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 |
|---|---|---|---|---|---|---|
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 32,513 | $5,885,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 109,888 | $5,883,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 264,347 | $5,872,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 147,353 | $5,871,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 71,295 | $5,865,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 87,268 | $5,864,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 183,930 | $5,843,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 294,120 | $5,836,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 88,710 | $5,830,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 231,182 | $5,823,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 41,322 | $5,800,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 138,804 | $5,792,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 25,313 | $5,784,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 557,721 | $5,784,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 569,052 | $5,782,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 317,592 | $5,776,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 200,000 | $5,770,000 | thousands by filing date | put |
| LENNAR CORP CL A | 526057104 | Stock | 123,200 | $5,752,000 | thousands by filing date | put |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 112,658 | $5,745,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 261,158 | $5,732,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 205,000 | $5,722,000 | thousands by filing date | put |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 552,789 | $5,722,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 338,082 | $5,719,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 86,755 | $5,713,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 100,000 | $5,689,000 | thousands by filing date | put |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 246,676 | $5,689,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 23,300 | $5,687,000 | thousands by filing date | put |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 40,772 | $5,667,000 | thousands by filing date | |
| VECTREN CORP | 92240G101 | COM | 79,208 | $5,663,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 203,311 | $5,650,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 60,821 | $5,633,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 487,327 | $5,591,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 119,702 | $5,582,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 192,529 | $5,575,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 252,993 | $5,573,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 2,300,000 | $5,566,000 | thousands by filing date | put |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 487,322 | $5,566,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 251,432 | $5,562,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 3,727,000 | $5,556,000 | thousands by filing date | principal |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 117,200 | $5,549,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 163,535 | $5,534,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 286,828 | $5,534,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 441,580 | $5,528,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 209,931 | $5,527,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 114,240 | $5,512,000 | thousands by filing date | |
| CUBESMART COM | 229663109 | REIT | 193,009 | $5,506,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 131,923 | $5,497,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 2,194,350 | $5,486,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 76,500 | $5,476,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 765,908 | $5,475,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 88,308 | $5,445,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 145,645 | $5,444,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 118,043 | $5,441,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 110,015 | $5,440,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 485,011 | $5,436,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 71,561 | $5,410,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 162,194 | $5,410,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 28,534 | $5,407,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 211,615 | $5,383,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 149,434 | $5,377,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 80,915 | $5,368,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 100,096 | $5,364,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 48,234 | $5,363,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 90,000 | $5,358,000 | thousands by filing date | put |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 105,000 | $5,357,000 | thousands by filing date | put |
| NUCOR CORP COM | 670346105 | Stock | 84,300 | $5,349,000 | thousands by filing date | put |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 291,830 | $5,326,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 297,615 | $5,324,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 126,764 | $5,319,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 65,187 | $5,319,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 439,300 | $5,311,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 75,854 | $5,308,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 56,716 | $5,300,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 252,578 | $5,272,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 72,000 | $5,267,000 | thousands by filing date | put |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 135,111 | $5,258,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 81,147 | $5,230,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 188,928 | $5,226,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 32,750 | $5,225,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 97,500 | $5,206,000 | thousands by filing date | call |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 298,516 | $5,203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 119,487 | $5,194,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 57,066 | $5,191,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 25,000 | $5,179,000 | thousands by filing date | put |
| UNITIL CORP COM | 913259107 | Stock | 101,746 | $5,178,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 154,939 | $5,171,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 182,982 | $5,169,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 3,986,000 | $5,163,000 | thousands by filing date | principal |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 190,439 | $5,155,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 50,751 | $5,152,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 167,976 | $5,146,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 71,306 | $5,134,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 106,537 | $5,131,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 241,985 | $5,130,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 54,933 | $5,123,000 | thousands by filing date | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 98,544 | $5,119,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 46,000 | $5,115,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 390,173 | $5,115,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E867 | DORSEY WRGT EMRG | 287,774 | $5,115,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 