13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-12, with 4,786 holding rows worth $15,704,875,000.
- Accession
- 0001580642-16-011512
- Filer
- CIK 1540235
- Filed
- 2016-10-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 5,121 entries on the cover page, a total value of $15,704,875,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $15,704,875,000 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 |
|---|---|---|---|---|---|---|
| AEGON N V | 007924103 | NY REGISTRY SHS | 10,756 | $42,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 3,150 | $42,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 850 | $42,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 2,530 | $42,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,600 | $42,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 2,809 | $42,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,832 | $42,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 574 | $42,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 2,500 | $42,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 993 | $42,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 3,014 | $42,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 4,505 | $42,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 3,000 | $42,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 360 | $41,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 4,238 | $41,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 5,432 | $41,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 768 | $41,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 612 | $41,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 617 | $41,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 832 | $41,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 511 | $41,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,550 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 426 | $41,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 29,570 | $41,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 7,317 | $41,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 600 | $41,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 1,900 | $41,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,441 | $41,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 737 | $40,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 2,853 | $40,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 350 | $40,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 9,282 | $40,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 1,117 | $40,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 1,143 | $40,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 1,027 | $40,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 3,033 | $40,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 3,785 | $40,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 3,184 | $40,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 1,160 | $40,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 653 | $40,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 3,056 | $40,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 9,673 | $40,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 437 | $40,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 2,700 | $40,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 14,497 | $40,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 7,494 | $40,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 1,858 | $40,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 40,000 | $40,000 | thousands by filing date | principal |
| BulletShares 2024 Corporate | 18383M233 | COM | 1,860 | $40,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 14,600 | $40,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 1,459 | $39,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 11,400 | $39,000 | thousands by filing date | call |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 925 | $39,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 600 | $39,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 229 | $39,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 1,328 | $39,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 565 | $39,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 1,637 | $39,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,550 | $39,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 667 | $39,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 4,400 | $39,000 | thousands by filing date | call |
| SLR INVESTMENT CORP | 83413U100 | COM | 1,900 | $39,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 2,094 | $39,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 3,653 | $39,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,000 | $39,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,600 | $39,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 1,357 | $39,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 1,133 | $39,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 4,576 | $39,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 1,507 | $39,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,000 | $39,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 40,000 | $39,000 | thousands by filing date | principal |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 354 | $38,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 947 | $38,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 1,250 | $38,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 1,995 | $38,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 1,372 | $38,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 1,418 | $38,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 2,023 | $38,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 1,330 | $38,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 1,172 | $38,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,515 | $38,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 500 | $38,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 500 | $38,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 3,320 | $38,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,150 | $38,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 40,000 | $38,000 | thousands by filing date | principal |
| GATX CORP COM | 361448103 | Stock | 823 | $37,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 442 | $37,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 1,308 | $37,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 2,754 | $37,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 3,500 | $37,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 998 | $37,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 2,700 | $37,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 1,035 | $37,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 955 | $37,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 3,047 | $37,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 2,659 | $37,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 23,000 | $37,000 | thousands by filing date | principal |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 900 | $37,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $37,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 1,351 | $37,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 1,307 | $37,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 20,000 | $37,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 964 | $37,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,331 | $37,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 3,000 | $37,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 300 | $37,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,501 | $37,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 1,359 | $37,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 1,318 | $37,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,274 | $36,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 3,100 | $36,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 1,040 | $36,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 3,300 | $36,000 | thousands by filing date | call |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 1,090 | $36,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,000 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 500 | $36,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 800 | $36,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 3,250 | $36,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 1,175 | $36,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 387 | $36,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 6,247 | $36,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 2,324 | $36,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 1,109 | $36,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,300 | $36,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 1,802 | $36,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,498 | $36,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 23,000 | $36,000 | thousands by filing date | principal |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,072 | $35,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 1,200 | $35,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 1,469 | $35,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 1,933 | $35,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 181 | $35,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 1,281 | $35,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 894 | $35,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 3,300 | $35,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 2,400 | $35,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 5,004 | $35,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 3,080 | $35,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 1,280 | $35,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 5,500 | $35,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 2,000 | $35,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 30,550 | $35,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 591 | $35,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 500 | $35,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 2,931 | $35,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 15,000 | $35,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 3,500 | $34,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 6,700 | $34,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 1,100 | $34,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 660 | $34,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 1,500 | $34,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 2,100 | $34,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 630 | $34,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 2,150 | $34,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 3,400 | $34,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 13,602 | $34,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 895 | $34,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 7,500 | $34,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 29,000 | $34,000 | thousands by filing