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 |
|---|---|---|---|---|---|---|
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 1,590 | $24,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 700 | $24,000 | thousands by filing date | call |
| TENABLE HLDGS INC | 88025T102 | COM | 1,106 | $24,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,219 | $24,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,800 | $24,000 | thousands by filing date | call |
| TECHTARGET INC | 87874R100 | COM | 1,929 | $24,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 9,000 | $24,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 300 | $24,000 | thousands by filing date | call |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 616 | $24,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 715 | $24,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 924 | $24,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,918 | $24,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 5,072 | $24,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 5,847 | $24,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 45,115 | $24,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 28,620 | $24,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 1,606 | $24,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,251 | $24,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,215 | $23,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 2,274 | $23,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 800 | $23,000 | thousands by filing date | call |
| XPO INC COM | 983793100 | Stock | 400 | $23,000 | thousands by filing date | put |
| XPO INC COM | 983793100 | Stock | 400 | $23,000 | thousands by filing date | call |
| GENERAL MILLS INC COM | 370334104 | Stock | 600 | $23,000 | thousands by filing date | put |
| FORRESTER RESH INC | 346563109 | COM | 499 | $23,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,960 | $23,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 1,411 | $23,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 6,000 | $23,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,747 | $23,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,420 | $23,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,850 | $23,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 1,750 | $23,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 10,000 | $23,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 4,250 | $23,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,506 | $23,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 964 | $23,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 622 | $22,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 6,000 | $22,000 | thousands by filing date | call |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 621 | $22,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,030 | $22,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 8,044 | $22,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,693 | $22,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,282 | $22,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 2,004 | $22,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 1,625 | $22,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 471 | $22,000 | thousands by filing date | |
| MASTERCRAFT BOAT HOLDINGS IN | 57637H103 | COMMON STOCK | 1,190 | $22,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 885 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 1,110 | $22,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 1,200 | $22,000 | thousands by filing date | call |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $22,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 395 | $22,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 2,741 | $22,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 1,000 | $22,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 6,092 | $22,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 23,300 | $22,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 11,900 | $22,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,785 | $22,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 360 | $22,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 469 | $22,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 1,149 | $22,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E750 | FTSE RAFI ASIA | 451 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 510 | $22,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 200 | $21,000 | thousands by filing date | put |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 435 | $21,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 100 | $21,000 | thousands by filing date | put |
| WHIRLPOOL CORP COM | 963320106 | Stock | 200 | $21,000 | thousands by filing date | put |
| V F CORP COM | 918204108 | Stock | 300 | $21,000 | thousands by filing date | call |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 500 | $21,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 1,165 | $21,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 2,030 | $21,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 290 | $21,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 1,029 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 550 | $21,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,620 | $21,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 6,277 | $21,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 8,356 | $21,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,918 | $21,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 1,009 | $21,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372132 | ORD SHS | 2,100 | $21,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 788 | $20,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 2,000 | $20,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 500 | $20,000 | thousands by filing date | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 400 | $20,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 38,848 | $20,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 1,196 | $20,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1,200 | $20,000 | thousands by filing date | call |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,572 | $20,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 2,795 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,291 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 865 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 409 | $20,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,969 | $20,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 5,175 | $20,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 2,300 | $20,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 600 | $20,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 4,172 | $20,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 6,100 | $20,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 31,836 | $20,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 10,000 | $20,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 5,200 | $20,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 722 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 434 | $20,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 1,000 | $20,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 755 | $20,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 300 | $19,000 | thousands by filing date | call |
| APPFOLIO INC | 03783C100 | COM CL A | 315 | $19,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 3,680 | $19,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 4,397 | $19,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 1,100 | $19,000 | thousands by filing date | call |
| REALTY INCOME CORP COM | 756109104 | REIT | 300 | $19,000 | thousands by filing date | call |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 500 | $19,000 | thousands by filing date | call |
| NORDSTROM INC | 655664100 | COM | 400 | $19,000 | thousands by filing date | call |
