13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 6,967 holding rows worth $208,022,192,000.
- Accession
- 0001567619-19-004295
- Filer
- CIK 1000275
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 25,895 entries on the cover page, a total value of $208,022,192,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $208,022,192,000 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
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 |
|---|---|---|---|---|---|---|
| HILLTOP HLDGS INC | 432748101 | COM | 8,663 | $154,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 5,742 | $154,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 16,689 | $153,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 6,139 | $153,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 3,457 | $153,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 13,070 | $153,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 15,000 | $153,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 9,873 | $152,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 7,148 | $152,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 2,800 | $151,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 4,900 | $150,000 | thousands by filing date | call |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 2,563 | $150,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 9,219 | $150,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 7,252 | $150,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 3,000 | $150,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 10,414 | $149,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 994 | $149,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 4,655 | $149,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 64,270 | $149,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 5,820 | $149,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 1,034 | $148,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 9,575 | $148,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 12,404 | $147,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 390 | $147,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,288 | $147,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 7,500 | $147,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 8,701 | $147,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 12,185 | $147,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 540,000 | $147,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 5,277 | $146,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 12,500 | $146,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,091 | $145,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 11,580 | $145,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 12,578 | $145,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 165,000 | $145,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 11,885 | $145,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 4,721 | $144,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 8,595 | $144,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 8,451 | $144,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 3,000 | $144,000 | thousands by filing date | call |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 15,380 | $144,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 5,220 | $144,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 2,476 | $143,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 5,016 | $143,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 11,200 | $143,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 249,613 | $143,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 4,530 | $142,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E560 | LADERITE 0-5YR | 5,792 | $142,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 30,100 | $141,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 12,666 | $141,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 9,990 | $141,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 5,826 | $141,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,707 | $141,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 4,800 | $141,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 5,805 | $141,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 2,342 | $141,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 5,800 | $141,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 60,100 | $141,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 44,250 | $140,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 9,656 | $140,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 12,707 | $139,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 199,586 | $139,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 12,696 | $138,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 11,104 | $138,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 26,692 | $138,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 16,532 | $137,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 6,915 | $137,000 | thousands by filing date | |
| VISTRA ENERGY CORP | 92840M300 | UNIT 02/02/2024 | 1,500 | $137,000 | thousands by filing date | principal |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 4,880 | $136,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 1,312 | $136,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 15,838 | $135,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 30,053 | $135,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 35,422 | $135,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 66,000 | $135,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 20,274 | $135,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 8,703 | $135,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 8,500 | $135,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,700 | $134,000 | thousands by filing date | call |
| OXFORD LANE CAP CORP | 691543102 | COM | 13,808 | $134,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 11,167 | $134,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 3,520 | $133,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 11,734 | $133,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 3,792 | $133,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 44,350 | $133,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 2,676 | $132,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 6,179 | $132,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 2,330 | $132,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 11,591 | $132,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 9,255 | $132,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 30,786 | $131,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 3,948 | $131,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 4,142 | $131,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 74,236 | $131,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 6,800 | $131,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 15,426 | $131,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 12,810 | $131,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 3,045 | $130,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 5,112 | $130,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 5,409 | $130,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 56,000 | $130,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 1,196 | $129,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 2,439 | $128,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 4,222 | $128,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 14,194 | $128,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 2,401 | $128,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 7,468 | $127,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 4,500 | $126,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 11,150 | $126,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 5,854 | $125,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 308,045 | $124,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 23,950 | $124,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 5,550 | $124,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 26,622 | $123,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 1,075 | $122,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 8,500 | $122,000 | thousands by filing date | call |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,982 | $122,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 8,525 | $122,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 6,032 | $121,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 9,634 | $121,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 10,000 | $121,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 66,593 | $121,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 1,896 | $120,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 11,273 | $120,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 2,577 | $120,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 3,696 | $120,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 2,392 | $119,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 5,265 | $119,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 14,599 | $119,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 5,053 | $119,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 1,400 | $119,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 5,138 | $119,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 4,881 | $119,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 5,000 | $118,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 24,955 | $118,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 83,000 | $118,000 | thousands by filing date | principal |
