13F-HR filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-11, with 2,518 holding rows worth $15,726,286,000.
- Accession
- 0001333978-17-000010
- Filer
- CIK 1333978
- Filed
- 2017-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 2,518 entries on the cover page, a total value of $15,726,286,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,725,066,000 with VALUE read as thousands by filing date, 13F file number 028-13650. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 7,245 | $267,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 14,318 | $267,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 3,479 | $267,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 14,953 | $267,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 44,027 | $267,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 18,438 | $265,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 4,304 | $265,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 20,239 | $265,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 2,183 | $264,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 5,975 | $264,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 2,316 | $263,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 1,049 | $263,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 8,999 | $263,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,531 | $263,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,778 | $262,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 16,750 | $262,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 22,459 | $262,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 2,859 | $261,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 20,890 | $261,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 13,229 | $261,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 8,573 | $260,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 92,051 | $260,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 15,926 | $259,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 4,139 | $259,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 10,566 | $259,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 25,854 | $259,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 10,329 | $259,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 13,016 | $258,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 8,736 | $258,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 425,254 | $258,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 8,000 | $258,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 50,515 | $257,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 4,115 | $257,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 12,772 | $257,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 5,956 | $256,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 7,643 | $256,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 30,282 | $255,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 8,986 | $255,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 15,432 | $255,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 8,459 | $254,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 14,615 | $254,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 2,683 | $253,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 12,872 | $253,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 15,737 | $253,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 19,916 | $252,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 26,538 | $252,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 7,129 | $251,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 54,857 | $251,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 4,996 | $250,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 5,740 | $250,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 15,708 | $250,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 9,585 | $250,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 3,168 | $250,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 15,445 | $250,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 3,947 | $249,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 7,345 | $249,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 14,826 | $249,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 7,066 | $249,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 17,746 | $249,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 10,336 | $249,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 12,511 | $248,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 4,957 | $248,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 2,283 | $247,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 16,877 | $247,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 7,258 | $247,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 9,703 | $247,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 4,124 | $246,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 6,409 | $246,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 5,255 | $246,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 4,016 | $246,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 6,833 | $245,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 9,729 | $245,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 2,029 | $244,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 4,218 | $244,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 4,438 | $244,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,230 | $244,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 22,363 | $244,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 9,705 | $243,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 38,847 | $243,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 11,238 | $242,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 44,045 | $242,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 12,830 | $240,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 3,255 | $240,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 22,229 | $240,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 14,770 | $240,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 29,966 | $239,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 7,064 | $238,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 3,561 | $238,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,028 | $238,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 46,689 | $238,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 2,406 | $238,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 2,207 | $238,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 1,644 | $238,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 17,700 | $238,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 4,344 | $237,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 4,005 | $237,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 27,244 | $237,000 | thousands by filing date | |
| EMCOR GROUP INC COM | 29084Q100 | Stock | 3,619 | $236,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 2,580 | $236,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 2,702 | $236,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 13,999 | $236,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 5,388 | $236,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 4,399 | $235,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 16,650 | $235,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 54,273 | $235,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 12,945 | $235,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 4,336 | $234,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 6,659 | $234,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 43,494 | $234,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 7,867 | $234,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 6,689 | $233,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 396 | $233,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 8,183 | $233,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 6,899 | $233,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 3,448 | $232,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 14,488 | $232,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 8,506 | $232,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 4,539 | $231,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 7,295 | $231,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 10,339 | $231,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 2,079 | $231,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 15,342 | $231,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 110,063 | $231,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 5,017 | $230,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 265 | $230,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 8,249 | $230,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 3,673 | $230,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 9,432 | $230,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 5,535 | $229,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 2,731 | $228,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 9,467 | $228,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 16,273 | $228,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 3,066 | $228,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 11,494 | $228,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 8,973 | $227,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 13,050 | $227,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 40,755 | $226,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 3,354 | $226,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 12,547 | $226,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 4,792 | $226,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 4,646 | $226,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 7,835 | $226,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 4,472 | $225,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 17,563 | $225,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 24,426 | $225,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 21,302 | $224,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 16,072 | $223,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 10,182 | $221,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 9,008 | $221,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 4,212 | $220,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 3,335 | $219,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 8,762 | $219,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 17,408 | $219,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 15,789 | $219,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 5,160 | $219,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 8,175 | $218,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 8,664 | $217,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 7,896 | $217,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 12,045 | $217,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 13,834 | $217,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,347 | $216,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 4,675 | $215,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 