13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 7,024 holding rows worth $240,501,775,000.
- Accession
- 0001567619-18-006175
- Filer
- CIK 1000275
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 27,379 entries on the cover page, a total value of $240,501,775,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $240,501,775,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAston Asset Management, LLC028-12347
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
- included managerCRAMER ROSENTHAL MCGLYNN LLC028-02028
- included managerLomas Capital Management, LLC028-15278
- included managerCYPRESS FUNDS LLC028-04707
- included managerBlackstart Capital LP028-17673
- included managerContext BH Capital Management, LP028-17208
- included managerAzora Capital LP028-18527
- included managerCARBONADO CAPITAL028-17121
- included managerBlueMar Capital Management, LLC028-15913
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 |
|---|---|---|---|---|---|---|
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 1,698 | $29,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $29,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 6,160 | $29,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 13,427 | $29,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,864 | $29,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 6,327 | $29,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 2,505 | $29,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,011 | $29,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,735 | $29,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 1,761 | $29,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 5,803 | $28,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 1,290 | $28,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 1,563 | $28,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 748 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 2,103 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 265 | $28,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 1,078 | $28,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 1,682 | $28,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 685 | $28,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 960 | $28,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 7,100 | $28,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 1,900 | $28,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 400 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,446 | $28,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 1,051 | $28,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 748 | $28,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 100 | $27,000 | thousands by filing date | put |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 822 | $27,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,298 | $27,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 700 | $27,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 1,017 | $27,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 689 | $27,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,595 | $27,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,812 | $27,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 1,900 | $27,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 26,000 | $27,000 | thousands by filing date | principal |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 13,850 | $27,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 1,050 | $27,000 | thousands by filing date | |
| ISHARES TR | 46435G144 | 10 YR INVT GRD | 566 | $27,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 828 | $26,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 1,071 | $26,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 3,022 | $26,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,488 | $26,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 1,205 | $26,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 1,101 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 460 | $26,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 2,808 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 2,200 | $26,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,000 | $26,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 1,054 | $26,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 846 | $26,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,938 | $26,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,192 | $26,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 132,607 | $26,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 336 | $26,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 7,304 | $26,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 3,000 | $26,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 1,000 | $26,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 26,000 | $26,000 | thousands by filing date | principal |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 600 | $25,000 | thousands by filing date | call |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 1,108 | $25,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 549 | $25,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 490 | $25,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 13,149 | $25,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 4,761 | $25,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 765 | $25,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 1,086 | $25,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 363 | $25,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 25,716 | $25,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 9,143 | $25,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,009 | $25,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 711 | $25,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $25,000 | thousands by filing date | principal |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 300 | $25,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 806 | $25,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 994 | $24,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,615 | $24,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,451 | $24,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 4,163 | $24,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 3,137 | $24,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 1,700 | $24,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 2,376 | $24,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,248 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 420 | $24,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 2,101 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,300 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 865 | $24,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 655 | $24,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,640 | $24,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 750 | $24,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 11,000 | $24,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 3,570 | $24,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 16,000 | $24,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 755 | $24,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 15,000 | $24,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 797 | $23,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 1,088 | $23,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 2,170 | $23,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 2,400 | $23,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 1,952 | $23,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 370 | $23,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,241 | $23,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 24,100 | $23,000 | thousands by filing date | put |
| PCM FD INC | 69323T101 | COM | 1,969 | $23,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 913 | $23,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 23,033 | $23,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 4,172 | $23,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 638 | $23,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 31,600 | $23,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 1,561 | $23,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,470 | $23,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,750 | $23,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,688 | $23,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 21,000 | $23,000 | thousands by filing date | principal |
| ZSCALERINC | 98980G102 | STOK | 531 | $22,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 4,273 | $22,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 2,968 | $22,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 2,250 | $22,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 3,453 | $22,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 1,714 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 526 | $22,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,693 | $22,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 1,024 | $22,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1,200 | $22,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 830 | $22,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 1,061 | $22,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $22,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 1,000 | $22,000 | thousands by filing date | put |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 839 | $22,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 5,000 | $22,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,410 | $22,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 5,676 | $22,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 558 | $22,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 6,115 | $22,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,212 | $22,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 915 | $22,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,000 | $22,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 3,768 | $22,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 4,183 | $22,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 653 | $22,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 1,135 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 434 | $22,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 9,030 | $22,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E750 | FTSE RAFI ASIA | 407 | $22,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 12,502 | $22,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 715 | $21,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 890 | $21,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 596 | $21,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 243 | $21,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 988 | $21,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 6,372 | $21,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,802 | $21,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 3,138 | $21,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 510 | $21,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,835 | $21,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,700 | $21,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 676 | $21,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 500 | $21,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 1,649 | $21,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,293 | $21,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 755 | $21,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 2,800 | $21,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 2,185 | $21,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 21,000 | $21,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,117 | $21,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 7,661 | $21,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746L422 | IPATH S&P500 VIX | 813 | $21,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 7,576 | $21,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 923 | $21,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 1,571 | $21,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 1,373 | $21,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 1,291 | $21,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $21,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 1,094 | $20,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 564 | $20,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 494 | $20,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 334 | $20,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,288 | $20,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 908 | $20,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 778 | $20,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,500 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 706 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,446 | $20,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 535 | $20,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 19,784 | $20,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 8,652 | $20,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 1,340 | $20,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 924 | $20,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 8,758 | $20,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 1,173 | $20,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 523 | $20,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 20,000 | $20,000 | thousands by filing date | principal |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 7,491 | $20,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 10,201 | $20,000 | thousands by filing date | |
| PACER FDS TR | 69374H782 | BNCHMRK RS ETF | 729 | $20,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,370 | $20,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 54 | $19,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 38,848 | $19,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 1,362 | $19,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 912 | $19,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,482 | $19,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 3,210 | $19,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 996 | $19,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,633 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,110 | $19,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 664 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 170 | $19,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $19,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 531 | $19,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 622 | $19,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 538 | $19,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,000 | $19,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 11,105 | $19,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 553 | $19,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 335 | $19,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 3,000 | $19,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,412 | $19,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,533 | $19,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 885 | $19,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $19,000 | thousands by filing date | principal |
| NATIONAL COMM CORP | 63546L102 | COM | 454 | $19,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 3,651 | $19,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 400 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 13,000 | $19,000 | thousands by filing date | principal |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 990 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 801 | $18,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 800 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 375 | $18,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 951 | $18,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,192 | $18,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 1,000 | $18,000 | thousands by filing date | put |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 4,000 | $18,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 200 | $18,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,518 | $18,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 2,925 | $18,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,660 | $18,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 640 | $18,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 500 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 250 | $18,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,300 | $18,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 756 | $18,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 847 | $18,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,500 | $18,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 9,675 | $18,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 2,154 | $18,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 716 | $18,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 262 | $18,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 909 | $18,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 817 | $18,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,000 | $18,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 18,000 | $18,000 | thousands by filing date | principal |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 2,048 | $18,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 553 | $17,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 250 | $17,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 720 | $17,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $17,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,887 | $17,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 504 | $17,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,654 | $17,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,000 | $17,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 1,230 | $17,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 830 | $17,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 3,425 | $17,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 1,437 | $17,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 1,412 | $17,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 600 | $17,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 2,186 | $17,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 441 | $16,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 531 | $16,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 635 | $16,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 1,905 | $16,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 800 | $16,000 | thousands by filing date | put |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 770 | $16,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,002 | $16,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,342 | $16,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 540 | $16,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 917 | $16,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 699 | $16,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,468 | $16,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 2,195 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 815 | $16,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,500 | $16,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 6,121 | $16,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 6,916 | $16,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 9,812 | $16,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 2,293 | $16,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 986 | $16,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 481 | $16,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 5,739 | $16,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $16,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 34,159 | $16,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 659 | $16,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,625 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E851 | DAILY JR BULL 3X | 2,211 | $16,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 2,690 | $16,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 1,004 | $16,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,695 | $16,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 862 | $16,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,466 | $16,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 882 | $16,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 17,000 | $16,000 | thousands by filing date | principal |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 1,004 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 200 | $16,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A306 | VIRTUS ENHCD SRT | 775 | $16,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 614 | $15,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 375 | $15,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 3,040 | $15,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 3,371 | $15,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 521 | $15,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 261 | $15,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $15,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,260 | $15,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 493 | $15,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 2,777 | $15,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 562 | $15,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 481 | $15,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 264 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 625 | $15,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 500 | $15,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 579 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 538 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 285 | $15,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 558 | $15,000 | thousands by filing date | principal |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $15,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 4,714 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 442 | $15,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 3,994 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,123 | $15,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 2,000 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 305 | $15,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 925 | $15,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 875 | $15,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 3,724 | $15,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 524 | $15,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 7,000 | $15,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 891 | $15,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 14,387 | $15,000 | thousands by filing date | |
