13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-07-12, with 4,557 holding rows worth $13,812,074,000.
- Accession
- 0001580642-16-009717
- Filer
- CIK 1540235
- Filed
- 2016-07-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 4,820 entries on the cover page, a total value of $13,812,074,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $13,812,074,000 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 |
|---|---|---|---|---|---|---|
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 7,000 | $15,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 15,000 | $15,000 | thousands by filing date | principal |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 1,000 | $15,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 592 | $15,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 900 | $15,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 591 | $15,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,010 | $15,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 3,700 | $15,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,400 | $14,000 | thousands by filing date | call |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $14,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 400 | $14,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 7,000 | $14,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 3,000 | $14,000 | thousands by filing date | call |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 500 | $14,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 253 | $14,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 280 | $14,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,050 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 375 | $14,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 495 | $14,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 541 | $14,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 930 | $14,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 400 | $14,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 340 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 333 | $14,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 655 | $14,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 3,080 | $14,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 1,100 | $14,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 1,043 | $14,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 775 | $14,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 1,065 | $14,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 650 | $14,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 586 | $14,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 300 | $14,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,200 | $14,000 | thousands by filing date | call |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 943 | $14,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 10 | $14,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 195 | $14,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 5,300 | $14,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,900 | $14,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 900 | $14,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 810 | $14,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 1,450 | $14,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 289 | $14,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 235 | $14,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 550 | $14,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 11,019 | $14,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 400 | $14,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 13,000 | $14,000 | thousands by filing date | principal |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 330 | $14,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,000 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 709 | $14,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 750 | $14,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 6,550 | $14,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 948 | $14,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 668 | $14,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 1,045 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 1,457 | $14,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 550 | $14,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 4,000 | $14,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 5,000 | $14,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 2,116 | $14,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 473 | $13,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 181 | $13,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 3,300 | $13,000 | thousands by filing date | call |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 216 | $13,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 791 | $13,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 197 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 290 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 450 | $13,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 450 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 1,000 | $13,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,502 | $13,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 291 | $13,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 500 | $13,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 725 | $13,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 1,477 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 916 | $13,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,425 | $13,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 836 | $13,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 1,350 | $13,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 230 | $13,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 573 | $13,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 600 | $13,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,100 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 860 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 231 | $13,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 955 | $13,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 226 | $13,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 360 | $13,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 723 | $13,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 1,000 | $13,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 750 | $13,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 835 | $13,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 481 | $13,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 5,000 | $13,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 587 | $13,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 1,031 | $13,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 3,500 | $13,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 3,000 | $13,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 1,000 | $13,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 250 | $13,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 500 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 500 | $13,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 869 | $13,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,625 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 2,022 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 7,941 | $13,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 18,000 | $13,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 405 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K729 | Cmn | 2,000 | $13,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 441 | $12,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 24,800 | $12,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,344 | $12,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 600 | $12,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 443 | $12,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 929 | $12,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 400 | $12,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 954 | $12,000 | thousands by filing date | |
| CUBESMART COM | 229663109 | REIT | 402 | $12,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,000 | $12,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 260 | $12,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 232 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 140 | $12,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 700 | $12,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 925 | $12,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 10 | $12,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 400 | $12,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 870 | $12,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 650 | $12,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 222 | $12,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 609 | $12,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,018 | $12,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 392 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 200 | $12,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 200 | $12,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 397 | $12,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 394 | $12,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,000 | $12,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 639 | $12,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 600 | $12,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 500 | $12,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,025 | $12,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 2,110 | $12,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 335 | $12,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,500 | $12,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 13,000 | $12,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 1,946 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 14,370 | $12,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 2,453 | $12,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 263 | $12,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,000 | $12,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 9,400 | $12,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 5,109 | $12,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 15,000 | $12,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 5,000 | $12,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 150 | $12,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 900 | $12,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 20,000 | $12,000 | thousands by filing date | principal |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,000 | $12,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 230 | $12,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 100 | $11,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 105 | $11,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,740 | $11,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,400 | $11,000 | thousands by filing date | call |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 800 | $11,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 471 | $11,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 519 | $11,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 425 | $11,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 171 | $11,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 423 | $11,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 1,700 | $11,000 | thousands by filing date | call |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 500 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 457 | $11,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 3,000 | $11,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 517 | $11,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,000 | $11,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 649 | $11,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 300 | $11,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 900 | $11,000 | thousands by filing date | call |
