13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-10-09, with 4,491 holding rows worth $11,324,244,000.
- Accession
- 0001580642-15-004643
- Filer
- CIK 1540235
- Filed
- 2015-10-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 4,780 entries on the cover page, a total value of $11,324,244,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,324,244,000 with VALUE read as thousands by filing date, 13F file number 028-14616. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| GROUPON INC | 399473107 | COMMON STOCK | 8,220 | $27,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 429 | $27,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 4,200 | $27,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 690 | $27,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 410 | $27,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 1,000 | $27,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 720 | $27,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 1,551 | $27,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 1,481 | $27,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 2,000 | $27,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 3,800 | $27,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 900 | $27,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 1,000 | $26,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 2,029 | $26,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 805 | $26,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 764 | $26,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 900 | $26,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 429 | $26,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 2,027 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 925 | $26,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,801 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 149 | $26,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 8,781 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 281 | $26,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 976 | $26,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 3,205 | $26,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 4,800 | $26,000 | thousands by filing date | call |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 490 | $26,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 2,000 | $26,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 502 | $26,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 2,000 | $26,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 945 | $26,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 690 | $26,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 850 | $26,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 2,101 | $26,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 350 | $26,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 30,000 | $26,000 | thousands by filing date | principal |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 1,482 | $26,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 1,161 | $26,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,297 | $26,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 2,000 | $26,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,549 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 1,000 | $26,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 1,000 | $26,000 | thousands by filing date | |
| CREDIT SUISSE AG VELCITYSHRES 2X VIX SH-TRM ETN | 22539T423 | ETF | 2,166 | $26,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 1,000 | $25,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 793 | $25,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 430 | $25,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 500 | $25,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 1,170 | $25,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 500 | $25,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 5,332 | $25,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,750 | $25,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 900 | $25,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 1,870 | $25,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 578 | $25,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,059 | $25,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,000 | $25,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 900 | $25,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 1,386 | $25,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 964 | $25,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,800 | $25,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 274 | $25,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 750 | $25,000 | thousands by filing date | |
| AIRGAS INC | 009363102 | COM | 279 | $25,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 6,972 | $25,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 423 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 482 | $25,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 400 | $25,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 1,173 | $25,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 1,048 | $25,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 1,880 | $25,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 731 | $25,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 500 | $25,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 3,700 | $25,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 1,669 | $24,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 250 | $24,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 335 | $24,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 6,500 | $24,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 136 | $24,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 361 | $24,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 5,076 | $24,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 23,500 | $24,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 207 | $24,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,761 | $24,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 2,600 | $24,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 574 | $24,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 1,199 | $24,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 1,200 | $24,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 900 | $24,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 1,181 | $24,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 500 | $24,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 4,000 | $24,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 1,035 | $24,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 789 | $24,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 1,098 | $24,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 2,104 | $24,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,860 | $24,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,602 | $24,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 925 | $24,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 139,602 | $24,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 662 | $24,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 4,032 | $24,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,600 | $24,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 2,050 | $24,000 | thousands by filing date | |
| FEI CO | 30241L109 | COM | 330 | $24,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 505 | $24,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 26,000 | $24,000 | thousands by filing date | principal |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 1,500 | $24,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 24,000 | $24,000 | thousands by filing date | principal |
| GP STRATEGIES CORP | 36225V104 | COM | 1,044 | $24,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,100 | $24,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 1,968 | $24,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 1,100 | $24,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 500 | $24,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 1,270 | $24,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 3,200 | $24,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 833 | $23,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 576 | $23,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 1,225 | $23,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 801 | $23,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 1,700 | $23,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,557 | $23,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 222 | $23,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 446 | $23,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,100 | $23,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,626 | $23,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 575 | $23,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 3,636 | $23,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 28,000 | $23,000 | thousands by filing date | principal |
| BARNES & NOBLE ED INC | 06777U101 | COM | 1,837 | $23,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 12,000 | $23,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 1,300 | $23,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,400 | $23,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 3,910 | $23,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 1,417 | $23,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 18,000 | $23,000 | thousands by filing date | principal |
| VALHI INC NEW | 918905100 | COM | 12,194 | $23,000 | thousands by filing date | |