3,361 | $215,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,729 | $215,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 7,213 | $215,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 24,933 | $213,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 1,729 | $213,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 23,847 | $213,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,707 | $213,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 4,574 | $213,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 5,636 | $213,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 34,414 | $213,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 3,483 | $212,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 5,475 | $212,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 1,526 | $212,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 3,049 | $212,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 22,761 | $212,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 15,833 | $212,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 45,218 | $212,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 2,459 | $211,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,116 | $211,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 5,189 | $211,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 11,985 | $211,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 24,292 | $211,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 25,305 | $211,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 11,725 | $211,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 7,299 | $211,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 15,420 | $211,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 5,287 | $210,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 2,585 | $209,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,455 | $209,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 5,135 | $209,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 3,516 | $209,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 4,125 | $209,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 3,109 | $208,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 8,743 | $207,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 41,438 | $207,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 2,205 | $207,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 19,770 | $207,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 3,821 | $206,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 6,259 | $206,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 5,082 | $206,000 | thousands by filing date | |
| IDEX CORP COM | 45167R104 | Stock | 1,823 | $206,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 6,858 | $206,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 25,460 | $206,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 7,236 | $206,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 3,024 | $205,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 16,686 | $205,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 2,331 | $205,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 3,067 | $204,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 2,196 | $204,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 13,789 | $204,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,650 | $204,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 8,117 | $204,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,339 | $204,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 5,232 | $203,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 7,744 | $203,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 33,468 | $203,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 1,607 | $203,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 16,300 | $203,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 13,653 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 2,468 | $202,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 7,774 | $202,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 7,806 | $202,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 6,436 | $202,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 1,658 | $201,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 3,459 | $201,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 6,031 | $201,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 78,991 | $200,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,516 | $200,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 16,592 | $199,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 3,586 | $199,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 12,446 | $199,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 5,250 | $199,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 12,130 | $198,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 81,638 | $198,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 15,475 | $197,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 59,971 | $197,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 13,836 | $196,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 38,769 | $196,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 14,752 | $196,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 32,967 | $196,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 22,386 | $195,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 12,818 | $195,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 69,700 | $193,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 28,471 | $193,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 12,921 | $192,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 13,385 | $192,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 190,000 | $190,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 17,517 | $190,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 21,984 | $189,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 10,316 | $189,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 60,091 | $189,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 11,250 | $188,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 18,704 | $188,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 13,077 | $188,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 12,714 | $187,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,724 | $187,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,647 | $186,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 14,210 | $184,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,865 | $182,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 22,120 | $182,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 16,163 | $182,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 14,550 | $182,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 30,507 | $181,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 62,290 | $180,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 13,021 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 12,558 | $179,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 47,469 | $178,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 25,148 | $178,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 14,997 | $178,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 18,795 | $177,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 17,255 | $177,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 22,738 | $175,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 313,476 | $175,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 14,014 | $174,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 21,484 | $174,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 10,098 | $174,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 18,903 | $173,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 10,760 | $172,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 40,035 | $172,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 19,500 | $172,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 26,831 | $171,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 16,442 | $171,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 12,841 | $170,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 23,488 | $168,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 14,131 | $168,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 11,258 | $168,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 14,353 | $167,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 18,655 | $167,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 17,608 | $165,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 14,157 | $165,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 12,408 | $163,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 158,000 | $163,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 22,864 | $162,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 12,131 | $162,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 41,725 | $162,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 12,535 | $161,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 12,225 | $161,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 22,452 | $160,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 28,250 | $159,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 10,364 | $159,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 49,323 | $158,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,523 | $157,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 14,704 | $156,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,200 | $154,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 15,597 | $154,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 15,285 | $154,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 16,293 | $153,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 43,730 | $153,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 17,425 | $153,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 12,192 | $151,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 20,532 | $151,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,109 | $151,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 13,992 | $151,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 147,000 | $150,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 381,398 | $148,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 18,500 | $147,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 40,203 | $145,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 11,257 | $145,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 10,848 | $145,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 22,687 | $143,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 11,685 | $140,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 10,203 | $140,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 12,179 | $140,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 21,775 | $140,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,884 | $139,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 65,763 | $138,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 12,312 | $137,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 12,428 | $137,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 11,973 | $137,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 