13F-HR filed by Curi Capital, LLC
Curi Capital, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-02, with 479 holding rows worth $4,263,855,000.
- Accession
- 0001172661-16-004095
- Filer
- CIK 1332905
- Filed
- 2016-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 648 entries on the cover page, a total value of $4,263,855,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,263,855,000 with VALUE read as thousands by filing date, 13F file number 028-11714. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerDELAWARE CAPITAL MANAGEMENT INC 028-05920
- included managerHORIZON ASSET MANAGEMENT LLC028-06986
- included managerConvergence Investment Partners, LLC028-13404
- included managerLAZARD ASSET MANAGEMENT LLC028-10469
- included managerLATEEF INVESTMENT MANAGEMENT, L.P.028-05358
- included managerSANTA BARBARA ASSET MANAGEMENT, LLC028-05621
- included managerMENDON CAPITAL ADVISORS CORP028-10662
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 2,312,000 | $500,078,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,678,500 | $332,699,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 3,458,000 | $146,158,000 | thousands by filing date | put |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 7,248,000 | $139,885,000 | thousands by filing date | put |
| BNC Bancorp | 05566T101 | Com | 2,808,826 | $68,310,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 904,000 | $64,932,000 | thousands by filing date | put |
| JPMorgan Chase & Co | 46625H100 | COM | 945,500 | $62,959,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 1,437,000 | $61,631,000 | thousands by filing date | put |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 683,000 | $61,531,000 | thousands by filing date | put |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 1,512,000 | $60,300,000 | thousands by filing date | put |
| YADKIN FINANCIAL CORP | 984305102 | COM | 2,218,795 | $58,332,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 833,000 | $53,345,000 | thousands by filing date | put |
| ALLSTATE CORP COM | 020002101 | Stock | 683,000 | $47,248,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 1,054,000 | $46,671,000 | thousands by filing date | put |
| COMERICAINC | 200340107 | COM | 912,000 | $43,155,000 | thousands by filing date | put |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,137,000 | $40,068,000 | thousands by filing date | put |
| ZIONS BANCORPORATION | 989701107 | COM | 1,287,000 | $39,922,000 | thousands by filing date | put |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,647,103 | $39,653,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 1,066,830 | $37,734,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 947,500 | $35,740,000 | thousands by filing date | put |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,754,054 | $34,801,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 8,610,434 | $31,256,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 1,230,577 | $30,358,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 850,538 | $29,726,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 1,853,846 | $29,013,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 908,000 | $28,665,000 | thousands by filing date | put |
| SYNCHRONYFINL | 87165B103 | STOK | 1,000,000 | $28,000,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 833,000 | $27,805,000 | thousands by filing date | put |
| Morgan Stanley | 617446448 | COM | 818,494 | $26,241,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 1,872,094 | $25,909,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 136,121 | $24,401,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 16,570 | $24,383,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 2,279,662 | $24,050,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 287,580 | $23,783,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 339,500 | $23,638,000 | thousands by filing date | put |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,216,000 | $23,469,000 | thousands by filing date | call |
| GENESEE & WYOMING INC | 371559105 | CL A | 339,005 | $23,374,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,225,539 | $22,537,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 1,850,000 | $22,514,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 379,000 | $22,489,000 | thousands by filing date | put |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 238,213 | $22,332,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 900,000 | $22,239,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 1,520,000 | $22,192,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 2,101,747 | $21,647,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 572,677 | $21,504,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 1,500,000 | $21,345,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 26,420 | $21,243,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 1,013,750 | $21,096,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 263,267 | $20,664,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 26,555 | $20,641,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 783,555 | $20,615,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 1,089,522 | $20,156,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 401,666 | $18,971,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 810,648 | $18,499,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 86,179 | $18,488,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 163,361 | $18,468,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 1,436,860 | $18,435,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 2,267,547 | $18,412,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 188,000 | $18,181,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 550,000 | $17,891,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 264,500 | $17,863,000 | thousands by filing date | put |
| Danaher Corporation | 235851102 | COM | 225,148 | $17,649,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 7,491,420 | $17,305,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 360,318 | $17,191,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 10,388 | $17,035,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 450,000 | $16,893,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 393,651 | $16,892,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 854,194 | $16,452,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 184,594 | $16,427,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 219,312 | $16,400,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 906,233 | $16,367,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 109,338 | $16,304,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 474,196 | $15,971,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 781,344 | $15,768,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 87,477 | $15,722,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 1,898,916 | $15,609,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 559,457 | $15,430,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 154,483 | $15,391,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 567,553 | $14,723,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 183,670 | $14,444,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 128,538 | $14,439,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 124,415 | $14,100,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 113,237 | $13,998,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 178,764 | $13,785,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 218,056 | $13,550,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,130,368 | $13,417,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 135,330 | $13,199,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 300,000 | $13,140,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 124,792 | $13,043,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 800,018 | $12,873,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 104,711 | $12,792,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 189,500 | $12,601,000 | thousands by filing date | put |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 165,006 | $12,293,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 91,160 | $12,020,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 660,052 | $11,782,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 70,540 | $11,767,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 207,143 | $11,714,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 400,000 | $11,648,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 111,589 | $11,485,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 875,445 | $11,425,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 157,584 | $11,379,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 158,176 | $10,637,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 458,000 | $10,603,000 | thousands by filing date | put |