| SKYWEST INC COM | 830879102 | Stock | 2,633 | $117,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 12,697 | $117,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 1,689 | $117,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 37,673 | $117,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 25,433 | $116,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 4,500 | $116,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 12,089 | $116,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 11,459 | $116,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 20,686 | $116,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 4,975 | $116,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 3,500 | $115,000 | thousands by filing date | put |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 8,803 | $115,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 11,331 | $115,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 12,119 | $115,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 6,000 | $115,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 5,273 | $115,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 1,387 | $115,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 7,850 | $115,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 9,639 | $115,000 | thousands by filing date | |
| GREENLAND ACQUISITIN CORPORA | G40981139 | SHS | 11,633 | $115,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 79,111 | $114,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33739Q606 | HEITMAN GLOBAL | 6,375 | $114,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,100 | $113,000 | thousands by filing date | call |
| WW GRAINGER INC COM | 384802104 | Stock | 400 | $113,000 | thousands by filing date | put |
| WERNER ENTERPRISES INC | 950755108 | COM | 3,852 | $113,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 8,900 | $113,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 2,095 | $113,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 11,379 | $113,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 15,000 | $113,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 5,800 | $112,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 3,850 | $112,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 1,758 | $112,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 9,000 | $112,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 22,400 | $112,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 2,127 | $111,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 6,713 | $111,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 20,228 | $111,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 149 | $111,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 7,400 | $111,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 14,965 | $110,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 5,900 | $110,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 4,476 | $110,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 3,430 | $110,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 10,453 | $109,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 14,995 | $109,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 15,832 | $108,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 10,200 | $108,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 4,352 | $108,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 5,134 | $107,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 11,865 | $107,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 1,061 | $107,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 58,379 | $107,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 5,065 | $106,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 5,824 | $106,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 1,778 | $106,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,315 | $106,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 6,527 | $106,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 14,459 | $106,000 | thousands by filing date | |
| BANCORPSOUTH BK TUPELO MISS | 05971J102 | COM | 4,064 | $106,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 9,081 | $105,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 5,916 | $105,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2,806 | $105,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 19,925 | $105,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,875 | $105,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 4,274 | $105,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 2,600 | $104,000 | thousands by filing date | call |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 13,399 | $104,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 20,023 | $104,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 3,090 | $104,000 | thousands by filing date | principal |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 10,176 | $103,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 3,675 | $103,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 5,579 | $103,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 52,329 | $103,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 3,355 | $103,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 38,688 | $103,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 4,600 | $103,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 4,500 | $102,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 96,994 | $102,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 2,471 | $101,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 4,074 | $101,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 2,282 | $101,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 8,601 | $101,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 4,216 | $101,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 4,321 | $100,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 2,287 | $100,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 1,127 | $100,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 100,000 | $100,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 2,110 | $100,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 11,001 | $99,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 1,100 | $98,000 | thousands by filing date | call |
| LIVERAMP HLDGS INC COM | 53815P108 | Stock | 2,534 | $98,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 6,086 | $98,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 4,205 | $98,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 2,921 | $98,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 9,260 | $98,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 4,704 | $97,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 7,580 | $97,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 997 | $97,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 12,380 | $97,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 10,200 | $97,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 67,484 | $97,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 4,032 | $97,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 3,337 | $97,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,600 | $96,000 | thousands by filing date | call |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,073 | $96,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 1,885 | $96,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 10,605 | $96,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 8,480 | $96,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 11,000 | $96,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 13,100 | $95,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 4,489 | $95,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 4,721 | $95,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 2,639 | $95,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 2,378 | $95,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 22,285 | $95,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,439 | $95,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 18,855 | $95,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,300 | $94,000 | thousands by filing date | call |