139,278 | $5,112,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 56,207 | $5,112,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 256,316 | $5,111,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 307,734 | $5,111,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 113,607 | $5,086,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 240,612 | $5,073,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 69,500 | $5,067,000 | thousands by filing date | put |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 157,856 | $5,060,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 163,601 | $5,047,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 148,867 | $5,045,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 32,300 | $5,041,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 110,389 | $5,039,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 40,429 | $5,028,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 61,821 | $5,026,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 70,646 | $5,023,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W700 | MLT FTR CR FXD | 200,000 | $5,020,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 142,458 | $5,013,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 318,177 | $5,011,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 224,046 | $5,005,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 84,145 | $5,002,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 79,628 | $4,994,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 78,884 | $4,994,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W106 | EMMKT DB DEFSV | 200,000 | $4,994,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 97,773 | $4,989,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 130,297 | $4,982,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 209,379 | $4,974,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 206,331 | $4,973,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 127,890 | $4,973,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 358,462 | $4,972,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 98,251 | $4,967,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 70,000 | $4,966,000 | thousands by filing date | call |
| MILLERKNOLL INC | 600544100 | COM | 129,884 | $4,960,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 20,100 | $4,959,000 | thousands by filing date | call |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 89,647 | $4,951,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 6,143,000 | $4,935,000 | thousands by filing date | principal |
| AUTONATION INC COM | 05329W102 | Stock | 118,600 | $4,928,000 | thousands by filing date | call |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 447,630 | $4,919,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 108,179 | $4,912,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 200,753 | $4,904,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 74,645 | $4,894,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 60,000 | $4,892,000 | thousands by filing date | put |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 45,870 | $4,876,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 145,070 | $4,872,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 141,689 | $4,870,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 168,824 | $4,854,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 109,794 | $4,853,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 28,680 | $4,828,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 264,366 | $4,812,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 326,038 | $4,805,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 98,870 | $4,800,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 35,667 | $4,764,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 63,387 | $4,755,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 271,786 | $4,755,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 16,937 | $4,738,000 | thousands by filing date | |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 113,319 | $4,737,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 66,360 | $4,710,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 178,896 | $4,682,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 36,560 | $4,662,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 35,521 | $4,657,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 130,308 | $4,653,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 191,512 | $4,650,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 84,992 | $4,649,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 138,122 | $4,639,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 99,222 | $4,638,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 222,466 | $4,634,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 233,833 | $4,628,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 218,252 | $4,627,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 117,530 | $4,625,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 186,941 | $4,625,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 100,000 | $4,619,000 | thousands by filing date | put |
| TORCHMARK CORP | 891027104 | COM | 53,229 | $4,615,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 59,600 | $4,613,000 | thousands by filing date | call |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 200,938 | $4,612,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 27,846 | $4,603,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 340,625 | $4,598,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 80,000 | $4,596,000 | thousands by filing date | put |
| CHEMED CORP NEW | 16359R103 | COM | 14,344 | $4,584,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 185,798 | $4,573,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 78,107 | $4,569,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 244,532 | $4,561,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 33,000 | $4,560,000 | thousands by filing date | call |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 2,527,000 | $4,551,000 | thousands by filing date | principal |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 126,250 | $4,548,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 332,297 | $4,539,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 22,500 | $4,537,000 | thousands by filing date | put |
| PUBLIC STORAGE COM | 74460D109 | REIT | 22,500 | $4,537,000 | thousands by filing date | call |
| TERADATA CORP DEL | 88076W103 | COM | 120,060 | $4,527,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 199,590 | $4,526,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 178,694 | $4,526,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 472,417 | $4,512,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 177,569 | $4,509,000 | thousands by filing date | principal |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 96,615 | $4,508,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 92,989 | $4,502,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 112,059 | $4,494,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 60,000 | $4,473,000 | thousands by filing date | put |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 276,865 | $4,460,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 23,991 | $4,459,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 143,124 | $4,455,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 143,650 | $4,454,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 126,445 | $4,450,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 147,114 | $4,446,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 43,964 | $4,441,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 175,800 | $4,428,000 | thousands by filing date | call |