| XL GROUP LTD | G98294104 | COM | 308,000 | $10,358,000 | thousands by filing date | put |
| WATSCO INC COM | 942622200 | Stock | 72,673 | $10,240,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 516,187 | $10,184,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 229,000 | $9,806,000 | thousands by filing date | put |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 500,895 | $9,567,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 79,362 | $9,511,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 202,375 | $9,469,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 801,865 | $9,462,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 175,002 | $9,436,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 219,263 | $9,404,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 112,500 | $9,186,000 | thousands by filing date | put |
| BANKUNITED INC | 06652K103 | COM | 300,000 | $9,060,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 344,793 | $9,051,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 10,418 | $8,723,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 131,740 | $8,695,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 1,364,455 | $8,637,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 75,000 | $8,591,000 | thousands by filing date | put |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 453,237 | $8,575,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 230,805 | $8,551,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 71,215 | $8,264,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 229,000 | $8,145,000 | thousands by filing date | put |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 266,500 | $7,896,000 | thousands by filing date | put |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 500,000 | $7,615,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 140,506 | $7,548,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 51,308 | $7,412,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 210,046 | $7,366,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 200,000 | $7,272,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 262,404 | $7,177,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 143,300 | $7,176,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 376,523 | $7,090,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 91,176 | $7,084,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,377,596 | $7,026,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 278,975 | $6,988,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 190,863 | $6,925,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 202,814 | $6,774,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 340,704 | $6,729,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 95,396 | $6,693,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 302,707 | $6,635,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 334,519 | $5,968,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 313,654 | $5,897,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 721,703 | $5,774,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 478,231 | $5,633,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 390,389 | $5,629,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 355,795 | $5,604,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 88,891 | $5,526,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 278,463 | $5,511,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 407,987 | $5,500,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 388,193 | $5,454,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 659,027 | $5,404,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 75,000 | $5,390,000 | thousands by filing date | put |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 218,853 | $5,386,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 218,000 | $5,332,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 75,000 | $5,099,000 | thousands by filing date | put |
| ABERDEEN INDIA FD INC | 454089103 | COM | 204,508 | $5,084,000 | thousands by filing date | |
| Call - MTB $73.86 Exp 12/23/2018 | 55261F112 | Warrants | 120,000 | $5,076,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 149,804 | $5,056,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 224,710 | $5,020,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 211,022 | $4,866,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 935,037 | $4,862,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 21,930 | $4,743,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 150,000 | $4,690,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 200,629 | $4,105,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 250,255 | $4,097,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 114,513 | $4,071,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 118,439 | $4,010,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 400,000 | $3,948,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 221,000 | $3,843,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,297,057 | $3,826,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 110,892 | $3,820,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 80,000 | $3,819,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 150,000 | $3,706,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 120,000 | $3,688,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 23,748 | $3,622,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 28,123 | $3,619,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 76,167 | $3,613,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 367,696 | $3,556,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 145,950 | $3,458,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 1,887,619 | $3,379,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 252,963 | $3,326,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 25,095 | $3,219,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 440,886 | $3,125,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 30,000 | $3,034,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 60,231 | $3,016,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 97,940 | $2,993,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 44,016 | $2,931,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 24,000 | $2,893,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 37,500 | $2,892,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 62,197 | $2,754,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 52,642 | $2,736,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 50,000 | $2,704,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 99,124 | $2,687,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 81,648 | $2,666,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 48,974 | $2,651,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 362,443 | $2,610,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 22,290 | $2,599,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 145,411 | $2,587,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 177,528 | $2,574,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 65,500 | $2,515,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 17,754 | $2,485,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 225,425 | $2,430,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 281,028 | $2,406,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 31,530 | $2,378,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 38,758 | $2,292,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 126,050 | $2,245,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 176,104 | $2,224,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 5,518 | $2,218,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 371,343 | $2,202,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 44,285 | $2,173,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 75,000 | $2,161,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 108,400 | $2,160,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 258,288 | $2,146,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 166,875 | $2,139,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 28,015 | $2,100,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 27,912 | $2,095,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 515,000 | $2,091,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 9,702 | $2,076,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 128,193 | $2,047,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 53,277 | $2,029,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 87,023 | $2,013,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 