| CORNING INC | 219350105 | COM | 3,100 | $94,000 | thousands by filing date | put |
| SANMINA CORP COM | 801056102 | Stock | 3,884 | $94,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 9,200 | $94,000 | thousands by filing date | put |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 4,991 | $94,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 2,665 | $94,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 6,880 | $94,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 52,040 | $94,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 7,585 | $94,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 9,305 | $94,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 95,000 | $94,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 24,310 | $94,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 4,546 | $93,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 6,300 | $93,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 2,700 | $92,000 | thousands by filing date | call |
| Lowes Companies,Inc. | 548661107 | COM | 1,000 | $92,000 | thousands by filing date | call |
| YETI HLDGS INC COM | 98585X104 | Stock | 6,214 | $92,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 1,496 | $92,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 8,723 | $92,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 5,521 | $92,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 21,326 | $92,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 1,556 | $92,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 6,993 | $91,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 10,500 | $91,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 8,066 | $91,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 23,100 | $91,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 600 | $90,000 | thousands by filing date | put |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 7,946 | $90,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 6,976 | $90,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 4,900 | $90,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 2,500 | $90,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 4,223 | $90,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 2,493 | $90,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 3,057 | $89,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 12,757 | $89,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 2,357 | $89,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E586 | KBW PPTY CASUT | 1,563 | $88,000 | thousands by filing date | |
| DBX ETF TR | 233051192 | XTKR EMGRIN MKTS | 3,737 | $88,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 13,627 | $87,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 3,994 | $87,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,110 | $87,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,762 | $87,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 47,561 | $87,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 3,300 | $87,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 1,000 | $86,000 | thousands by filing date | put |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,372 | $86,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 20,267 | $86,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 6,300 | $86,000 | thousands by filing date | put |
| BANKFINANCIAL CORP | 06643P104 | COM | 5,725 | $86,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 30,072 | $85,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 3,976 | $85,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 3,005 | $85,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 12,886 | $85,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 16,200 | $85,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 5,712 | $85,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,490 | $84,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 3,435 | $84,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 3,211 | $84,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 5,147 | $84,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 24,100 | $84,000 | thousands by filing date | |
| ISHARES TR | 46435U697 | IBONDS DEC | 3,312 | $84,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 443 | $84,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 1,745 | $84,000 | thousands by filing date | principal |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 5,779 | $83,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 1,000 | $83,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 26,709 | $83,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 2,408 | $83,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 11,113 | $83,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 7,658 | $83,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 4,243 | $83,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 464 | $82,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 5,415 | $82,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 4,515 | $82,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 2,945 | $82,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,410 | $82,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 7,990 | $82,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 5,187 | $82,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 8,591 | $82,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 10,625 | $81,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 3,607 | $81,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 5,432 | $81,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 4,500 | $81,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,024 | $81,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 2,827 | $81,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 3,510 | $81,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 17,666 | $81,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 6,500 | $81,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 204,687 | $81,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 2,770 | $80,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 12,685 | $80,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 5,994 | $80,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 1,982 | $80,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 8,994 | $80,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 2,200 | $80,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 5,000 | $80,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 4,015 | $80,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 45,385 | $80,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 2,600 | $79,000 | thousands by filing date | call |
| VIRTUSA CORP | 92827P102 | COM | 1,845 | $79,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 12,300 | $79,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 5,549 | $79,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 2,537 | $79,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 400 | $78,000 | thousands by filing date | call |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 2,579 | $78,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,758 | $78,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 1,100 | $77,000 | thousands by filing date | call |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 1,864 | $77,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 2,700 | $77,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 2,717 | $77,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 3,300 | $77,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 26,146 | $77,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 32,422 | $77,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 4,672 | $77,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 5,800 | $77,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 2,372 | $77,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 10,000 | $77,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 1,382 | $76,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 5,328 | $76,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 6,569 | $76,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 817 | $76,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,400 | $76,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 18,200 | $76,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 5,149 | $76,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,902 | $76,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 400 | $75,000 | thousands by filing date | call |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 1,750 | $75,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 800 | $75,000 | thousands by filing date | call |
