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 |
|---|---|---|---|---|---|---|
| RE MAX HLDGS INC | 75524W108 | CL A | 225 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 300 | $10,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 437 | $10,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 343 | $10,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 331 | $10,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 121 | $10,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 400 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 300 | $10,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 271 | $10,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 246 | $10,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 596 | $10,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 365 | $10,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 961 | $10,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 600 | $10,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 359 | $10,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 1,000 | $10,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 3,500 | $10,000 | thousands by filing date | put |
| RMR GROUP INC | 74967R106 | CL A | 259 | $10,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 750 | $10,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 400 | $10,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 700 | $10,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,000 | $10,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,130 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 300 | $10,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,000 | $10,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 583 | $10,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 276 | $10,000 | thousands by filing date | |
| El Paso Energy Capital Trust I | 283678209 | Preferred Shares | 209 | $10,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 1,211 | $10,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,750 | $10,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 500 | $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 | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 5,884 | $10,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 965 | $10,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 392 | $10,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 680 | $10,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 153 | $10,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 200 | $10,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 20,005 | $10,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 16,800 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $10,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 1,800 | $10,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 500 | $10,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 506 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 226 | $10,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 500 | $10,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 500 | $10,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,500 | $10,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 1,435 | $10,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 5,000 | $10,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $10,000 | thousands by filing date | principal |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,600 | $10,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 847 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 300 | $10,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,000 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 5,000 | $10,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 3,720 | $10,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,150 | $10,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 1,000 | $10,000 | thousands by filing date | call |
| CPI CARD GROUP INC | 12634H101 | COM | 1,589 | $10,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 750 | $10,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 1,800 | $10,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 25,600 | $9,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 6,600 | $9,000 | thousands by filing date | put |
| Intel Corp | 458140100 | COM | 31,600 | $9,000 | thousands by filing date | put |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 10,300 | $9,000 | thousands by filing date | call |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 200 | $9,000 | thousands by filing date | call |
| DEL MONTE CORP ORD | G36738105 | Stock | 153 | $9,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 215 | $9,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 400 | $9,000 | thousands by filing date | call |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 185 | $9,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 200 | $9,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 6,313 | $9,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 1,000 | $9,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 887 | $9,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 700 | $9,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 1,018 | $9,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 200 | $9,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,000 | $9,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 876 | $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 | |
| BROADWIND INC | 11161T207 | CMN | 2,000 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 263 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 500 | $9,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 559 | $9,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 600 | $9,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 2,890 | $9,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 246 | $9,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 900 | $9,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,000 | $9,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 531 | $9,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 202 | $9,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 1,050 | $9,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 6,000 | $9,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 1,724 | $9,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 249 | $9,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 100 | $9,000 | thousands by filing date | call |
| CRAY INC | 225223304 | COM NEW | 380 | $9,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 3,300 | $9,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 5,000 | $9,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 6,404 | $9,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 1,709 | $9,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,200 | $9,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 1,063 | $9,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 2,300 | $9,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 540 | $9,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 732 | $9,000 | thousands by filing date | |
| GOLDEN ENTERPRISES | 381010107 | COM | 721 | $9,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 4,089 | $9,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 7,500 | $9,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,000 | $9,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $9,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 6,877 | $9,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 1,500 | $9,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 1,000 | $9,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,200 | $9,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 255 | $9,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 13,030 | $9,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 6,750 | $9,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,500 | $8,000 | thousands by filing date | call |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 219 | $8,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 134 | $8,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 80 | $8,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,280 | $8,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 500 | $8,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 236 | $8,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 50 | $8,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 600 | $8,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 7,000 | $8,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 214 | $8,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 97 | $8,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 400 | $8,000 | thousands by filing date | put |
| AZZ INC COM | 002474104 | Stock | 125 | $8,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 255 | $8,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 200 | $8,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 312 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 200 | $8,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 624 | $8,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 320 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 222 | $8,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 600 | $8,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 282 | $8,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 1,000 | $8,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 500 | $8,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,296 | $8,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 420 | $8,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 588 | $8,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 1,000 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 375 | $8,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 335 | $8,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 379 | $8,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 207 | $8,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 3,000 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 293 | $8,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 7,000 | $8,000 | thousands by filing date | put |