| GREEN PLAINS INC | 393222104 | COM | 1,487 | $19,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 1,202 | $19,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,013 | $19,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 2,166 | $19,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1,200 | $19,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 628 | $19,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 876 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 410 | $19,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,638 | $19,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 15,976 | $19,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 521 | $19,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 19,000 | $19,000 | thousands by filing date | principal |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 20,035 | $19,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 6,514 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y651 | NORTH SQUA MCKE | 196 | $19,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 19,000 | $19,000 | thousands by filing date | principal |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 400 | $19,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 500 | $18,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 300 | $18,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 648 | $18,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 582 | $18,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 4,000 | $18,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,710 | $18,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 2,783 | $18,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 612 | $18,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 5,820 | $18,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,935 | $18,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 2,560 | $18,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 13,927 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 584 | $18,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W630 | MEDIA ENTRNMNT | 800 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 700 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 509 | $18,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 10,900 | $18,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 13,000 | $18,000 | thousands by filing date | principal |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 755 | $17,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 800 | $17,000 | thousands by filing date | call |
| NEWELL BRANDS INC COM | 651229106 | Stock | 900 | $17,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 3,674 | $17,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 620 | $17,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,300 | $17,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 271 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $17,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 805 | $17,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 4,860 | $17,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 7,600 | $17,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,164 | $17,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,452 | $17,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 580 | $17,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $17,000 | thousands by filing date | principal |
| PRINCIPAL EXCHANGE-TRADED FD | 74255Y706 | PRINCIPAL ACTV | 700 | $17,000 | thousands by filing date | |
| PACER FDS TR | 69374H782 | BNCHMRK RS ETF | 691 | $17,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 4,271 | $16,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 400 | $16,000 | thousands by filing date | put |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 786 | $16,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 400 | $16,000 | thousands by filing date | put |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 340 | $16,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 1,417 | $16,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 633 | $16,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 900 | $16,000 | thousands by filing date | call |
| HYSTER-YALE INC | 449172105 | CL A | 269 | $16,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 1,156 | $16,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 461 | $16,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2028 CORPORATE BOND ETF | 46138J643 | ETF | 793 | $16,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 4,742 | $16,000 | thousands by filing date | |
| PACER INDUSTRIAL REAL ESTATE ETF | 69374H766 | ETF | 685 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 769 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 681 | $16,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 800 | $16,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 3,120 | $16,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 766 | $16,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,013 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 789 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 613 | $16,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 1,819 | $16,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 15,500 | $16,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 17,000 | $16,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 19,000 | $16,000 | thousands by filing date | principal |
| FGL HLDGS | G3402M102 | ORD SHS | 2,378 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 721 | $16,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 600 | $16,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 1,208 | $16,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 100 | $15,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 500 | $15,000 | thousands by filing date | put |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 133 | $15,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 200 | $15,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 801 | $15,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 400 | $15,000 | thousands by filing date | put |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 479 | $15,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 186 | $15,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 400 | $15,000 | thousands by filing date | call |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,907 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P868 | FRANKLIN DYN MUN | 625 | $15,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 907 | $15,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,500 | $15,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,650 | $15,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,000 | $15,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 9,150 | $15,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,447 | $15,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 21,000 | $15,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 6,500 | $15,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 10,000 | $15,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,000 | $15,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 830 | $15,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 34,000 | $15,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 20,340 | $15,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 1,297 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,466 | $15,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 6,400 | $15,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 7,491 | $15,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $15,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 2,580 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 600 | $15,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 471 | $14,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 300 | $14,000 | thousands by filing date | call |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 940 | $14,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 1,535 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 300 | $14,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 720 | $14,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 1,000 | $14,000 | thousands by filing date | put |
| VEON LTD | 91822M106 | SPONSORED ADR | 6,051 | $14,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 1,455 | $14,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 1,350 | $14,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 8,304 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 616 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 565 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 16,575 | $14,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 9,675 | $14,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 21,584 | $14,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 980 | $14,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 7,891 | $14,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 997 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 341 | $14,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 945 | $14,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 1,697 | $14,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,000 | $14,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 958 | $14,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 585 | $14,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 200 | $14,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 9,131 | $14,000 | thousands by filing date | |