| COLUMBIA ETF TR II BEYOND BRICS ETF | 19762B103 | CEF | 857 | $15,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $15,000 | thousands by filing date | principal |
| 3PEA INTL INC | 88579C109 | COM | 4,000 | $15,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 326 | $14,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 728 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 300 | $14,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 407 | $14,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 2,305 | $14,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,046 | $14,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 922 | $14,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 2,486 | $14,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 301 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 150 | $14,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 700 | $14,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,520 | $14,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 585 | $14,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $14,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 950 | $14,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 631 | $14,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 393 | $14,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 473 | $14,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 1,200 | $14,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,750 | $14,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,000 | $14,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 306 | $14,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 308 | $14,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 2,391 | $14,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 16,000 | $14,000 | thousands by filing date | principal |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 585 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 517 | $14,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 1,549 | $14,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,884 | $14,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $14,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 500 | $13,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 1,860 | $13,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 715 | $13,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,651 | $13,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 167 | $13,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 406 | $13,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,205 | $13,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 441 | $13,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,015 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 441 | $13,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,289 | $13,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 873 | $13,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 592 | $13,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,346 | $13,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 654 | $13,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 737 | $13,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $13,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 5,386 | $13,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 665 | $13,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 764 | $13,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 14,000 | $13,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 13,000 | $13,000 | thousands by filing date | principal |
| AMBER ROAD INC | 02318Y108 | COM | 1,351 | $13,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 11,000 | $13,000 | thousands by filing date | principal |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 382 | $13,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 5,000 | $13,000 | thousands by filing date | principal |
| UR-ENERGY INC | 91688R108 | COM | 14,499 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 300 | $12,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,100 | $12,000 | thousands by filing date | call |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 448 | $12,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 848 | $12,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 426 | $12,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,604 | $12,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,828 | $12,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 390 | $12,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 510 | $12,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,056 | $12,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 2,222 | $12,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 300 | $12,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 582 | $12,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 1,045 | $12,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 2,295 | $12,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 1,107 | $12,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 2,525 | $12,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 4,936 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 300 | $12,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 21,500 | $12,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 16,274 | $12,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 2,052 | $12,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 540 | $12,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 500 | $12,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 5,541 | $12,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 1,396 | $12,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 2,186 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 400 | $12,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $12,000 | thousands by filing date | principal |
| CHIASMA INC | 16706W102 | COM | 3,187 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 124 | $12,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,523 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 400 | $12,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 301 | $11,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 1,076 | $11,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 1,546 | $11,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 548 | $11,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 287 | $11,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 200 | $11,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 320 | $11,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 4,533 | $11,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 287 | $11,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 415 | $11,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 149 | $11,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 277 | $11,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 130 | $11,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 1,670 | $11,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 5,382 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 152 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 282 | $11,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,102 | $11,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,000 | $11,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,596 | $11,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 448 | $11,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,676 | $11,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 447 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 400 | $11,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 414 | $11,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 898 | $11,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 150 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 800 | $11,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 441 | $11,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 601 | $11,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 1,502 | $11,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 11,245 | $11,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 1,116 | $11,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 712 | $11,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 4,230 | $11,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 841 | $11,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 3,106 | $11,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 399 | $11,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 802 | $11,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 500 | $11,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 346 | $11,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 286 | $10,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,306 | $10,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 367 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 200 | $10,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 450 | $10,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 468 | $10,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 549 | $10,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 917 | $10,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 209 | $10,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 369 | $10,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 960 | $10,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 380 | $10,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,669 | $10,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 4,187 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 545 | $10,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 120 | $10,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 252 | $10,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 804 | $10,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,189 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 206 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 500 | $10,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 551 | $10,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 10,565 | $10,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 3,012 | $10,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 914 | $10,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 266 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-18-006175 | this filing | 2018-11-14 | acceptance time not in the bulk data set |