13F-HR filed by MANUFACTURERS LIFE INSURANCE COMPANY, THE
MANUFACTURERS LIFE INSURANCE COMPANY, THE filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-15, with 4,351 holding rows worth $90,400,825,000.
- Accession
- 0001145443-18-000337
- Filer
- CIK 928047
- Filed
- 2018-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 12,054 entries on the cover page, a total value of $90,400,825,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $90,400,829,000 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 |
|---|---|---|---|---|---|---|
| VBI VACCINES INC | 91822J103 | COM NEW | 19,079 | $66,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 4,007 | $66,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 717 | $65,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,326 | $65,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,693 | $65,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 4,089 | $64,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 3,705 | $63,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 547 | $63,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 766 | $63,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 632 | $62,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 2,416 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 1,458 | $62,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 4,600 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 1,580 | $61,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 2,037 | $61,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 1,556 | $61,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,689 | $60,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 1,140 | $60,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 1,300 | $60,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 8,869 | $59,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 4,083 | $59,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,750 | $59,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 1,777 | $59,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 3,756 | $59,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 2,274 | $58,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 377 | $57,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 2,808 | $57,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 6,593 | $57,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 3,677 | $56,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 2,675 | $56,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 2,685 | $55,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 4,759 | $55,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 2,166 | $54,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 1,485 | $54,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 4,138 | $54,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 2,046 | $54,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,388 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 765 | $53,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,436 | $53,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 1,074 | $53,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 1,100 | $53,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 2,395 | $52,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 329 | $51,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 3,913 | $51,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 1,497 | $51,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 321 | $51,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 3,858 | $51,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 1,472 | $51,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 1,130 | $51,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 29,993 | $50,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 4,656 | $50,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 2,511 | $50,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 1,017 | $50,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,279 | $49,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 4,642 | $49,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 988 | $49,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 1,057 | $49,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,479 | $49,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 1,433 | $48,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 1,731 | $48,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 4,673 | $48,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 2,289 | $47,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 1,854 | $47,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 1,927 | $47,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 11,118 | $47,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 7,581 | $46,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 1,447 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 1,638 | $45,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,572 | $45,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 1,336 | $45,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 6,459 | $45,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 3,929 | $45,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,360 | $44,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 825 | $44,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 16,522 | $44,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 2,834 | $44,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 6,251 | $44,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 6,659 | $43,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 497 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 3,099 | $43,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,689 | $43,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 1,819 | $43,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,097 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 400 | $42,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 1,333 | $42,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 1,124 | $42,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 3,201 | $42,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 8,424 | $42,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 607 | $42,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 1,185 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 781 | $41,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 488 | $41,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 639 | $41,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 838 | $40,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,009 | $40,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 2,201 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 914 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 456 | $40,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 1,420 | $40,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 2,231 | $40,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 970 | $40,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 7,990 | $40,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 5,898 | $39,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 278 | $39,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 2,845 | $39,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,854 | $39,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 2,241 | $39,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 13,893 | $39,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 3,200 | $39,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 1,570 | $39,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 3,177 | $38,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 918 | $38,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 3,417 | $38,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,722 | $38,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,565 | $38,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,379 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 932 | $38,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 401 | $38,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 1,177 | $37,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 774 | $37,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 1,900 | $37,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 275 | $37,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 4,937 | $37,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 1,020 | $37,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,283 | $37,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 739 | $37,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 363 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 510 | $36,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 3,394 | $36,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 1,000 | $36,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1,548 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 455 | $35,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 3,954 | $35,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,090 | $35,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 4,303 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 708 | $34,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 630 | $34,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 348 | $34,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,418 | $34,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 7,138 | $34,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 1,820 | $33,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 2,716 | $33,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,932 | $33,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 4,942 | $33,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 2,035 | $33,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 2,160 | $33,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 966 | $33,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 662 | $33,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 1,327 | $32,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 3,760 | $32,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 1,960 | $32,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 1,985 | $32,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 2,900 | $32,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 300 | $31,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 2,019 | $31,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 2,322 | $31,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,401 | $31,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,121 | $31,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 1,244 | $31,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 1,330 | $31,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,212 | $31,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,710 | $31,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 846 | $30,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,499 | $30,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 440 | $30,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 2,680 | $30,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 4,861 | $30,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 6,856 | $30,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 600 | $30,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 2,813 | $30,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 1,786 | $30,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,503 | $30,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 524 | $29,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 1,888 | $29,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 3,248 | $29,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 1,597 | $29,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 2,032 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 584 | $29,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 469 | $29,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 1,484 | $29,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 684 | $29,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 3,005 | $29,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 1,575 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 1,147 | $29,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 961 | $29,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 1,045 | $28,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,379 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 768 | $28,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,379 | $28,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,290 | $28,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,614 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 1,569 | $28,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 2,300 | $28,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 641 | $28,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,097 | $28,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 599 | $27,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 2,210 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 1,082 | $26,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,650 | $26,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,459 | $26,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 893 | $26,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 550 | $26,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 2,876 | $26,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 2,354 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 1,153 | $25,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,993 | $25,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 1,282 | $25,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 2,879 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 1,465 | $25,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 516 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 230 | $24,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 360 | $24,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 2,114 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 367 | $24,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 453 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 564 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 720 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 507 | $24,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 1,648 | $24,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,584 | $24,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 1,082 | $23,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 752 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 375 | $23,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 497 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 535 | $23,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 3,294 | $23,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 834 | $23,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 281 | $22,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 1,426 | $22,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 342 | $22,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 2,052 | $22,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 1,134 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 631 | $22,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 991 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 539 | $22,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,258 | $22,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 1,090 | $22,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,504 | $22,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 304 | $21,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 3,519 | $21,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,259 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 991 | $21,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 509 | $20,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 3,375 | $20,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 2,199 | $20,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 2,800 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 800 | $20,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 1,088 | $20,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 1,086 | $20,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 694 | $20,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 3,365 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 500 | $20,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 937 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 504 | $20,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 548 | $20,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,528 | $20,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 8,500 | $20,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 678 | $20,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 1,172 | $19,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,000 | $19,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,235 | $19,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,337 | $19,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 1,885 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 311 | $19,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,801 | $19,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $19,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 16,344 | $19,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 472 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 534 | $18,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,300 | $18,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,312 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 337 | $18,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 2,506 | $18,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 1,985 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 391 | $18,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 926 | $18,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,991 | $18,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 178 | $18,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 127 | $18,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 457 | $18,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 699 | $18,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 312 | $18,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,690 | $18,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 560 | $17,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 600 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 519 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 197 | $17,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,382 | $17,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 332 | $17,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,825 | $17,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,512 | $17,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,021 | $17,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 1,824 | $17,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 697 | $17,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B862 | VAR RAT INV GR | 675 | $17,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 844 | $17,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 999 | $17,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,509 | $17,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 203 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 86 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 458 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 493 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 568 | $16,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 1,147 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 458 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 385 | $16,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,000 | $16,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 349 | $16,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 689 | $16,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 285 | $15,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 438 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 327 | $15,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 3,290 | $15,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 4,140 | $15,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 1,407 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 120 | $15,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 470 | $15,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 1,284 | $15,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,194 | $15,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,186 | $15,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 858 | $15,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 1,216 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 221 | $15,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 802 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 649 | $15,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,084 | $15,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 624 | $15,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 153 | $14,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 239 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 122 | $14,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 1,329 | $14,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,444 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 469 | $14,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 908 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 204 | $14,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 400 | $14,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,759 | $14,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 2,367 | $14,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 882 | $14,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 4,911 | $13,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 231 | $13,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 198 | $13,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 251 | $13,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 596 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 410 | $13,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 390 | $13,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 668 | $13,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 530 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 150 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 528 | $13,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,421 | $13,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 733 | $13,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,645 | $13,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 9,374 | $13,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 26,262 | $13,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 105 | $12,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 777 | $12,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 554 | $12,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 389 | $12,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 797 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 225 | $12,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 406 | $12,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,075 | $12,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 922 | $12,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 878 | $12,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,558 | $12,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 239 | $12,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 606 | $12,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 140 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 244 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 252 | $12,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 1,016 | $12,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,139 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,115 | $12,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 8,158 | $12,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 5,887 | $12,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,920 | $12,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,338 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 128 | $11,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 846 | $11,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 2,285 | $11,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,580 | $11,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,371 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 126 | $11,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,203 | $11,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 351 | $11,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 360 | $11,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,408 | $11,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 1,715 | $11,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,200 | $11,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 520 | $11,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,634 | $11,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 437 | $11,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,558 | $11,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 626 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 153 | $11,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,484 | $11,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 855 | $11,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 2,516 | $11,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 2,726 | $11,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 8,225 | $11,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 138 | $10,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 51 | $10,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,038 | $10,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 867 | $10,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 379 | $10,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 332 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 306 | $10,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,397 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 243 | $10,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 683 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 288 | $10,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 754 | $10,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 1,600 | $10,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 714 | $10,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 527 | $10,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 883 | $10,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 607 | $10,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 278 | $10,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 726 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 420 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 455 | $10,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 659 | $10,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,432 | $10,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 800 | $10,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 2,644 | $10,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 561 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 397 | $10,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 906 | $10,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 2,309 | $10,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 875 | $10,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 4,589 | $10,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 1,533 | $10,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,567 | $10,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 891 | $10,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 383 | $10,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 2,603 | $10,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 1,022 | $9,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 508 | $9,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 183 | $9,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 234 | $9,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 273 | $9,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 422 | $9,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 86 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 310 | $9,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 936 | $9,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 573 | $9,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 863 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 342 | $9,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 1,165 | $9,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,500 | $9,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,367 | $9,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 646 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 272 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 235 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 375 | $9,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 3,443 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 240 | $9,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 250 | $9,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,762 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 156 | $9,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 727 | $9,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 890 | $9,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 3,783 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 56 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 800 | $9,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,335 | $9,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 111 | $9,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 247 | $9,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 582 | $9,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 313 | $9,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 604 | $9,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 153 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 52 | $8,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 388 | $8,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 3,311 | $8,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 422 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 500 | $8,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,874 | $8,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 74 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 111 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 280 | $8,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 377 | $8,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,431 | $8,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 682 | $8,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 904 | $8,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 414 | $8,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 692 | $8,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,381 | $8,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 503 | $8,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,057 | $8,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,037 | $8,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 652 | $8,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 381 | $8,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 2,573 | $8,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 911 | $8,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,533 | $8,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,306 | $8,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 673 | $8,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 174 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001145443-18-000337 | this filing | 2018-05-15 | acceptance time not in the bulk data set |