| SABRE CORP COM | 78573M104 | Stock | 169,748 | $4,415,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 163,621 | $4,415,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 200,307 | $4,413,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 122,048 | $4,412,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 336,712 | $4,411,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 159,862 | $4,408,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 234,570 | $4,403,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 337,466 | $4,397,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 129,916 | $4,393,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 96,294 | $4,386,000 | thousands by filing date | |
| EATON VANCE CORP | 278265103 | COM NON VTG | 83,342 | $4,381,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 236,701 | $4,363,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 96,000 | $4,349,000 | thousands by filing date | put |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 107,554 | $4,343,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 223,677 | $4,343,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 298,125 | $4,341,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 364,114 | $4,333,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 135,000 | $4,332,000 | thousands by filing date | put |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 114,272 | $4,331,000 | thousands by filing date | |
| STRATEGIC ED INC COM | 86272C103 | Stock | 31,576 | $4,327,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 58,682 | $4,327,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 243,700 | $4,321,000 | thousands by filing date | call |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 268,842 | $4,318,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 62,068 | $4,309,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 336,169 | $4,303,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 107,781 | $4,302,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 106,191 | $4,302,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 52,237 | $4,288,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 143,819 | $4,280,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 170,919 | $4,279,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 20,867 | $4,268,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 662,664 | $4,261,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 71,118 | $4,257,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 454,100 | $4,250,000 | thousands by filing date | call |
| ADIENT PLC | G0084W101 | ORD SHS | 108,000 | $4,245,000 | thousands by filing date | call |
| SNAP INC | 83304A106 | CL A | 500,000 | $4,240,000 | thousands by filing date | call |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 81,127 | $4,237,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 13,422 | $4,232,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 209,197 | $4,225,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 25,150 | $4,222,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 95,397 | $4,221,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 401,012 | $4,215,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y840 | CB OE RUSSELL | 159,787 | $4,212,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 174,825 | $4,205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 59,536 | $4,189,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 594,419 | $4,185,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 300,000 | $4,185,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 46,000 | $4,173,000 | thousands by filing date | put |
| MANULIFE FINL CORP | 56501R106 | COM | 232,400 | $4,155,000 | thousands by filing date | call |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 257,876 | $4,154,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 180,576 | $4,144,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 80,843 | $4,141,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 1,971,048 | $4,139,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 1,705,802 | $4,128,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 166,407 | $4,127,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 90,000 | $4,111,000 | thousands by filing date | call |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 130,827 | $4,107,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 63,751 | $4,106,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 50,027 | $4,104,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 35,000 | $4,103,000 | thousands by filing date | put |
| SASOL LTD | 803866300 | SPONSORED ADR | 105,987 | $4,095,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 40,500 | $4,084,000 | thousands by filing date | principal |
| NEW JERSEY RES CORP | 646025106 | COM | 88,691 | $4,079,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 12,500 | $4,074,000 | thousands by filing date | call |
| EXPRESS INC | 30219E103 | COMMON STOCK | 367,292 | $4,062,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 129,289 | $4,054,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 665,227 | $4,045,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 41,039 | $4,039,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 51,067 | $4,029,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 80,261 | $4,028,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 215,580 | $4,025,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 35,000 | $4,023,000 | thousands by filing date | put |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 35,000 | $4,023,000 | thousands by filing date | call |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 179,725 | $4,003,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 78,300 | $3,995,000 | thousands by filing date | call |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 110,585 | $3,995,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 29,300 | $3,993,000 | thousands by filing date | put |
| HOLOGIC INC | 436440101 | COM | 97,423 | $3,992,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 29,907 | $3,991,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A537 | CBOE VEST S&P | 93,725 | $3,991,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 29,758 | $3,990,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 96,306 | $3,983,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 96,111 | $3,979,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 388,110 | $3,978,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 61,401 | $3,971,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 75,898 | $3,967,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 32,800 | $3,966,000 | thousands by filing date | put |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 51,755 | $3,965,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 228,681 | $3,961,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 86,884 | $3,953,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 56,686 | $3,953,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 60,000 | $3,953,000 | thousands by filing date | put |
| SHUTTERFLY INC | 82568P304 | COM | 60,000 | $3,953,000 | thousands by filing date | call |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 128,808 | $3,949,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 195,558 | $3,941,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 71,784 | $3,937,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 125,323 | $3,936,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 45,135 | $3,926,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 141,103 | $3,923,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 164,076 | $3,919,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 384,100 | $3,918,000 | thousands by filing date | put |
