13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 2,861 holding rows worth $28,309,489,000.
- Accession
- 0001403438-17-000007
- Filer
- CIK 1403438
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 2,861 entries on the cover page, a total value of $28,309,489,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $28,309,489,000 with VALUE read as thousands by filing date, 13F file number 028-12526. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 9,988 | $255,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 10,535 | $254,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 26,819 | $254,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 13,432 | $253,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 17,655 | $252,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 4,700 | $252,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 38,557 | $251,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 9,964 | $251,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 7,027 | $251,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 4,563 | $251,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,743 | $250,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 77,529 | $250,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 17,858 | $249,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 7,868 | $249,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 10,000 | $248,000 | thousands by filing date | |
| WAGEWORKS INC | 930427109 | COM | 4,136 | $247,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 35,975 | $247,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 2,299 | $246,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 44,028 | $246,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 2,861 | $245,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 4,961 | $245,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 2,067 | $244,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 2,477 | $244,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 18,860 | $244,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 11,316 | $244,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 7,491 | $243,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 5,280 | $243,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 3,510 | $242,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 1,834 | $242,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 2,268 | $241,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 12,970 | $241,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 4,583 | $241,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 12,546 | $241,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 5,199 | $241,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 9,359 | $241,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 9,565 | $241,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 8,765 | $241,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 27,511 | $240,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 2,442 | $240,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 3,587 | $239,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 6,082 | $239,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 4,784 | $239,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 15,250 | $237,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 15,332 | $237,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 44,624 | $237,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 6,453 | $237,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 6,252 | $236,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 8,485 | $235,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 9,072 | $235,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 6,129 | $234,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 4,063 | $234,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 9,969 | $234,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 15,465 | $233,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 3,973 | $233,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 10,072 | $233,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 4,771 | $232,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 37,495 | $232,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 2,192 | $232,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 8,019 | $231,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 23,149 | $231,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 4,984 | $230,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 15,455 | $230,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 8,782 | $230,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 15,833 | $229,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 6,626 | $229,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 4,184 | $229,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 11,903 | $228,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 10,183 | $228,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 3,460 | $228,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 4,102 | $228,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 3,280 | $228,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 8,742 | $228,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 12,615 | $228,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 18,137 | $228,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 2,571 | $227,000 | thousands by filing date | |
| ORBITAL ATK INC | 68557N103 | COM | 1,702 | $227,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 9,918 | $227,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 11,696 | $226,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 25,861 | $226,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 8,321 | $226,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 14,534 | $226,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 12,550 | $225,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 20,996 | $224,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 2,598 | $223,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 6,429 | $223,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 9,697 | $223,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 23,478 | $223,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 4,856 | $222,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 48,790 | $222,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 2,247 | $222,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 11,045 | $222,000 | thousands by filing date | |
| ESSENT GROUP LTD COM | G3198U102 | Stock | 5,455 | $221,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 4,482 | $221,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 19,187 | $221,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 4,484 | $219,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 1,766 | $219,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 1,685 | $219,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 12,258 | $219,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 9,600 | $219,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 22,141 | $219,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 25,423 | $219,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 14,813 | $218,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 10,521 | $218,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 1,836 | $218,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 16,435 | $218,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 3,550 | $217,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 16,941 | $217,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 6,328 | $217,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 5,758 | $216,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 6,701 | $216,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 16,660 | $216,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 17,080 | $216,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 4,893 | $216,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 5,882 | $216,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D365 | VELOCITY SHS SHO | 13,080 | $216,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 3,498 | $215,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 6,649 | $215,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 12,281 | $215,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 10,291 | $215,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 5,260 | $215,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 6,260 | $215,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 15,093 | $214,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 4,192 | $214,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 10,960 | $214,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 2,637 | $213,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 8,081 | $213,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 5,701 | $213,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 40,350 | $212,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 11,887 | $212,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 5,569 | $212,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 2,567 | $212,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 14,828 | $212,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 27,570 | $212,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 17,866 | $212,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 2,082 | $211,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 16,507 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,444 | $211,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 4,025 | $211,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 7,078 | $210,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 6,867 | $210,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 778 | $209,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 13,717 | $209,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 15,444 | $209,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 4,989 | $208,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 17,300 | $208,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 12,677 | $208,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 12,972 | $208,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 10,250 | $208,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 21,050 | $207,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 2,672 | $207,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 3,658 | $207,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 4,953 | $207,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 7,744 | $207,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 1,054 | $206,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 3,849 | $206,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 9,794 | $206,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 5,967 | $206,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 10,372 | $205,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 8,000 | $204,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 5,108 | $203,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 17,095 | $203,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 10,675 | $202,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 16,753 | $202,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 3,305 | $202,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 8,601 | $202,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 7,043 | $201,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 4,340 | $201,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 5,722 | $201,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 14,362 | $201,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 12,832 | $200,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,954 | $200,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 17,116 | $198,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 11,250 | $198,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 13,600 | $198,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 15,135 | $195,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,288 | $191,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 10,712 | $191,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 11,104 | $190,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 84,966 | $189,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 13,875 | $187,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 48,422 | $186,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 12,561 | $186,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 12,689 | $186,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 13,073 | $183,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 19,515 | $183,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 11,660 | $182,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 13,295 | $180,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 13,516 | $180,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 12,469 | $179,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 11,900 | $178,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 12,083 | $177,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 19,838 | $176,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 17,305 | $174,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 165,000 | $173,000 | thousands by filing date | principal |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 11,687 | $171,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 14,002 | $171,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 16,677 | $169,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 11,465 | $169,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 14,900 | $169,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 85,752 | $168,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,602 | $168,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 18,207 | $167,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 12,166 | $166,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 21,423 | $166,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 16,300 | $166,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 17,155 | $166,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 11,559 | $165,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 29,390 | $165,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 12,290 | $164,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 19,256 | $162,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 22,359 | $159,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,052 | $158,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 10,873 | $158,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 13,393 | $158,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 15,641 | $158,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 07/06/2022 | 06741VXF4 | Convertible | 156,000 | $157,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 12,115 | $156,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 12,885 | $155,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 10,940 | $154,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 10,950 | $154,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 11,343 | $154,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 19,557 | $152,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 26,399 | $150,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 46,194 | $150,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 73,000 | $150,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 15,493 | $147,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 11,201 | $147,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 19,292 | $146,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,337 | $146,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 13,044 | $145,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 136,200 | $143,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 15,752 | $142,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 17,514 | $142,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 13,371 | $142,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 12,986 | $142,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 13,712 | $141,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 15,344 | $141,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 16,375 | $140,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 15,584 | $138,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 14,404 | $137,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 16,024 | $137,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 30,100 | $137,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 22,427 | $137,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 10,415 | $136,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 51,211 | $136,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 11,740 | $135,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 19,474 | $134,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 12,300 | $133,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 10,482 | $133,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 26,895 | $133,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 14,174 | $130,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 13,100 | $127,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,144 | $127,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 37,188 | $127,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 29,107 | $125,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,696 | $123,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 21,129 | $123,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 10,030 | $122,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 10,960 | $122,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 11,107 | $121,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 10,216 | $121,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 42,078 | $117,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 102,590 | $117,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 10,092 | $116,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 51,000 | $115,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 16,963 | $115,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,183 | $114,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 10,781 | $110,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 11,729 | $109,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 10,458 | $108,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 10,000 | $104,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 11,623 | $104,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 29,517 | $103,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 28,525 | $100,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 12,508 | $99,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 31,885 | $99,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 12,364 | $97,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 13,964 | $97,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 38,625 | $96,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 19,494 | $92,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 64,800 | $92,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 20,049 | $91,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 19,005 | $91,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 35,355 | $89,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 12,159 | $89,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 18,969 | $87,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 13,550 | $85,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741VXV9 | MTNF 6/0 | 80,000 | $84,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 13,849 | $83,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 15,100 | $82,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 10,989 | $81,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 23,212 | $80,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 12,977 | $80,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 10,008 | $79,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 13,117 | $77,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 14,250 | $77,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 23,958 | $77,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 24,450 | $77,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 18,352 | $76,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 24,609 | $75,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 27,765 | $75,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 25,069 | $72,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 200,123 | $70,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 11,018 | $69,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 12,000 | $69,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,940 | $68,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 11,750 | $67,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 21,404 | $66,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 10,048 | $65,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 17,853 | $65,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 15,255 | $65,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 37,952 | $64,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 06/03/2022 | 06741WCJ7 | Convertible | 62,000 | $64,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 20,972 | $63,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 11,225 | $61,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 21,195 | $59,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 21,000 | $58,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,000 | $58,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741VZP0 | MTNF 8/0 | 57,000 | $57,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 26,049 | $53,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 15,043 | $53,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 19,267 | $50,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 19,210 | $48,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 35,641 | $48,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 29,130 | $47,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 11,380 | $46,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 26,061 | $46,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 19,530 | $42,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 18,100 | $39,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 17,152 | $39,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 10,000 | $35,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 22,715 | $33,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 49,960 | $30,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,572 | $28,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 40,000 | $26,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 22,155 | $23,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 12,492 | $23,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 46,000 | $23,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 12,000 | $22,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $21,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 08/04/2022 | 06744CAN1 | Convertible | 20,000 | $20,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 10,485 | $19,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 10,625 | $19,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 11,920 | $14,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $13,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 35,500 | $13,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 10,000 | $12,000 | thousands by filing date | principal |
| BIOPHARMX CORP | 09072X101 | COM | 40,000 | $11,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 10,000 | $11,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 15,005 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $10,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 12,023 | $9,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 17,000 | $9,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 10,000 | $9,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 15,000 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 13,726 | $6,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 15,832 | $6,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 13,500 | $4,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 78,703 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-17-000007 | this filing | 2017-11-14 | acceptance time not in the bulk data set |