| 3PEA INTL INC | 88579C109 | COM | 4,000 | $14,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 2,200 | $13,000 | thousands by filing date | call |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,170 | $13,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 778 | $13,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 300 | $13,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,610 | $13,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 1,157 | $13,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $13,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 750 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 265 | $13,000 | thousands by filing date | |
| XPERI CORP | 98421B100 | COM | 733 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 423 | $13,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,955 | $13,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 3,869 | $13,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 608 | $13,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 558 | $13,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 282 | $13,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,500 | $13,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 648 | $13,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 19,000 | $13,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 18,970 | $13,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 13,150 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 1,000 | $13,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 3,026 | $13,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $13,000 | thousands by filing date | principal |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 7,825 | $13,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 800 | $13,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 11,093 | $13,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 456 | $13,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 800 | $13,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 1,070 | $13,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 703 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 200 | $13,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 200 | $12,000 | thousands by filing date | put |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 100 | $12,000 | thousands by filing date | call |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,900 | $12,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 663 | $12,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 100 | $12,000 | thousands by filing date | call |
| OCCIDENTAL PETE CORP | 674599105 | COM | 200 | $12,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 900 | $12,000 | thousands by filing date | call |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 897 | $12,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 200 | $12,000 | thousands by filing date | call |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 200 | $12,000 | thousands by filing date | put |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 297 | $12,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 400 | $12,000 | thousands by filing date | put |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 1,380 | $12,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 313 | $12,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 702 | $12,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 600 | $12,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 220 | $12,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 472 | $12,000 | thousands by filing date | |
| ATN INTERNATIONAL INC | 00215F107 | COMMON STOCK | 171 | $12,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 150 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P884 | US MID CP MLTFCT | 449 | $12,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 507 | $12,000 | thousands by filing date | |
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 821 | $12,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 300 | $12,000 | thousands by filing date | put |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,500 | $12,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 300 | $12,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,400 | $12,000 | thousands by filing date | call |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 1,200 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 355 | $12,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,000 | $12,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 500 | $12,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,214 | $12,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 309 | $12,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 540 | $12,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 1,000 | $12,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 3,034 | $12,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 15,355 | $12,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 844 | $12,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 600 | $12,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 13,000 | $12,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 3,625 | $12,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,500 | $12,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 11,000 | $12,000 | thousands by filing date | principal |
| COUNTERPATH CORP | 22228P302 | COM | 9,779 | $12,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 200 | $12,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 500 | $11,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 700 | $11,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 500 | $11,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 100 | $11,000 | thousands by filing date | call |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 1,600 | $11,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 200 | $11,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 200 | $11,000 | thousands by filing date | put |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 348 | $11,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 500 | $11,000 | thousands by filing date | call |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 1,000 | $11,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 855 | $11,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 300 | $11,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 1,100 | $11,000 | thousands by filing date | put |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 739 | $11,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 700 | $11,000 | thousands by filing date | put |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 150 | $11,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 300 | $11,000 | thousands by filing date | call |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 772 | $11,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 4,700 | $11,000 | thousands by filing date | call |
| XBIOTECH INC | 98400H102 | COM | 2,238 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 250 | $11,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,200 | $11,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 842 | $11,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 14,321 | $11,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 841 | $11,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 500 | $11,000 | thousands by filing date | call |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 221 | $11,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 8,562 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 333 | $11,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 554 | $11,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 13,100 | $11,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 7,500 | $11,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 299 | $11,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 898 | $11,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $11,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $11,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,000 | $11,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 896 | $11,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,000 | $11,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 741 | $11,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 17,000 | $11,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 523 | $11,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L106 | COM CL A | 1,056 | $11,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 869 | $10,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 100 | $10,000 | thousands by filing date | put |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 300 | $10,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 5,490 | $10,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 100 | $10,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 4,472 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 198 | $10,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 664 | $10,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 8,140 | $10,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 1,102 | $10,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 3,476 | $10,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 100 | $10,000 | thousands by filing date | put |