| HOPE BANCORP INC | 43940T109 | COM | 6,309 | $75,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 700 | $75,000 | thousands by filing date | call |
| ALITHYA GROUP INC | 01643b106 | COM | 31,821 | $75,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 13,167 | $75,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 2,500 | $75,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 1,182 | $74,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 2,840 | $74,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 3,700 | $74,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 1,790 | $74,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 1,900 | $74,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 1,173 | $74,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 2,951 | $74,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 2,163 | $74,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 17,318 | $74,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 2,713 | $73,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,864 | $73,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 10,044 | $73,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,774 | $73,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 5,719 | $73,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 10,808 | $73,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 30,000 | $73,000 | thousands by filing date | principal |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 18,069 | $73,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,000 | $72,000 | thousands by filing date | call |
| AXOGEN INC | 05463X106 | COM | 3,490 | $72,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 2,521 | $72,000 | thousands by filing date | |
| RH | 74967X103 | COM | 600 | $72,000 | thousands by filing date | put |
| RH | 74967X103 | COM | 600 | $72,000 | thousands by filing date | call |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 978 | $72,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 932 | $72,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 3,650 | $72,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,817 | $72,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 3,662 | $72,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 2,909 | $72,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 2,064 | $71,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 1,832 | $71,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 11,100 | $71,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 1,363 | $71,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 8,167 | $71,000 | thousands by filing date | |
| ISHARES TR | 46435G144 | 10 YR INVT GRD | 1,557 | $71,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 2,880 | $71,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,000 | $70,000 | thousands by filing date | call |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 10,050 | $70,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 3,970 | $70,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 48,507 | $70,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 500 | $69,000 | thousands by filing date | call |
| PETMED EXPRESS INC | 716382106 | COM | 2,963 | $69,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 800 | $69,000 | thousands by filing date | call |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 3,431 | $69,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 5,898 | $69,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 1,619 | $69,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 32,267 | $69,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 4,105 | $69,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 6,151 | $69,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 108,415 | $69,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,727 | $69,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 600 | $68,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 65,183 | $68,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 3,851 | $68,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 3,557 | $68,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,697 | $68,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 2,050 | $68,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 1,100 | $67,000 | thousands by filing date | put |
| CHART INDS INC | 16115Q308 | COM | 1,020 | $67,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,538 | $67,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 7,743 | $67,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 44,050 | $67,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 6,750 | $67,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 5,265 | $67,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 1,694 | $67,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 5,969 | $67,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 1,750 | $67,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 6,000 | $67,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 700 | $66,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 2,200 | $66,000 | thousands by filing date | put |
| MONGODB INC CL A | 60937P106 | Stock | 796 | $66,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 9,722 | $66,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 5,200 | $66,000 | thousands by filing date | call |
| ALLOT LTD | M0854Q105 | SHS | 10,900 | $66,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 3,766 | $66,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 11,251 | $66,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 4,200 | $65,000 | thousands by filing date | call |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 4,975 | $65,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,833 | $65,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 6,531 | $65,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 7,600 | $65,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 8,649 | $64,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 4,664 | $64,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 4,075 | $64,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 4,740 | $64,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 2,057 | $63,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 31,402 | $63,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 1,308 | $63,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,356 | $63,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 1,000 | $63,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 5,457 | $63,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 6,000 | $63,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 3,972 | $63,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 752 | $63,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 28,100 | $63,000 | thousands by filing date | put |
| NUVEEN GA DIVID | 67072B107 | COM | 5,790 | $63,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 954 | $62,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 3,116 | $62,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 2,591 | $62,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 8,250 | $62,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,196 | $62,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 1,809 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 1,163 | $62,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 4,766 | $62,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 2,362 | $61,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 3,775 | $61,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 2,276 | $61,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 2,031 | $61,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 5,494 | $61,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 5,400 | $61,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 15,240 | $61,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 27,141 | $61,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 1,589 | $60,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 4,459 | $60,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 1,740 | $60,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 7,600 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 1,646 | $60,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-004295 | this filing | 2019-02-14 | acceptance time not in the bulk data set |