13F-HR filed by MANUFACTURERS LIFE INSURANCE COMPANY, THE
MANUFACTURERS LIFE INSURANCE COMPANY, THE filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-14, with 4,326 holding rows worth $91,561,490,000.
- Accession
- 0001145443-18-000577
- Filer
- CIK 928047
- Filed
- 2018-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 11,964 entries on the cover page, a total value of $91,561,490,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $91,561,530,000 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 |
|---|---|---|---|---|---|---|
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 2,610 | $68,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 5,307 | $67,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 11,780 | $66,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 2,117 | $66,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 1,346 | $66,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 1,821 | $66,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 16,756 | $66,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 1,495 | $65,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 632 | $64,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 2,816 | $64,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 372 | $63,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 547 | $63,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 1,718 | $63,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,819 | $62,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 1,117 | $62,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 1,326 | $61,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,856 | $61,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 774 | $61,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 1,166 | $61,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 2,045 | $61,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 2,012 | $61,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 861 | $60,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 753 | $60,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 1,887 | $60,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 13,991 | $60,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 2,695 | $59,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 543 | $59,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 3,896 | $59,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 365 | $58,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 335 | $58,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 1,844 | $58,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 1,814 | $58,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 386 | $58,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 2,675 | $58,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 3,389 | $58,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 2,634 | $57,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 4,136 | $57,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 3,588 | $56,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 321 | $56,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 1,141 | $56,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 3,496 | $56,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 1,130 | $55,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,471 | $55,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 1,368 | $55,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 1,941 | $55,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 445 | $55,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 4,643 | $54,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 3,913 | $54,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 1,057 | $54,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 844 | $54,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 1,472 | $53,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 2,014 | $52,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 2,195 | $52,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 4,528 | $52,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 2,189 | $52,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 7,847 | $51,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 509 | $51,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 3,437 | $51,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 886 | $50,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 1,437 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 3,000 | $50,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 2,511 | $50,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 1,017 | $49,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 3,611 | $49,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 1,024 | $49,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 1,070 | $49,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 3,300 | $49,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 4,656 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 975 | $47,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 2,173 | $47,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 1,336 | $47,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 1,927 | $47,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 1,104 | $46,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 4,440 | $46,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 607 | $46,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 2,523 | $46,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 9,574 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 400 | $45,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 13,428 | $45,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 7,581 | $45,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 4,453 | $45,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 1,852 | $44,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 660 | $44,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 747 | $44,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 3,719 | $43,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 693 | $43,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,319 | $43,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 456 | $43,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,585 | $43,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 13,895 | $43,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 3,544 | $42,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 934 | $42,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 3,113 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 1,783 | $41,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 1,205 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 408 | $41,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 1,955 | $41,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 1,708 | $40,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 2,334 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 932 | $40,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 3,590 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 531 | $39,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 2,000 | $39,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 4,898 | $39,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,863 | $39,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 966 | $39,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 800 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 1,012 | $38,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 497 | $38,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,346 | $38,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 401 | $38,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 720 | $38,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 2,231 | $38,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 1,759 | $38,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 2,775 | $38,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,741 | $38,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 366 | $37,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 485 | $37,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 1,384 | $37,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 2,934 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 546 | $37,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 3,954 | $36,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 495 | $36,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 605 | $36,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 315 | $36,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 687 | $36,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 1,020 | $36,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 1,985 | $36,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 2,900 | $36,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 1,185 | $35,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 2,052 | $35,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 2,188 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 1,380 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 593 | $35,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,164 | $35,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 351 | $34,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 1,233 | $34,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 2,327 | $33,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 4,782 | $33,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 1,146 | $33,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 1,996 | $33,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 600 | $33,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 781 | $33,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 2,250 | $33,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 2,813 | $33,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 846 | $32,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 310 | $32,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 2,457 | $32,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,073 | $32,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 1,880 | $32,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V746 | LARGE CAP GROWTH | 684 | $31,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 1,820 | $31,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 630 | $31,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 2,254 | $31,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 2,415 | $31,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 1,106 | $31,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 1,597 | $31,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 2,032 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 743 | $31,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,258 | $31,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 2,528 | $31,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 4,918 | $31,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 2,984 | $31,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 1,244 | $30,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 1,500 | $30,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 967 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 329 | $30,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 582 | $30,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 1,475 | $30,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 1,881 | $30,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 371 | $29,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 1,315 | $29,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 1,069 | $29,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 3,123 | $29,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 1,346 | $29,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 845 | $29,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 1,231 | $29,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 2,300 | $29,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,097 | $29,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,485 | $29,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 1,068 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 418 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 440 | $28,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,688 | $28,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,359 | $28,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,615 | $28,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 2,106 | $27,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 768 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 917 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 1,459 | $27,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 1,340 | $27,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 3,005 | $27,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 714 | $27,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 1,465 | $26,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 2,134 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 640 | $26,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 1,635 | $26,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,408 | $26,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,088 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 498 | $26,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,993 | $26,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 600 | $25,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 2,903 | $25,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 3,170 | $25,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 2,706 | $25,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 932 | $25,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 6,856 | $25,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 12,696 | $25,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 8,225 | $25,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 1,118 | $24,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 2,325 | $24,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 991 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 535 | $24,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 3,165 | $24,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,504 | $24,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 2,154 | $23,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 502 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 590 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 321 | $23,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 1,134 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 507 | $23,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 462 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 633 | $23,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 550 | $23,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 360 | $22,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 3,607 | $22,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,039 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 523 | $22,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 752 | $22,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 1,112 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 525 | $22,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 13,574 | $22,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 8,500 | $22,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 633 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 453 | $21,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 23 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 1,100 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 311 | $21,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 649 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 1,498 | $21,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 765 | $20,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 220 | $20,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 