| DSW INC-CLASS A | 23334L102 | CL A | 373 | $8,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 477 | $8,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 200 | $8,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,313 | $8,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 239 | $8,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 900 | $8,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,000 | $8,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 2,202 | $8,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 146 | $8,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 700 | $8,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 9,000 | $8,000 | thousands by filing date | principal |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 550 | $8,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 172 | $8,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 4,417 | $8,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 788 | $8,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 184 | $8,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 500 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 412 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 175 | $8,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 5,311 | $8,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 2,700 | $8,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 229 | $8,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 7,000 | $8,000 | thousands by filing date | principal |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 550 | $8,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,475 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 5,736 | $8,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 410 | $8,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 5,000 | $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 | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 274 | $8,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 217 | $8,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 5,379 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 400 | $8,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 650 | $8,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 404 | $8,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 300 | $8,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 5,500 | $8,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 1,000 | $8,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 1,091 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y644 | Cmn | 354 | $8,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P116 | *W EXP 06/19/202 | 149,570 | $8,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 202 | $7,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 4,800 | $7,000 | thousands by filing date | put |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 214 | $7,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 8,300 | $7,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 500 | $7,000 | thousands by filing date | call |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 61 | $7,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 200 | $7,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,000 | $7,000 | thousands by filing date | call |
| GLOBUS MED INC CL A | 379577208 | Stock | 320 | $7,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 221 | $7,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 151 | $7,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 340 | $7,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 316 | $7,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 489 | $7,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 46 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 90 | $7,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,000 | $7,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 1,086 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 180 | $7,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 500 | $7,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 200 | $7,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 500 | $7,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 881 | $7,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 569 | $7,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 572 | $7,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 300 | $7,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 1,500 | $7,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 900 | $7,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 5,000 | $7,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 500 | $7,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 1,471 | $7,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 15,812 | $7,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 295 | $7,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 852 | $7,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 200 | $7,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 300 | $7,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 200 | $7,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 1,110 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 315 | $7,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 219 | $7,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 211 | $7,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 254 | $7,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 2,400 | $7,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 1,000 | $7,000 | thousands by filing date | call |
| BENEFITFOCUS INC | 08180D106 | COM | 170 | $7,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 6,000 | $7,000 | thousands by filing date | principal |
| CHEMTURA CORP | 163893209 | COM NEW | 204 | $7,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 300 | $7,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 396 | $7,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 145 | $7,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 311 | $7,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,000 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 145 | $7,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 9,677 | $7,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 12,000 | $7,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,200 | $7,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 200 | $7,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 100 | $7,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,788 | $7,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 300 | $7,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 500 | $7,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 286 | $7,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 250 | $7,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 400 | $7,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 2,187 | $7,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 3,049 | $7,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T324 | VEL SH 3X LG NAT | 200 | $7,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,100 | $7,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 458 | $7,000 | thousands by filing date | |
| COLUMBIA PIPELINE PARTNERS L | 198281107 | COM UT REPSTG | 447 | $7,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 179 | $7,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 3,633 | $7,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 396 | $7,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 2,734 | $7,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 2,853 | $7,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 500 | $7,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 7,000 | $7,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 4,700 | $6,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 500 | $6,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 5,000 | $6,000 | thousands by filing date | call |
| EMCOR GROUP INC COM | 29084Q100 | Stock | 103 | $6,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 9,000 | $6,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 200 | $6,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 300 | $6,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 30,000 | $6,000 | thousands by filing date | call |
| TWILIO INC CL A | 90138F102 | Stock | 1,000 | $6,000 | thousands by filing date | call |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 12 | $6,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 20,000 | $6,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 800 | $6,000 | thousands by filing date | put |
| BURLINGTON STORES INC COM | 122017106 | Stock | 75 | $6,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 100 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 220 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 167 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 100 | $6,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 475 | $6,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 500 | $6,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 153 | $6,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 150 | $6,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 293 | $6,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 536 | $6,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 129 | $6,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 94 | $6,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 88 | $6,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 200 | $6,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 300 | $6,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 500 | $6,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 150 | $6,000 | thousands by filing date | |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 122 | $6,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 700 | $6,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 100 | $6,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 200 | $6,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 408 | $6,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 326 | $6,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,474 | $6,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 273 | $6,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 700 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 90 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 157 | $6,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 538 | $6,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 300 | $6,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 200 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 265 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 200 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 120 | $6,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 179 | $6,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 100 | $6,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 215 | $6,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H203 | COM NEW | 137 | $6,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 507 | $6,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 207 | $6,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,200 | $6,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 406 | $6,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 166 | $6,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 148 | $6,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 2,000 | $6,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 2,200 | $6,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,533 | $6,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 600 | $6,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| SKULLCANDY INC | 83083J104 | COM | 1,000 | $6,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 250 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 258 | $6,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 900 | $6,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 400 | $6,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 6,000 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 293 | $6,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 206 | $6,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 5,250 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 310 | $6,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 5,712 | $6,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y106 | COM | 3,237 | $6,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,300 | $5,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 19,800 | $5,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 1,600 | $5,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 1,000 | $5,000 | thousands by filing date | put |