date | principal |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 1,717 | $34,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,371 | $34,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 91,741 | $34,000 | thousands by filing date | |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 375 | $33,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 4,000 | $33,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 1,394 | $33,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 3,000 | $33,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 1,986 | $33,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 520 | $33,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 1,930 | $33,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 533 | $33,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 1,396 | $33,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 5,000 | $33,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 3,177 | $33,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 15,022 | $33,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 11,500 | $33,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 2,997 | $33,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 850 | $33,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 2,000 | $33,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 4,607 | $33,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 200 | $33,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 4,888 | $33,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 236 | $32,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 348 | $32,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 1,349 | $32,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 1,131 | $32,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 2,845 | $32,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 479 | $32,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 490 | $32,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 1,640 | $32,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 536 | $32,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,061 | $32,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 2,022 | $32,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 1,100 | $32,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 659 | $32,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 2,042 | $32,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 1,604 | $32,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 2,213 | $32,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 450 | $32,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 5,300 | $32,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 2,425 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 755 | $32,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,098 | $32,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 714 | $32,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 8,300 | $32,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,330 | $32,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 1,863 | $32,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 1,425 | $32,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 22,000 | $31,000 | thousands by filing date | call |
| SUN CMNTYS INC COM | 866674104 | REIT | 396 | $31,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 892 | $31,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 315 | $31,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 389 | $31,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 1,883 | $31,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,668 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 603 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 364 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 493 | $31,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 5,198 | $31,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 8,100 | $31,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 971 | $31,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 946 | $31,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 2,050 | $31,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 826 | $31,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 1,200 | $31,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 2,202 | $31,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 12,600 | $30,000 | thousands by filing date | call |
| HUBSPOTINC | 443573100 | STOK | 521 | $30,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 8,950 | $30,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 510 | $30,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 3,000 | $30,000 | thousands by filing date | call |
| DEXCOM INC COM | 252131107 | Stock | 345 | $30,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 522 | $30,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 551 | $30,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 503 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 1,200 | $30,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 1,301 | $30,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 733 | $30,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,000 | $30,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 3,750 | $30,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 944 | $30,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 6,204 | $30,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 2,000 | $30,000 | thousands by filing date | |
| CSRA INC | 12650T104 | COM | 1,106 | $30,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 674 | $30,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 725 | $30,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 7,400 | $30,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 16,700 | $30,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 30,000 | $30,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 663 | $30,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 1,164 | $30,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 705 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 1,335 | $30,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 6,270 | $30,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 2,000 | $30,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 2,200 | $30,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 860 | $30,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 1,200 | $30,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,037 | $30,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 97,100 | $30,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 1,200 | $30,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 4,037 | $30,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 1,024 | $29,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 4,075 | $29,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 1,207 | $29,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 3,000 | $29,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 3,403 | $29,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 2,054 | $29,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 1,353 | $29,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 5,000 | $29,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 526 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 756 | $29,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 1,200 | $29,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 1,000 | $29,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 1,665 | $29,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,550 | $29,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 2,048 | $29,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 2,500 | $29,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,628 | $29,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 591 | $29,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 2,000 | $29,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,277 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 610 | $29,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 4,370 | $29,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 850 | $28,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 22,000 | $28,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 5,664 | $28,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 444 | $28,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 700 | $28,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 4,575 | $28,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 492 | $28,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 3,344 | $28,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 48 | $28,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 800 | $28,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 2,489 | $28,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 2,252 | $28,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 1,149 | $28,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,432 | $28,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 414 | $28,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 2,002 | $28,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,638 | $28,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,007 | $28,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 614 | $28,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 945 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 899 | $28,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 613 | $28,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 4,200 | $28,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 2,300 | $28,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 6,032 | $28,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 489 | $28,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 1,559 | $28,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 5,000 | $28,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 2,000 | $28,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 5,508 | $28,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 32,290 | $28,000 | thousands by filing date | |