62,098 | $1,958,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 120,000 | $1,927,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 27,958 | $1,901,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 31,077 | $1,880,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 89,290 | $1,874,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 127,165 | $1,858,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 27,344 | $1,814,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 15,335 | $1,790,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 37,728 | $1,749,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 47,176 | $1,737,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 158,448 | $1,733,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 95,800 | $1,710,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 101,104 | $1,709,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 31,840 | $1,683,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 53,445 | $1,683,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 82,527 | $1,673,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 44,497 | $1,665,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 15,259 | $1,659,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 129,923 | $1,644,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 194,840 | $1,611,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 495,087 | $1,604,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 218,927 | $1,579,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 104,762 | $1,579,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 12,938 | $1,574,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 10,856 | $1,571,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 25,925 | $1,552,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 113,212 | $1,541,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 37,505 | $1,537,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 70,909 | $1,516,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 226,368 | $1,505,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 101,425 | $1,476,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 886,164 | $1,436,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 39,869 | $1,435,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 278,449 | $1,376,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 1,806,091 | $1,373,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 58,011 | $1,363,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 75,000 | $1,362,000 | thousands by filing date | put |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 550,000 | $1,358,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 100,000 | $1,331,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 10,240 | $1,317,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 18,674 | $1,288,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 146,950 | $1,284,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 46,108 | $1,265,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 15,478 | $1,258,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 117,591 | $1,255,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 10,857 | $1,253,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 24,050 | $1,247,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 283,249 | $1,226,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 41,309 | $1,224,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 6,302 | $1,222,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 97,032 | $1,193,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 31,626 | $1,193,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 87,425 | $1,192,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 27,725 | $1,166,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 185,208 | $1,161,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 196,584 | $1,142,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 19,700 | $1,134,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 75,140 | $1,134,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 183,511 | $1,118,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 89,135 | $1,092,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 2,524 | $1,069,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 11,657 | $1,065,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 210,540 | $1,063,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 45,000 | $1,051,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 285,973 | $1,044,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 18,123 | $1,042,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 46,331 | $1,042,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 134,169 | $1,030,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 81,523 | $1,028,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 75,000 | $1,011,000 | thousands by filing date | call |
| ROLLINS INC COM | 775711104 | Stock | 34,000 | $996,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 47,044 | $988,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 16,383 | $974,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 119,039 | $958,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 20,188 | $957,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 120,309 | $950,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 66,673 | $949,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 25,674 | $943,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 21,585 | $931,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 12,938 | $920,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 30,024 | $918,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,163 | $890,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 57,042 | $889,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 30,662 | $872,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 75,515 | $869,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 22,648 | $865,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,263 | $858,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 67,578 | $852,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 58,507 | $840,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 39,830 | $838,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 54,942 | $830,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 23,613 | $829,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 286,112 | $821,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 28,137 | $814,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 59,361 | $814,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 10,245 | $809,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 8,996 | $785,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 88,280 | $785,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 14,785 | $781,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 22,999 | $768,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 63,153 | $766,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 26,833 | $755,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 140,000 | $753,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 30,338 | $752,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 50,171 | $745,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 32,000 | $738,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 54,736 | $731,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 19,263 | $721,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 11,375 | $719,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 7,229 | $716,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 55,149 | $715,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 91,326 | $697,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 3,192 | $694,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 7,804 | $683,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 217,885 | $673,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 63,136 | $636,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 23,556 | $628,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 107,000 | $614,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 56,218 | $608,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 44,439 | $589,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 6,676 | $583,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 30,274 | $582,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 19,957 | $580,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 2,016 | $569,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 19,664 | $568,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 108,361 | $561,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 127,206 | $548,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 48,547 | $544,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 86,602 | $540,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 61,014 | $517,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 24,344 | $517,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 36,299 | $494,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 7,857 | $484,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 11,644 | $472,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 11,977 | $470,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 5,557 | $466,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 13,387 | $454,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 4,308 | $450,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 4,831 | $449,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 14,976 | $444,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 83,198 | $439,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 4,477 | $435,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 17,091 | $435,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 3,373 | $432,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 30,560 | $431,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 4,606 | $415,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 28,320 | $413,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 10,374 | $410,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 46,897 | $402,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 25,028 | $399,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 29,579 | $394,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 5,345 | $381,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 60,184 | $367,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 21,305 | $364,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 19,065 | $361,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 80,261 | $354,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 9,248 | $348,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 21,268 | $342,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,422 | $341,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 5,540 | $340,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 41,947 | $333,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 22,270 | $331,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 44,959 | $329,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 3,062 | $325,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 8,800 | $321,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,891 | $315,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 16,842 | $315,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 18,185 | $315,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 14,401 | $314,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 6,594 | $314,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 22,452 | $311,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 18,912 | $305,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 15,777 | $302,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 3,580 | $301,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 58,569 | $301,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 21,759 | $300,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 12,176 | $295,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 33,431 | $289,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 5,384 | $289,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,465 | $279,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 18,172 | $278,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 26,588 | $269,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 33,372 | $266,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 14,587 | $264,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 2,100 | $263,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 3,606 | $259,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 18,714 | $258,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 2,820 | $253,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 805 | $252,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 17,287 | $245,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 8,990 | $241,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,987 | $236,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 30,743 | $230,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 27,819 | $228,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 18,466 | $228,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,550 | $226,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,326 | $226,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 19,808 | $226,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,049 | $224,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,189 | $224,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 17,022 | $223,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 16,833 | $222,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 4,210 | $221,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 9,451 | $221,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,783 | $220,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 7,023 | $220,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 3,029 | $219,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 807 | $218,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 15,614 | $217,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 14,003 | $214,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 5,449 | $212,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 10,901 | $211,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,592 | $210,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 3,973 | $209,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,597 | $209,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 15,703 | $209,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 768 | $207,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,768 | $206,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 2,406 | $205,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 6,985 | $204,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 1,775 | $203,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 13,636 | $202,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 14,138 | $199,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 20,311 | $194,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 24,060 | $193,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 19,954 | $192,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 13,589 | $188,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 10,690 | $176,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 11,115 | $175,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 11,097 | $174,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 11,254 | $173,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 15,010 | $172,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 13,200 | $165,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 11,162 | $164,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 15,495 | $161,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 12,127 | $158,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 11,590 | $157,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 15,143 | $131,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 11,515 | $118,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,567 | $113,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 10,687 | $113,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 11,202 | $102,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 12,171 | $70,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 10,100 | $69,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 11,783 | $65,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 1,005 | $60,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 21,700 | $51,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 652 | $45,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 17,088 | $37,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 17,000 | $35,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 596 | $18,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 300 | $11,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 238 | $8,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 348 | $7,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 92 | $6,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 13 | $1,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 11 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-16-004095 | this filing | 2016-11-02 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001172661-16-004351 | base | 2016-11-17 | acceptance time not in the bulk data set |