| BANK HAWAII CORP | 062540109 | COM | 49,613 | $3,910,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 25,000 | $3,902,000 | thousands by filing date | put |
| ISHARES TR | 464287713 | US TELECOM ETF | 131,199 | $3,899,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 166,876 | $3,891,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 36,424 | $3,889,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 106,535 | $3,889,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 226,401 | $3,884,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 440,719 | $3,874,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 440,116 | $3,873,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 44,712 | $3,871,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 133,754 | $3,870,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 70,281 | $3,870,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 76,930 | $3,866,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 50,759 | $3,865,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 481,338 | $3,850,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 26,603 | $3,849,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 59,124 | $3,846,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 21,700 | $3,835,000 | thousands by filing date | put |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 102,560 | $3,835,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 32,507 | $3,832,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 136,169 | $3,832,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 35,000 | $3,826,000 | thousands by filing date | put |
| TERADYNE INC | 880770AG7 | NOTE | 2,923,000 | $3,825,000 | thousands by filing date | principal |
| AUTONATION INC COM | 05329W102 | Stock | 92,000 | $3,823,000 | thousands by filing date | put |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 78,954 | $3,822,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 133,972 | $3,821,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 66,467 | $3,817,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 195,059 | $3,809,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 100,000 | $3,808,000 | thousands by filing date | put |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 193,774 | $3,806,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 147,976 | $3,804,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 151,350 | $3,800,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 3,506 | $3,782,000 | thousands by filing date | principal |
| UDR INC COM | 902653104 | REIT | 93,551 | $3,777,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 172,423 | $3,777,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 237,487 | $3,776,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 64,779 | $3,774,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 71,923 | $3,765,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 296,414 | $3,759,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 12,016 | $3,759,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 39,438 | $3,753,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 585,605 | $3,748,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 157,381 | $3,747,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 10,000 | $3,741,000 | thousands by filing date | call |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 149,400 | $3,736,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 51,768 | $3,735,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 207,208 | $3,726,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 150,000 | $3,725,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 121,030 | $3,721,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 18,000 | $3,720,000 | thousands by filing date | put |
| RAYTHEON CO | 755111507 | COM NEW | 18,000 | $3,720,000 | thousands by filing date | call |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 152,053 | $3,703,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 48,784 | $3,700,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 130,746 | $3,700,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 217,136 | $3,692,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 51,790 | $3,680,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 10,000 | $3,671,000 | thousands by filing date | put |
| FLOWSERVE CORP | 34354P105 | COM | 66,729 | $3,650,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 151,585 | $3,648,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 98,420 | $3,641,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 413,684 | $3,641,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 30,437 | $3,633,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 149,790 | $3,627,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 41,833 | $3,626,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 101,371 | $3,620,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 21,175 | $3,617,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 37,331 | $3,615,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 203,216 | $3,615,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 23,210 | $3,607,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 266,636 | $3,607,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 72,054 | $3,603,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 336,816 | $3,601,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 249,913 | $3,591,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 60,816 | $3,581,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 145,255 | $3,581,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 102,225 | $3,580,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 2,327,228 | $3,579,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 239,489 | $3,576,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 36,802 | $3,569,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 27,695 | $3,568,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 129,000 | $3,568,000 | thousands by filing date | call |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 94,308 | $3,558,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 47,657 | $3,557,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 125,530 | $3,556,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 243,169 | $3,555,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 240,216 | $3,554,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 92,257 | $3,553,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 66,938 | $3,545,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 775,318 | $3,543,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 337,423 | $3,543,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 108,307 | $3,539,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 165,264 | $3,532,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 144,925 | $3,525,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 210,771 | $3,524,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 33,037 | $3,513,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 35,721 | $3,512,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 154,632 | $3,510,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 3,500,000 | $3,501,000 | thousands by filing date | principal |