| Chicopee Bancorp, Inc. | 168565109 | Common Stock | 1,528 | $28,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 10,028 | $28,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 3,000 | $28,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 301 | $28,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 3,291 | $27,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,250 | $27,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 266 | $27,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 1,985 | $27,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 1,140 | $27,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 370 | $27,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 959 | $27,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 753 | $27,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 506 | $27,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 465 | $27,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 512 | $27,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 1,549 | $27,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 437 | $27,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 450 | $27,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 1,101 | $27,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 1,200 | $27,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 3,000 | $27,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 584 | $27,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 3,636 | $27,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 644 | $27,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 4,610 | $27,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 1,525 | $27,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 5,569 | $27,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 2,900 | $27,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 4,865 | $27,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 3,328 | $27,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,098 | $27,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 4,800 | $27,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 4,988 | $27,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 19,098 | $27,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 5,386 | $27,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,060 | $27,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 25,000 | $27,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 400 | $27,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 7,875 | $27,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 3,200 | $27,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 260 | $26,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 515 | $26,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 474 | $26,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 1,060 | $26,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 1,857 | $26,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 2,077 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 1,315 | $26,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 474 | $26,000 | thousands by filing date | |
| OLLIES BARGAIN OUTLET HLDGS | 681116109 | COM | 1,000 | $26,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 1,611 | $26,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 1,850 | $26,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 2,149 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 257 | $26,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 500 | $26,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 801 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 588 | $26,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 586 | $26,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 5,000 | $26,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 1,100 | $26,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 940 | $26,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 7,608 | $26,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 11,043 | $26,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 1,659 | $26,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 9,000 | $26,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 1,000 | $26,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 304 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 694 | $26,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,549 | $26,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 400 | $26,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 772 | $26,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 1,000 | $26,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 1,974 | $25,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 437 | $25,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 513 | $25,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 327 | $25,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 765 | $25,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 654 | $25,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 359 | $25,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 530 | $25,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 865 | $25,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 800 | $25,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 510 | $25,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,775 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 500 | $25,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 450 | $25,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 853 | $25,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 2,208 | $25,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 1,000 | $25,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 4,795 | $25,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 1,135 | $25,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 367 | $25,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 5,215 | $25,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,225 | $25,000 | thousands by filing date | |
| Cynosure, Inc. | 232577205 | COM | 489 | $25,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 22,000 | $25,000 | thousands by filing date | principal |
| SELECT COMFORT CORP | 81616X103 | COM | 1,151 | $25,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,633 | $25,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 1,061 | $25,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 2,000 | $25,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,500 | $25,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 8,000 | $25,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 300 | $25,000 | thousands by filing date | |
| VELOCITYSHARES DAILY 2X VIX SHORT TERM ETN | 22539T274 | ETF | 1,404 | $25,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 1,174 | $24,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 350 | $24,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 700 | $24,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,210 | $24,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 269 | $24,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 787 | $24,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 701 | $24,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,500 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 573 | $24,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 1,375 | $24,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 599 | $24,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,066 | $24,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 549 | $24,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 9,169 | $24,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 2,000 | $24,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,295 | $24,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,626 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 656 | $24,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 1,000 | $24,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 974 | $24,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 100 | $24,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 1,533 | $24,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 2,000 | $24,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 791 | $24,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,940 | $24,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,900 | $24,000 | thousands by filing date | |
| CAMBREX CORP | 132011107 | COM | 545 | $24,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 27,750 | $24,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 1,004 | $24,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 660 | $24,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 637 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 2,457 | $24,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 22,000 | $24,000 | thousands by filing date | principal |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,000 | $23,000 | thousands by filing date | call |
| APTARGROUP INC COM | 038336103 | Stock | 300 | $23,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 2,000 | $23,000 | thousands by filing date | call |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 5,417 | $23,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 366 | $23,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 316 | $23,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 1,710 | $23,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 457 | $23,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 1,214 | $23,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,000 | $23,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 877 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 200 | $23,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,562 | $23,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 1,000 | $23,000 | thousands by filing date | call |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 1,056 | $23,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,000 | $23,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 495 | $23,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 1,054 | $23,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 750 | $23,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,750 | $23,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 832 | $23,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 248 | $23,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 452 | $23,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 500 | $23,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 9,250 | $23,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 827 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 1,070 | $23,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 2,063 | $23,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 1,000 | $23,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 3,667 | $23,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 3,200 | $23,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,400 | $23,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 1,655 | $23,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 1,530 | $23,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 2,902 | $23,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 175 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $23,000 | thousands by filing date | principal |
| RBC BEARINGS INC COM | 75524B104 | Stock | 286 | $22,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 2,725 | $22,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 494 | $22,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 577 | $22,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 500 | $22,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 1,850 | $22,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,412 | $22,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 447 | $22,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 1,100 | $22,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 1,201 | $22,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 700 | $22,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-16-011512 | this filing | 2016-10-12 | acceptance time not in the bulk data set |