| PHILIPPINE LONG DISTANCE TEL | 718252604 | SPONSORED ADR | 488 | $23,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 917 | $23,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 8,045 | $23,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 5,305 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 535 | $23,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,500 | $23,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 3,300 | $22,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 707 | $22,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,291 | $22,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 159 | $22,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 426 | $22,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 245 | $22,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 391 | $22,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 753 | $22,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 380 | $22,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 2,200 | $22,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 1,000 | $22,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 560 | $22,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 2,000 | $22,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 3,488 | $22,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 4,000 | $22,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 3,000 | $22,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 12,102 | $22,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 1,000 | $22,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 300 | $22,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 24,065 | $22,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 1,159 | $22,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,334 | $22,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 1,250 | $22,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 1,000 | $22,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 304 | $22,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 256 | $22,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 904 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 400 | $22,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 23,000 | $22,000 | thousands by filing date | principal |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 1,100 | $22,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 26,000 | $22,000 | thousands by filing date | principal |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,650 | $22,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 30,000 | $22,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 628 | $21,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 250 | $21,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 1,070 | $21,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 710 | $21,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 636 | $21,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 300 | $21,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 2,041 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 1,000 | $21,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 600 | $21,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,000 | $21,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 1,866 | $21,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 1,572 | $21,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 501 | $21,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 437 | $21,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 996 | $21,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,879 | $21,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 119 | $21,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 807 | $21,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 965 | $21,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,536 | $21,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,543 | $21,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 750 | $21,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 1,375 | $21,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 4,991 | $21,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 62,340 | $21,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 200 | $21,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,045 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 1,000 | $21,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 611 | $21,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 1,250 | $21,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 22,000 | $21,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $21,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 21,000 | $21,000 | thousands by filing date | principal |
| NIKE,Inc. Class B | 654106103 | COM | 500 | $20,000 | thousands by filing date | call |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 500 | $20,000 | thousands by filing date | call |
| WALKER&DUNLOPINC | 93148P102 | STOK | 765 | $20,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 369 | $20,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 200 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 759 | $20,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 1,099 | $20,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 189 | $20,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 309 | $20,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 775 | $20,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 447 | $20,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 988 | $20,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,889 | $20,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 390 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 450 | $20,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 4,500 | $20,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,000 | $20,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 400 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 1,028 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 982 | $20,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 609 | $20,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 789 | $20,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,637 | $20,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 500 | $20,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 449 | $20,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 750 | $20,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,840 | $20,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 627 | $20,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 4,000 | $20,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 456 | $20,000 | thousands by filing date | |
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| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,400 | $20,000 | thousands by filing date | |
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| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 660 | $20,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 598 | $20,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,416 | $20,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 3,800 | $20,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 23,000 | $20,000 | thousands by filing date | principal |
| Netflix, Inc | 64110L106 | COM | 2,700 | $19,000 | thousands by filing date | call |
| CRITEO S A SPONS ADS | 226718104 | ADR | 500 | $19,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 506 | $19,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 656 | $19,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 372 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 500 | $19,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,225 | $19,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 619 | $19,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 1,893 | $19,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 657 | $19,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 700 | $19,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,322 | $19,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 700 | $19,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 1,300 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 500 | $19,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 1,010 | $19,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 1,000 | $19,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,506 | $19,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 2,121 | $19,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,202 | $19,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 375 | $19,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 2,000 | $19,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 1,127 | $19,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 2,718 | $19,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 2,250 | $19,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 1,291 | $19,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 2,200 | $19,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 1,454 | $19,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 1,407 | $19,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 4,600 | $19,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 767 | $19,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 930 | $19,000 | thousands by filing date | |
| CENTRAL GOLDTRUST | 153546106 | TR U | 473 | $19,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 1,000 | $19,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 173 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 21,000 | $19,000 | thousands by filing date | principal |
| Elevance Health, Inc. | 036752103 | COM | 10,000 | $18,000 | thousands by filing date | call |
| VERMILION ENERGY INC COM | 923725105 | Stock | 550 | $18,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,400 | $18,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 390 | $18,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 315 | $18,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 300 | $18,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 427 | $18,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 700 | $18,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 1,500 | $18,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 462 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 190 | $18,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 3,000 | $18,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,000 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 1,374 | $18,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 228 | $18,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 1,340 | $18,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,225 | $18,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 245 | $18,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 982 | $18,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 1,605 | $18,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,642 | $18,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 7,817 | $18,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,971 | $18,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 2,000 | $18,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 500 | $18,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 800 | $18,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,896 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 31,000 | $18,000 | thousands by filing date | principal |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 1,040 | $18,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 6,600 | $18,000 | thousands by filing date | put |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 3,100 | $18,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 13,000 | $18,000 | thousands by filing date | principal |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 168 | $18,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 1,500 | $18,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 160,397 | $18,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,683 | $18,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 300 | $18,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 44,007 | $18,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,363 | $18,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,000 | $18,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 300 | $18,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 810 | $18,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 1,353 | $18,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 