| FIBROGEN INC | 31572Q808 | COM | 659 | $11,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 2,000 | $11,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 808 | $11,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 735 | $11,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,750 | $11,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 2,000 | $11,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,000 | $11,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,320 | $11,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 975 | $11,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,400 | $11,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 606 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 330 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 522 | $11,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 500 | $11,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 950 | $11,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 600 | $11,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,069 | $11,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,000 | $11,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 209 | $11,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 1,437 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 805 | $11,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 500 | $11,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 241 | $11,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 701 | $11,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 950 | $11,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 1,500 | $11,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 400 | $11,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 280 | $11,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 392 | $11,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 675 | $11,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $11,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 568 | $11,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 380 | $11,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 1,800 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 223 | $11,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 2,785 | $11,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 23,100 | $11,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,500 | $11,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 1,000 | $11,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,000 | $11,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $11,000 | thousands by filing date | principal |
| EATON VANCE | 27826G109 | SH BEN INT | 727 | $11,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 127 | $11,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 9,004 | $11,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 2,600 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 300 | $11,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 1,000 | $11,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,137 | $11,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 10,000 | $11,000 | thousands by filing date | principal |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 682 | $11,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 18,400 | $11,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $11,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 500 | $10,000 | thousands by filing date | put |
| DYCOM INDS INC COM | 267475101 | Stock | 110 | $10,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 485 | $10,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 500 | $10,000 | thousands by filing date | call |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 130 | $10,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,200 | $10,000 | thousands by filing date | put |
| CONMED CORP COM | 207410101 | Stock | 200 | $10,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 200 | $10,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 120 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 500 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 426 | $10,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 441 | $10,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 341 | $10,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 14,781 | $10,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 904 | $10,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 1,200 | $10,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 300 | $10,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 107 | $10,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 327 | $10,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 323 | $10,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 2,400 | $10,000 | thousands by filing date | put |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 276 | $10,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,000 | $10,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 400 | $10,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 925 | $10,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,488 | $10,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 94 | $10,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 900 | $10,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 412 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 660 | $10,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $10,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 3,200 | $10,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 286 | $10,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 233 | $10,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 6,200 | $10,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,511 | $10,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 15,300 | $10,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,000 | $10,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,100 | $10,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 800 | $10,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 262 | $10,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 11,000 | $10,000 | thousands by filing date | principal |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 500 | $10,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,235 | $10,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 4,089 | $10,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,000 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 300 | $10,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 1,200 | $10,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,000 | $10,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 276 | $10,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,000 | $10,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,000 | $10,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 2,000 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 5,000 | $10,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,150 | $10,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,741 | $10,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 2,085 | $10,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 200 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 160 | $10,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 500 | $9,000 | thousands by filing date | put |
| Amgen Inc. | 031162100 | COM | 1,800 | $9,000 | thousands by filing date | put |
| VanEck Merk Gold Trust | 921078101 | SHS | 650 | $9,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 200 | $9,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 118 | $9,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 50 | $9,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 228 | $9,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 137 | $9,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 225 | $9,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 896 | $9,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 300 | $9,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 422 | $9,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 500 | $9,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 840 | $9,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 135 | $9,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 932 | $9,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 200 | $9,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 625 | $9,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 480 | $9,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 5,313 | $9,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 400 | $9,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 887 | $9,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 893 | $9,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 350 | $9,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 870 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 10,000 | $9,000 | thousands by filing date | call |
| INPHI CORP | 45772F107 | COM | 294 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 1,216 | $9,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,200 | $9,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 120 | $9,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,232 | $9,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 800 | $9,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 700 | $9,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 200 | $9,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 400 | $9,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,000 | $9,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 1,000 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 300 | $9,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,000 | $9,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,620 | $9,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 583 | $9,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 900 | $9,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,695 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 500 | $9,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 1,120 | $9,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 432 | $9,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 300 | $9,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 234 | $9,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 571 | $9,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 1,275 | $9,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 100 | $9,000 | thousands by filing date | call |