1,423 | $20,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,312 | $20,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 2,199 | $20,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 293 | $20,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 661 | $20,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 648 | $20,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 3,071 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 445 | $20,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 3,358 | $20,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 3,365 | $20,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 548 | $20,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 5,887 | $20,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 4,456 | $20,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 999 | $20,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 1,348 | $20,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 509 | $19,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,300 | $19,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 2,530 | $19,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 787 | $19,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,112 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 388 | $19,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 127 | $19,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 1,115 | $19,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,115 | $19,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 1,337 | $19,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 38,517 | $19,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,084 | $19,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 624 | $19,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 470 | $18,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 178 | $18,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 505 | $18,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 734 | $18,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,801 | $18,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,645 | $18,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 697 | $18,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 277 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 86 | $17,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 675 | $17,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 1,301 | $17,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 332 | $17,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,205 | $17,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 1,016 | $17,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,371 | $17,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 464 | $17,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 462 | $17,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,235 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 385 | $17,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 276 | $17,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,512 | $17,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,161 | $17,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 774 | $17,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 439 | $16,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 5,646 | $16,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 211 | $16,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 621 | $16,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 239 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 493 | $16,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 173 | $16,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,186 | $16,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 478 | $16,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 553 | $16,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 802 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 322 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 141 | $16,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 855 | $16,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,509 | $16,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 286 | $15,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 1,518 | $15,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 777 | $15,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 234 | $15,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 177 | $15,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,759 | $15,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 366 | $15,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,011 | $15,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 9,374 | $15,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 1,166 | $14,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 412 | $14,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 438 | $14,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 618 | $14,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,558 | $14,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 192 | $14,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 203 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 657 | $14,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 349 | $14,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 2,464 | $13,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 393 | $13,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 406 | $13,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 357 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 413 | $13,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 922 | $13,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 698 | $13,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 140 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 533 | $13,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,000 | $13,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 1,016 | $13,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 733 | $13,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,920 | $13,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 2,381 | $13,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 60 | $12,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 387 | $12,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 797 | $12,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,075 | $12,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 1,728 | $12,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 427 | $12,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 878 | $12,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 527 | $12,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 909 | $12,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 1,203 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 246 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 153 | $12,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,200 | $12,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,566 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,127 | $12,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 710 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 259 | $11,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 234 | $11,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 198 | $11,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,338 | $11,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 683 | $11,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 441 | $11,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 702 | $11,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 856 | $11,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 1,600 | $11,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 477 | $11,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,580 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 820 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 126 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 137 | $11,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 397 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 420 | $11,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 487 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 861 | $11,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 111 | $11,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,103 | $11,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 821 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 307 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 183 | $10,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,397 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 326 | $10,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 1,222 | $10,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 274 | $10,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 2,285 | $10,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,500 | $10,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,049 | $10,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 480 | $10,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 4,270 | $10,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 664 | $10,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,056 | $10,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,113 | $10,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 690 | $10,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 760 | $10,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,432 | $10,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 890 | $10,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 1,582 | $10,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 561 | $10,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 1,467 | $10,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 656 | $10,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 906 | $10,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 313 | $10,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 383 | $10,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 25,970 | $10,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 500 | $9,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,338 | $9,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 457 | $9,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 508 | $9,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 430 | $9,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 760 | $9,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 385 | $9,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 86 | $9,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 421 | $9,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 273 | $9,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,367 | $9,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 2,450 | $9,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 350 | $9,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 607 | $9,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 278 | $9,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 911 | $9,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 646 | $9,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 270 | $9,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,000 | $9,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 500 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 236 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 241 | $9,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 659 | $9,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 300 | $9,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 1,143 | $9,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 917 | $9,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 520 | $9,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 955 | $9,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 719 | $9,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 74 | $9,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,207 | $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 | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 1,009 | $9,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 763 | $9,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 2,099 | $9,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 154 | $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 | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 310 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 88 | $8,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 904 | $8,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 104 | $8,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 666 | $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 | 1,408 | $8,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 503 | $8,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 398 | $8,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,057 | $8,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 927 | $8,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 573 | $8,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 953 | $8,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 863 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 342 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 280 | $8,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 883 | $8,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 1,011 | $8,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 492 | $8,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 3,443 | $8,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 236 | $8,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 600 | $8,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 469 | $8,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 292 | $8,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,762 | $8,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 195 | $8,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 1,000 | $8,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 673 | $8,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 481 | $8,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 296 | $8,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 88 | $8,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,005 | $8,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 2,027 | $8,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,732 | $8,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 2,697 | $8,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 6,629 | $8,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 699 | $8,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 934 | $8,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 757 | $8,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 899 | $8,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 757 | $8,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 2,309 | $8,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 833 | $8,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 263 | $8,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 1,484 | $8,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 3,436 | $8,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,567 | $8,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 969 | $8,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 775 | $8,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 1,381 | $8,000 | thousands by filing date | |
| MGC | 921910873 | COM | 70 | $7,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 500 | $7,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 138 | $7,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 559 | $7,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,388 | $7,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 674 | $7,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 652 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 138 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001145443-18-000577 | this filing | 2018-08-14 | acceptance time not in the bulk data set |