| ATHENE HOLDING LTD | G0684D107 | CL A | 67,849 | $3,499,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 23,175 | $3,498,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 270,290 | $3,497,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 184,913 | $3,495,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 71,889 | $3,490,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 107,209 | $3,490,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 97,551 | $3,486,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 61,275 | $3,482,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E115 | S&P SMLCP INFO | 41,423 | $3,479,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 25,344 | $3,478,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 145,938 | $3,470,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 36,070 | $3,461,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 113,588 | $3,461,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 135,428 | $3,460,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 21,342 | $3,456,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 100,615 | $3,456,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 58,128 | $3,455,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 73,662 | $3,455,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 91,898 | $3,448,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 301,900 | $3,442,000 | thousands by filing date | call |
| AGCO CORP | 001084102 | COM | 56,546 | $3,437,000 | thousands by filing date | |
| WAGEWORKS INC | 930427109 | COM | 80,333 | $3,435,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 63,000 | $3,432,000 | thousands by filing date | call |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 3,000,000 | $3,428,000 | thousands by filing date | principal |
| OCWEN FINL CORP | 675746309 | COM NEW | 870,000 | $3,428,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 120,400 | $3,427,000 | thousands by filing date | call |
| ENOVIS CORP | 194014106 | COMMON STOCK | 94,928 | $3,424,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 32,145 | $3,423,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 61,533 | $3,412,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 15,326 | $3,410,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 300,000 | $3,408,000 | thousands by filing date | put |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 561,006 | $3,406,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 70,000 | $3,405,000 | thousands by filing date | call |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 76,758 | $3,404,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 101,248 | $3,404,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 39,900 | $3,401,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 81,878 | $3,401,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 333,000 | $3,397,000 | thousands by filing date | call |
| KILROY REALTY CORP COM | 49427F108 | REIT | 47,393 | $3,394,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 174,000 | $3,391,000 | thousands by filing date | put |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 62,535 | $3,388,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 181,792 | $3,387,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 477,774 | $3,381,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 49,491 | $3,379,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 364,479 | $3,379,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 144,957 | $3,378,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 262,697 | $3,373,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 97,636 | $3,373,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 50,000 | $3,365,000 | thousands by filing date | put |
| INTERXION HOLDING N.V | N47279109 | SHS | 50,000 | $3,365,000 | thousands by filing date | call |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 56,025 | $3,358,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 256,100 | $3,357,000 | thousands by filing date | call |
| MATTEL INC | 577081102 | COM | 213,434 | $3,351,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 117,600 | $3,341,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 63,715 | $3,333,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 15,964 | $3,329,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 69,910 | $3,325,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 359,134 | $3,308,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 192,055 | $3,304,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 199,754 | $3,304,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 40,054 | $3,302,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 132,600 | $3,285,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 73,188 | $3,278,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 80,000 | $3,272,000 | thousands by filing date | call |
| Oracle Corporation | 68389X105 | COM | 63,100 | $3,253,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 100,000 | $3,248,000 | thousands by filing date | call |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 133,472 | $3,243,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 139,953 | $3,241,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 298,939 | $3,241,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 382,937 | $3,232,000 | thousands by filing date | |
| INVESCO INVESTMENT GRADE DEFENSIVE ETF | 46139W502 | ETF | 128,368 | $3,219,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 29,500 | $3,218,000 | thousands by filing date | put |
| CABLE ONE INC | 12685J105 | COM | 3,644 | $3,218,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 45,000 | $3,216,000 | thousands by filing date | call |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 1,333,203 | $3,213,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 92,901 | $3,197,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 22,100 | $3,195,000 | thousands by filing date | call |
| VERIS RESIDENTIAL INC | 554489104 | COM | 150,000 | $3,189,000 | thousands by filing date | put |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 176,734 | $3,188,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 41,949 | $3,185,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 23,771 | $3,184,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 90,000 | $3,181,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 105,262 | $3,178,000 | thousands by filing date | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 92,164 | $3,178,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 218,998 | $3,177,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 54,437 | $3,175,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 20,000 | $3,170,000 | thousands by filing date | put |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 109,431 | $3,170,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 840,000 | $3,170,000 | thousands by filing date | principal |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 66,985 | $3,167,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 69,421 | $3,166,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 32,913 | $3,166,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 74,259 | $3,158,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 18,000 | $3,156,000 | thousands by filing date | put |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 281,556 | $3,154,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 18,100 | $3,153,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 58,547 | $3,146,000 | thousands by filing date | |
| EVERFORTH INC COM | 00191U102 | Stock | 39,739 | $3,127,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 156,386 | $3,127,000 | 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 |