201,366 | $18,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 1,000 | $18,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 4,400 | $18,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 7,688 | $18,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 24,000 | $18,000 | thousands by filing date | principal |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 2,515 | $18,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 14,444 | $17,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 400 | $17,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 569 | $17,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 348 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 203 | $17,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 9,323 | $17,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 400 | $17,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 862 | $17,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 627 | $17,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 5,313 | $17,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,797 | $17,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 372 | $17,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,362 | $17,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,262 | $17,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 1,000 | $17,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 1,250 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 615 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 2,000 | $17,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 223 | $17,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 10,000 | $17,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 700 | $17,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 1,143 | $17,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 1,000 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 413 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 511 | $17,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 410 | $17,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 1,007 | $17,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 6,000 | $17,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 2,300 | $17,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 125 | $17,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 469 | $17,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 499 | $17,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,500 | $17,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,100 | $17,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 9,243 | $17,000 | thousands by filing date | |
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| OMEGA PROTEIN CORP | 68210P107 | COM | 1,000 | $17,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 14,140 | $17,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,753 | $17,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 25,000 | $17,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 4,801 | $17,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 1,237 | $17,000 | thousands by filing date | |
| REMY INTL INC NEW | 75971M108 | COM | 579 | $17,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 1,600 | $17,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 2,250 | $17,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 1,329 | $17,000 | thousands by filing date | |
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| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 150 | $16,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 136 | $16,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,000 | $16,000 | thousands by filing date | put |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 10,404 | $16,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 177 | $16,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,288 | $16,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 500 | $16,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 557 | $16,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 4,150 | $16,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 10,000 | $16,000 | thousands by filing date | call |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 450 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 164 | $16,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 628 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 500 | $16,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 150 | $16,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 285 | $16,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 150 | $16,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 800 | $16,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 1,000 | $16,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 1,000 | $16,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 1,000 | $16,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 1,070 | $16,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 675 | $16,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 1,268 | $16,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 576 | $16,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 1,350 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 505 | $16,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 800 | $16,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 963 | $16,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 1,656 | $16,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 1,911 | $16,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,000 | $16,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 827 | $16,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 1,371 | $16,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 2,450 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,044 | $16,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 882 | $16,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,186 | $16,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 17,225 | $16,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 2,000 | $16,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 1,000 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 500 | $16,000 | thousands by filing date | |
| INDIA GLOBALIZATION CAP INC | 45408X118 | W EXP 03/06/201 | 85,900 | $16,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 1,250 | $16,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,002 | $16,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 6,400 | $16,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 2,015 | $16,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 2,000 | $15,000 | thousands by filing date | call |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 296 | $15,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 448 | $15,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 226 | $15,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 360 | $15,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 600 | $15,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 600 | $15,000 | thousands by filing date | |
| HOULIHAN LOKEY INC CL A | 441593100 | Stock | 700 | $15,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 510 | $15,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 200 | $15,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 301 | $15,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 783 | $15,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 1,500 | $15,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 525 | $15,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,400 | $15,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 306 | $15,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,100 | $15,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 1,972 | $15,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 800 | $15,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 2,496 | $15,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,000 | $15,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 250 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 249 | $15,000 | thousands by filing date | |
| BANKUNITED INC | 06652K103 | COM | 424 | $15,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 300 | $15,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 800 | $15,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 500 | $15,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 501 | $15,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 527 | $15,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 844 | $15,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,373 | $15,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 678 | $15,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,000 | $15,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 606 | $15,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,000 | $15,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 2,400 | $15,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 1,100 | $15,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 450 | $15,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 333 | $15,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 333 | $15,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 28,874 | $15,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 15,000 | $15,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 15,000 | $15,000 | thousands by filing date | principal |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 1,000 | $15,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 20,000 | $15,000 | thousands by filing date | principal |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 25,100 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,200 | $15,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 700 | $15,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 163 | $14,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 500 | $14,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 446 | $14,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 2,000 | $14,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 1,080 | $14,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 1,000 | $14,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 696 | $14,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 500 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 500 | $14,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 230 | $14,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 1,312 | $14,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 3,034 | $14,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 600 | $14,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 700 | $14,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 200 | $14,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 487 | $14,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 5,000 | $14,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 452 | $14,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,400 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-15-004643 | this filing | 2015-10-09 | acceptance time not in the bulk data set |