35,210 | $136,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 29,255 | $136,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 10,007 | $133,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,310 | $133,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 12,760 | $133,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 23,581 | $129,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,503 | $123,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 13,057 | $123,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 17,850 | $122,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 14,673 | $121,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 11,049 | $119,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 11,005 | $118,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 116,000 | $118,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 18,439 | $116,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 66,513 | $116,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 100,000 | $116,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 30,475 | $115,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 12,596 | $115,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 10,031 | $114,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 13,260 | $114,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 17,144 | $114,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,532 | $113,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 48,409 | $113,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 10,391 | $112,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,836 | $112,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 11,322 | $111,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,220 | $111,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 25,036 | $111,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 11,200 | $110,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 14,982 | $110,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,110 | $110,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 15,208 | $110,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 27,216 | $109,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 10,000 | $109,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 30,453 | $108,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 77,066 | $107,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 149,992 | $107,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 23,442 | $106,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 11,050 | $103,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 30,174 | $102,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 172,336 | $101,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 11,462 | $100,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 27,210 | $99,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,871 | $99,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 11,193 | $98,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 10,317 | $97,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 10,173 | $97,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 65,010 | $97,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 54,700 | $94,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 10,877 | $92,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 91,000 | $91,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,466 | $90,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 19,522 | $89,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 10,816 | $88,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 15,308 | $88,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 20,317 | $86,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 12,913 | $83,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 12,385 | $80,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 44,676 | $79,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 10,000 | $79,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 12,935 | $78,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,684 | $77,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 12,500 | $76,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 11,897 | $76,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 30,062 | $76,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 11,257 | $74,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 11,014 | $73,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 13,307 | $69,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 21,000 | $67,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 23,815 | $65,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 35,128 | $61,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 12,627 | $61,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 23,331 | $61,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 48,346 | $61,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 14,783 | $60,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 13,123 | $60,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 46,120 | $57,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 14,247 | $57,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 42,748 | $56,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 25,688 | $54,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 22,093 | $54,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 10,301 | $54,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 15,753 | $53,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 20,460 | $52,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 15,271 | $52,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 14,864 | $52,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 38,738 | $51,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 22,000 | $51,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 20,100 | $50,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 34,539 | $48,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 45,000 | $47,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,266 | $46,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 55,000 | $46,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 102,565 | $45,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 33,261 | $42,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 51,928 | $41,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 64,369 | $41,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 28,304 | $41,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,702 | $40,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 39,000 | $39,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 10,700 | $39,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 10,000 | $39,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 10,000 | $39,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 30,392 | $37,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 29,516 | $37,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,987 | $36,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 19,050 | $36,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 19,694 | $34,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 42,215 | $33,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 13,200 | $32,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 20,500 | $31,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 10,084 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $30,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,497 | $29,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 12,475 | $29,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 11,525 | $29,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 21,410 | $28,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 10,075 | $28,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 24,000 | $28,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 10,900 | $28,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $28,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 25,000 | $28,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 19,000 | $27,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 27,000 | $27,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 20,641 | $27,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $27,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 21,000 | $27,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 26,000 | $26,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 16,645 | $26,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 24,000 | $25,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $25,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 30,300 | $25,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 25,000 | $25,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 23,000 | $25,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 19,000 | $24,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 23,000 | $24,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $23,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 21,000 | $23,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 25,000 | $23,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 23,000 | $23,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 23,000 | $23,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 11,000 | $22,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 22,000 | $21,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 20,000 | $21,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 20,000 | $20,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 12,619 | $19,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 10,000 | $19,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 11,346 | $19,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 12,771 | $18,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,549 | $18,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 17,000 | $18,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 17,000 | $18,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,500 | $18,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 19,000 | $18,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 80,932 | $18,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,781 | $17,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 18,000 | $17,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,266 | $17,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 12,900 | $17,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,200 | $17,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 42,370 | $16,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 32,087 | $16,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 17,000 | $16,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 11,000 | $14,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 11,006 | $13,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 13,000 | $13,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 42,000 | $13,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 12,634 | $12,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 16,930 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-17-000010 | this filing | 2017-08-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001333978-18-000005 | base | 2018-02-16 | acceptance time not in the bulk data set |