13F-HR filed by MANUFACTURERS LIFE INSURANCE COMPANY, THE
MANUFACTURERS LIFE INSURANCE COMPANY, THE filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 4,246 holding rows worth $83,839,167,000.
- Accession
- 0001145443-17-001089
- Filer
- CIK 928047
- Filed
- 2017-11-14
- 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, 11,657 entries on the cover page, a total value of $83,839,167,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $83,839,181,000 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 |
|---|---|---|---|---|---|---|
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,354 | $45,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,902 | $45,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 4,552 | $45,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,220 | $44,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 764 | $44,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 1,559 | $44,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 3,135 | $44,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 5,596 | $44,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 212 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 1,134 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 837 | $43,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 1,448 | $43,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 8,153 | $43,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,837 | $43,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 2,813 | $43,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 3,687 | $43,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 1,688 | $43,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 876 | $42,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 394 | $42,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 310 | $42,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 9,086 | $42,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,747 | $42,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 1,490 | $41,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 1,957 | $41,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 2,158 | $41,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 9,357 | $41,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 4,786 | $41,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 16,606 | $41,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,147 | $40,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,751 | $40,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,153 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 400 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 1,039 | $39,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,101 | $39,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 1,315 | $39,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 2,227 | $39,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 278 | $38,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 1,092 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 838 | $38,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,363 | $38,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 607 | $38,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 1,504 | $38,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 807 | $37,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 3,167 | $37,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 1,362 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 870 | $37,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 1,000 | $37,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,379 | $37,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 3,925 | $37,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 2,046 | $36,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 246 | $36,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 3,019 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 928 | $36,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,426 | $36,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,513 | $35,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 1,483 | $35,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 630 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,239 | $35,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 1,634 | $35,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 1,035 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 918 | $35,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,188 | $35,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 1,135 | $34,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 242 | $34,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 2,523 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 932 | $34,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 2,120 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 292 | $33,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,499 | $33,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,375 | $33,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,411 | $33,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,059 | $33,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 1,051 | $33,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 1,537 | $33,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 2,393 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 933 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 795 | $32,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 606 | $31,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 3,422 | $31,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 906 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 860 | $31,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 896 | $31,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,548 | $31,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 1,938 | $31,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 2,862 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 447 | $30,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 1,297 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 1,110 | $30,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,000 | $30,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,754 | $30,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 2,168 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 731 | $30,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 1,375 | $30,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 4,237 | $30,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 600 | $30,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 933 | $29,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 2,053 | $29,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,762 | $29,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,551 | $29,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 1,826 | $29,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,601 | $29,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,728 | $29,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,362 | $29,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,097 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 5,637 | $29,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 1,537 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 1,756 | $29,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 950 | $29,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 5,404 | $29,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,319 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 1,419 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 338 | $28,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,624 | $28,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 10,352 | $28,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 321 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 602 | $28,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 605 | $28,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,993 | $28,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 2,219 | $28,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,326 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 1,616 | $28,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 700 | $27,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 733 | $27,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 243 | $27,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 1,711 | $27,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,088 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 810 | $27,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 2,960 | $27,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 719 | $27,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 4,868 | $27,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 504 | $26,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,200 | $26,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,993 | $26,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 489 | $26,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 641 | $26,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 628 | $26,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 2,757 | $26,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 7,914 | $26,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 3,251 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 262 | $25,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 642 | $25,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 1,436 | $25,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 16,465 | $25,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 783 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 744 | $24,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 2,584 | $24,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 3,245 | $24,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 761 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 535 | $24,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 1,215 | $24,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 9,754 | $24,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 926 | $23,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 340 | $23,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 633 | $23,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 1,098 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 228 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 1,500 | $23,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 907 | $23,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,052 | $23,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,377 | $23,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 1,453 | $23,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 1,051 | $23,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 560 | $23,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,589 | $23,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,040 | $23,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 232 | $22,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 860 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 375 | $22,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 1,298 | $22,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 879 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 639 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 330 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 907 | $22,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,950 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 429 | $22,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 1,517 | $22,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 853 | $22,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 586 | $21,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 331 | $21,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 1,155 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 683 | $21,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 3,329 | $21,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,000 | $21,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 1,616 | $21,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,869 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 993 | $21,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,584 | $21,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 1,006 | $20,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 2,465 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 925 | $20,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 875 | $20,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 137 | $20,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 473 | $20,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,268 | $20,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 320 | $19,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,300 | $19,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 315 | $19,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 355 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 500 | $19,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 622 | $19,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,224 | $19,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,825 | $19,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,312 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 750 | $18,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 521 | $18,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 332 | $18,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,563 | $18,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,247 | $18,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,197 | $18,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,509 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 197 | $17,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,831 | $17,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 999 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 695 | $17,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,125 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 385 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 8,434 | $17,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 687 | $17,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 226 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 120 | $16,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 980 | $16,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 256 | $16,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,722 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 453 | $16,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,098 | $16,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,400 | $16,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 315 | $16,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 635 | $16,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,991 | $16,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,733 | $16,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 136 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 102 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 330 | $15,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 2,536 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 184 | $15,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 435 | $15,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 473 | $15,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 938 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 484 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 1,473 | $14,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 224 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 283 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 91 | $14,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 1,681 | $14,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 650 | $14,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,184 | $14,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 268 | $14,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,534 | $14,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,000 | $14,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,894 | $14,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 933 | $14,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 593 | $14,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,790 | $14,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 26,262 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 268 | $13,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 2,000 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 308 | $13,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 1,555 | $13,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 109 | $13,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 1,690 | $13,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 816 | $13,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 590 | $13,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 754 | $13,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,387 | $13,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,117 | $13,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 212 | $13,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,041 | $13,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 1,883 | $13,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 2,309 | $13,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 1,296 | $13,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 1,039 | $13,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 124 | $12,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 238 | $12,000 | 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 | 1,153 | $12,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 1,752 | $12,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 300 | $12,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 731 | $12,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 720 | $12,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 1,065 | $12,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,612 | $12,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 331 | $12,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,935 | $12,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 2,590 | $12,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,131 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,105 | $12,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,429 | $12,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 1,363 | $12,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,951 | $12,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 1,314 | $12,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 1,697 | $12,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 898 | $12,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 2,762 | $12,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,782 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 331 | $11,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 138 | $11,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 715 | $11,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 611 | $11,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 84 | $11,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 227 | $11,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 738 | $11,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,580 | $11,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 85 | $11,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 748 | $11,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,459 | $11,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,326 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 125 | $11,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 140 | $11,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 485 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 206 | $11,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,662 | $11,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,200 | $11,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 767 | $11,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,988 | $11,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,007 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 397 | $11,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 83 | $11,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,305 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 153 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 800 | $11,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 5,830 | $11,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 450 | $11,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,003 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 309 | $10,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,354 | $10,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 1,087 | $10,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 280 | $10,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 387 | $10,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 436 | $10,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 737 | $10,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 705 | $10,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 564 | $10,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 556 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 189 | $10,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 862 | $10,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 2,568 | $10,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,221 | $10,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 694 | $10,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 200 | $10,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,455 | $10,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 1,014 | $10,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 946 | $10,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,142 | $10,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,416 | $10,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 2,983 | $10,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,398 | $10,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 616 | $10,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,298 | $10,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 279 | $10,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,823 | $10,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,121 | $10,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 581 | $10,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 1,031 | $10,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 500 | $9,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 3,510 | $9,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 237 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 272 | $9,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,196 | $9,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,313 | $9,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 662 | $9,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 825 | $9,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 588 | $9,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 675 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 342 | $9,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 1,482 | $9,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 216 | $9,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,187 | $9,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 683 | $9,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 650 | $9,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 712 | $9,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,541 | $9,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 478 | $9,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,991 | $9,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,352 | $9,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,036 | $9,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 192 | $9,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,277 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 156 | $9,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 510 | $9,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 376 | $9,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 228 | $9,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,027 | $9,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,321 | $9,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 1,004 | $9,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 1,256 | $9,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,932 | $9,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 792 | $9,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 959 | $9,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 332 | $9,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 153 | $9,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 2,143 | $9,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 1,703 | $9,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 3,372 | $9,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 810 | $9,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 791 | $9,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 694 | $9,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,266 | $9,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 117 | $8,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 99 | $8,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 117 | $8,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 327 | $8,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 74 | $8,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,348 | $8,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 361 | $8,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 692 | $8,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 501 | $8,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 846 | $8,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 724 | $8,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 627 | $8,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 344 | $8,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 933 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 934 | $8,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 3,398 | $8,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 965 | $8,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 250 | $8,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 851 | $8,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 1,114 | $8,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 88 | $8,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,016 | $8,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 2,904 | $8,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 1,008 | $8,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 1,996 | $8,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,194 | $8,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 584 | $8,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 447 | $8,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 1,067 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 214 | $8,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,153 | $8,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 607 | $8,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,262 | $8,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,383 | $8,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 1,980 | $8,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 4,009 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,164 | $8,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,082 | $8,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 61 | $7,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 213 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 150 | $7,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 668 | $7,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 367 | $7,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 1,095 | $7,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 334 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 364 | $7,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,255 | $7,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 1,000 | $7,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 387 | $7,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 1,647 | $7,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 392 | $7,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 537 | $7,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 279 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 183 | $7,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 333 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 278 | $7,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 2,209 | $7,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,871 | $7,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 411 | $7,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 1,826 | $7,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 856 | $7,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 474 | $7,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 348 | $7,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 1,608 | $7,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 1,098 | $7,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 1,448 | $7,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,150 | $7,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 2,978 | $7,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 2,228 | $7,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 2,221 | $7,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 4,949 | $7,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 3,144 | $7,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 521 | $7,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,131 | $7,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 4,826 | $7,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,546 | $7,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 391 | $7,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,928 | $7,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 5,189 | $7,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 1,892 | $7,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 704 | $7,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 650 | $7,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 227 | $6,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 65 | $6,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 252 | $6,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 192 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 57 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 58 | $6,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 56 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 180 | $6,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 435 | $6,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 275 | $6,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 679 | $6,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 1,043 | $6,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 447 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 91 | $6,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 81 | $6,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 202 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 112 | $6,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 234 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 90 | $6,000 | thousands by filing date | |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 3,769 | $6,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 403 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001145443-17-001089 | this filing | 2017-11-14 | acceptance time not in the bulk data set |