| TRINITY INDS INC | 896522109 | COM | 1,300 | $5,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 23,200 | $5,000 | thousands by filing date | put |
| ITRON INC COM | 465741106 | Stock | 83 | $5,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 1,000 | $5,000 | thousands by filing date | put |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 20,000 | $5,000 | thousands by filing date | put |
| AEROVIRONMENT INC COM | 008073108 | Stock | 200 | $5,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 350 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 140 | $5,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 400 | $5,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 496 | $5,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 10,100 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 156 | $5,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 92 | $5,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 400 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 76 | $5,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 200 | $5,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 100 | $5,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 121 | $5,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 100 | $5,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 1,300 | $5,000 | thousands by filing date | call |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 1,000 | $5,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 400 | $5,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 301 | $5,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 607 | $5,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,233 | $5,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 200 | $5,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 375 | $5,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 150 | $5,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 500 | $5,000 | thousands by filing date | call |
| PRICELINE GRP INC | 741503403 | COM NEW | 1,300 | $5,000 | thousands by filing date | put |
| INNOVIVA INC | 45781M101 | COM | 500 | $5,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,988 | $5,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 100 | $5,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 200 | $5,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 300 | $5,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 108 | $5,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 786 | $5,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 195 | $5,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 128 | $5,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 144 | $5,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 450 | $5,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 200 | $5,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 200 | $5,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 500 | $5,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 700 | $5,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 353 | $5,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 289 | $5,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 2,500 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,592 | $5,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 127 | $5,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 150 | $5,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 1,006 | $5,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 652 | $5,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 200 | $5,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 932 | $5,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 200 | $5,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 340 | $5,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,557 | $5,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 200 | $5,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 500 | $5,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 500 | $5,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 700 | $5,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,100 | $5,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 304 | $5,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 9,000 | $5,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 439 | $5,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 464 | $5,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 200 | $5,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 262 | $5,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 436 | $5,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 754 | $5,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 3,000 | $5,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 301 | $5,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 331 | $5,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 404 | $5,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 1,410 | $5,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 600 | $5,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 2,050 | $5,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 4,000 | $5,000 | thousands by filing date | principal |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 200 | $5,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 712 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 200 | $5,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 4,000 | $5,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 5,000 | $5,000 | thousands by filing date | principal |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 300 | $5,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 6,859 | $5,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 300 | $5,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 10,000 | $5,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 175 | $4,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 2,100 | $4,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 200 | $4,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 1,520 | $4,000 | thousands by filing date | call |
| T-Mobile US,Inc. | 872590104 | COM | 800 | $4,000 | thousands by filing date | call |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 177 | $4,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 5,000 | $4,000 | thousands by filing date | call |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 100 | $4,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 3,300 | $4,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 118 | $4,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 520 | $4,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 300 | $4,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 300 | $4,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 100 | $4,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 312 | $4,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 135 | $4,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 120 | $4,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 100 | $4,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 120 | $4,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 250 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 41 | $4,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 200 | $4,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 276 | $4,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 800 | $4,000 | thousands by filing date | put |
| PBF ENERGY INC | 69318G106 | CL A | 172 | $4,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 682 | $4,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 80 | $4,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 200 | $4,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 121 | $4,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 200 | $4,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 100 | $4,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 40 | $4,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 300 | $4,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 901 | $4,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 162 | $4,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 450 | $4,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,500 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 268 | $4,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,000 | $4,000 | thousands by filing date | put |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 140 | $4,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 100 | $4,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 146 | $4,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 100 | $4,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 617 | $4,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 400 | $4,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 164 | $4,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 100 | $4,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 270 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 2,400 | $4,000 | thousands by filing date | put |
| COUSINS PROPERTIES INC | 222795106 | COM | 361 | $4,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 150 | $4,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 105 | $4,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 149 | $4,000 | 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 |