| CITRIX SYSTEMS INC | 177376100 | COM | 100 | $10,000 | thousands by filing date | put |
| AMBARELLA INC | G037AX101 | SHS | 300 | $10,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 700 | $10,000 | thousands by filing date | call |
| EGAIN CORP | 28225C806 | COM NEW | 1,500 | $10,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 300 | $10,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 2,009 | $10,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 811 | $10,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 834 | $10,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 510 | $10,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 2,400 | $10,000 | thousands by filing date | call |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 390 | $10,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 500 | $10,000 | thousands by filing date | call |
| HOLLYFRONTIER CORP | 436106108 | COM | 200 | $10,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 551 | $10,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 349 | $10,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 734 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 206 | $10,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,000 | $10,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 570 | $10,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 351 | $10,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,066 | $10,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 4,050 | $10,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 381 | $10,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 4,000 | $10,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,600 | $10,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $10,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 615 | $10,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 907 | $10,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 4,398 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $10,000 | thousands by filing date | principal |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,250 | $10,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 1,000 | $10,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 500 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 400 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B219 | ULSHRT SEMIC NEW | 500 | $10,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 100 | $9,000 | thousands by filing date | put |
| Medtronic Plc | G5960L103 | COM | 100 | $9,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 700 | $9,000 | thousands by filing date | call |
| DOLLAR TREE INC COM | 256746108 | Stock | 100 | $9,000 | thousands by filing date | put |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 300 | $9,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 100 | $9,000 | thousands by filing date | put |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 100 | $9,000 | thousands by filing date | call |
| YUM BRANDS INC COM | 988498101 | Stock | 100 | $9,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,000 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 166 | $9,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 635 | $9,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 726 | $9,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 247 | $9,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 100 | $9,000 | thousands by filing date | call |
| MAXLINEAR INC | 57776J100 | COM | 464 | $9,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 5,084 | $9,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 600 | $9,000 | thousands by filing date | put |
| Matrix Service Company | 576853105 | COM | 500 | $9,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 400 | $9,000 | thousands by filing date | call |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 200 | $9,000 | thousands by filing date | call |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 975 | $9,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,250 | $9,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 500 | $9,000 | thousands by filing date | call |
| VUZIX CORP | 92921W300 | COM NEW | 1,800 | $9,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,534 | $9,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 514 | $9,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,011 | $9,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 510 | $9,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 430 | $9,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 400 | $9,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 2,500 | $9,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $9,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 443 | $9,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 361 | $9,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,077 | $9,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 417 | $9,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 9,900 | $9,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,100 | $9,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 563 | $9,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 2,151 | $9,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 800 | $9,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 342 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 177 | $9,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,150 | $9,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 753 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 355 | $9,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E792 | EMRNG MKT INFR | 279 | $9,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 354 | $9,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 346 | $9,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 862 | $8,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 400 | $8,000 | thousands by filing date | call |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 400 | $8,000 | thousands by filing date | call |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 200 | $8,000 | thousands by filing date | call |
| 1ST SOURCE CORP COM | 336901103 | Stock | 206 | $8,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 200 | $8,000 | thousands by filing date | put |
| SYNOPSYS INC COM | 871607107 | Stock | 100 | $8,000 | thousands by filing date | call |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 200 | $8,000 | thousands by filing date | call |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 200 | $8,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 200 | $8,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 680 | $8,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 235 | $8,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 1,000 | $8,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 200 | $8,000 | thousands by filing date | put |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 300 | $8,000 | thousands by filing date | put |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 259 | $8,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 500 | $8,000 | thousands by filing date | call |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 108 | $8,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,566 | $8,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 232 | $8,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 331 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,000 | $8,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 469 | $8,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,000 | $8,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 285 | $8,000 | 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 |