279 | $4,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 422 | $4,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 368 | $4,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 246 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 300 | $4,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,251 | $4,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 1,524 | $4,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 274 | $4,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 320 | $4,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 577 | $4,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 255 | $4,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 672 | $4,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 322 | $4,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,181 | $4,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 288 | $4,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 775 | $4,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 522 | $4,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 71 | $4,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 534 | $4,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 673 | $4,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 592 | $4,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 2,635 | $4,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 326 | $4,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 3,822 | $4,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 4,825 | $4,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 2,427 | $4,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,000 | $4,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 5,266 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001145443-17-000177 | this filing | 2017-02-14 | acceptance time not in the bulk data set |