| IMAGE SENSING SYS INC | 45244C104 | COM | 4,000 | $9,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,000 | $9,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 500 | $9,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 390 | $9,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 500 | $9,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 710 | $9,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 1,382 | $9,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 8,456 | $9,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 5,536 | $9,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 546 | $9,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 2,998 | $9,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 837 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 300 | $9,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,000 | $9,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 2,187 | $9,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 1,197 | $9,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 2,800 | $9,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 5,250 | $9,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 600 | $9,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 13,045 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 750 | $9,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 1,044 | $9,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 1,293 | $9,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 300 | $8,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 140 | $8,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 5,000 | $8,000 | thousands by filing date | put |
| VANGUARD MALVERN FDS | 922020805 | SHS | 161 | $8,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 200 | $8,000 | thousands by filing date | put |
| OTTER TAIL CORP | 689648103 | COM | 250 | $8,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 1,000 | $8,000 | thousands by filing date | call |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 600 | $8,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 320 | $8,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 400 | $8,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 200 | $8,000 | thousands by filing date | call |
| AZZ INC COM | 002474104 | Stock | 131 | $8,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 300 | $8,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 320 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 300 | $8,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 1,000 | $8,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 1,890 | $8,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 1,100 | $8,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 271 | $8,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 200 | $8,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 596 | $8,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,000 | $8,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 260 | $8,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 400 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 115 | $8,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 168 | $8,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 761 | $8,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 249 | $8,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,000 | $8,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 550 | $8,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 442 | $8,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 207 | $8,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 477 | $8,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 275 | $8,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,000 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 441 | $8,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 8,000 | $8,000 | thousands by filing date | principal |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 4,117 | $8,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 765 | $8,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 2,400 | $8,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 500 | $8,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 200 | $8,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 153 | $8,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 5,000 | $8,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 402 | $8,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 1,000 | $8,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 396 | $8,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 8,000 | $8,000 | thousands by filing date | principal |
| RIGNET INC | 766582100 | COM | 600 | $8,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 1,147 | $8,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 15,405 | $8,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 500 | $8,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,200 | $8,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $8,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,063 | $8,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 5,000 | $8,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,600 | $8,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 2,000 | $8,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,000 | $8,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 4,419 | $8,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 7,814 | $8,000 | thousands by filing date | |
| CSX CORP | 126408GA5 | US DOMESTIC | 3,000 | $8,000 | thousands by filing date | principal |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 286 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 316 | $8,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,500 | $8,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 8,000 | $8,000 | thousands by filing date | principal |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 300 | $8,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 8,000 | $8,000 | thousands by filing date | principal |
| CERES INC | 156773400 | COM NEW | 20,250 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 400 | $8,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 400 | $8,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 1,300 | $8,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 700 | $8,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 1,000 | $8,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 4,138 | $8,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 201 | $7,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 4,000 | $7,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 6,200 | $7,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 800 | $7,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 275 | $7,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 100 | $7,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,000 | $7,000 | thousands by filing date | put |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 600 | $7,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 175 | $7,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 309 | $7,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 1,150 | $7,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 355 | $7,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 624 | $7,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 300 | $7,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 800 | $7,000 | thousands by filing date | put |
| ICU MED INC | 44930G107 | COM | 59 | $7,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 500 | $7,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 700 | $7,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 569 | $7,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 420 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 375 | $7,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 600 | $7,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 300 | $7,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 200 | $7,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 417 | $7,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 500 | $7,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 250 | $7,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 15,812 | $7,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,500 | $7,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 205 | $7,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 2,000 | $7,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 232 | $7,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 852 | $7,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 300 | $7,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 1,500 | $7,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 216 | $7,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,040 | $7,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 583 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,000 | $7,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 160 | $7,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 783 | $7,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 1,000 | $7,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 6,000 | $7,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 200 | $7,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 2,700 | $7,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 6,000 | $7,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 7,000 | $7,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 145 | $7,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 300 | $7,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 100 | $7,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 300 | $7,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 5,000 | $7,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074QAF9 | CNV | 8,000 | $7,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 7,000 | $7,000 | thousands by filing date | principal |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 500 | $7,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,000 | $7,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 10,000 | $7,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-16-009717 | this filing | 2016-07-12 | acceptance time not in the bulk data set |