13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-09, with 4,877 holding rows worth $16,418,229,000.
- Accession
- 0001580642-17-000125
- Filer
- CIK 1540235
- Filed
- 2017-01-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 5,284 entries on the cover page, a total value of $16,418,229,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $16,418,229,000 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 |
|---|---|---|---|---|---|---|
| TIVO CORP | 88870P106 | COM | 3,947 | $82,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 6,115 | $82,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 3,057 | $82,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 685 | $82,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 107,000 | $82,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,896 | $81,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 1,924 | $81,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 10,324 | $81,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 3,300 | $81,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 4,074 | $81,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 1,470 | $80,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 859 | $80,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 2,187 | $80,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 1,290 | $80,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 6,795 | $80,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 5,225 | $80,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 4,200 | $80,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 5,726 | $80,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 2,247 | $80,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 2,543 | $80,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 32,091 | $80,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 14,863 | $80,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 85,000 | $80,000 | thousands by filing date | principal |
| STRATEGY INC CL A NEW | 594972408 | Stock | 400 | $79,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 1,351 | $79,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 936 | $79,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 1,715 | $79,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 6,523 | $79,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 3,607 | $79,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,000 | $79,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 3,802 | $79,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 584 | $79,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 1,410 | $78,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 5,237 | $78,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 3,100 | $78,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 4,018 | $78,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 5,297 | $78,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,185 | $78,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 6,110 | $78,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 11,000 | $78,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,578 | $78,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 2,118 | $77,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 4,014 | $77,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 2,121 | $77,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 4,498 | $77,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 2,407 | $77,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 1,042 | $77,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 2,433 | $77,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 4,717 | $77,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,200 | $77,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 880 | $77,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 4,319 | $77,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 10,282 | $76,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 2,201 | $76,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 15,355 | $76,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 7,041 | $76,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 1,069 | $76,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 4,452 | $76,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 63 | $75,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 5,100 | $75,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 35,850 | $75,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 24,126 | $75,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 117,100 | $75,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 1,136 | $74,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 26,537 | $74,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 6,780 | $74,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 1,728 | $74,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 3,822 | $74,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 1,466 | $74,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 720 | $74,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 12,260 | $74,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 2,586 | $74,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 4,875 | $74,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,941 | $74,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 4,000 | $74,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 10,064 | $74,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 772 | $73,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,768 | $73,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 300 | $73,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,021 | $73,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 2,865 | $73,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 1,871 | $73,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 16,593 | $73,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,500 | $73,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 70,000 | $73,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 67,000 | $73,000 | thousands by filing date | principal |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 2,294 | $72,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,321 | $72,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 3,855 | $72,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,234 | $72,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 4,000 | $72,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 1,500 | $72,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 1,442 | $72,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 1,514 | $72,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 5,181 | $72,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 3,821 | $72,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 947 | $72,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 73,000 | $72,000 | thousands by filing date | principal |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 5,998 | $72,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 327 | $71,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 9,753 | $71,000 | thousands by filing date | |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 986 | $71,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 1,939 | $71,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 806 | $71,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 4,883 | $71,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 5,566 | $71,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 5,744 | $71,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,000 | $71,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,875 | $71,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 2,767 | $71,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 12,701 | $71,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 70,000 | $71,000 | thousands by filing date | principal |
| Foundation Medicine Inc | 350465100 | COM | 4,000 | $71,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 1,444 | $70,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 2,000 | $70,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 1,302 | $70,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 9,199 | $70,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 4,514 | $70,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 4,498 | $70,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 2,631 | $70,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,400 | $70,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 841 | $70,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 4,062 | $70,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 13,602 | $70,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 7,985 | $70,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 2,711 | $69,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,017 | $69,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 6,814 | $69,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 856 | $69,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 2,700 | $69,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 3,504 | $69,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 1,657 | $69,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 931 | $69,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 700 | $69,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 2,077 | $69,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 3,515 | $69,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 3,000 | $69,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 1,564 | $69,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,500 | $69,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 3,973 | $69,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 6,236 | $68,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 6,772 | $68,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 2,650 | $68,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 4,600 | $68,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 2,340 | $68,000 | thousands by filing date | |
| G & K SVCS INC | 361268105 | CL A | 700 | $68,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 1,453 | $68,000 | thousands by filing date | |
| DRYSHIPS INC COM PAR NEW | Y2109Q309 | Stock | 18,569 | $68,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 6,066 | $67,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 1,173 | $67,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 2,177 | $67,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 2,794 | $67,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 1,549 | $67,000 | thousands by filing date | |
| FEDERAL REALTY INVESTMENT TRUS | 313747206 | SH BEN INT NEW | 469 | $67,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 3,747 | $67,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 1,596 | $67,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 488 | $67,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 2,000 | $67,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 6,000 | $67,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 5,109 | $67,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 5,200 | $66,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 18,521 | $66,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 1,713 | $66,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 1,960 | $66,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 1,543 | $66,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 3,500 | $66,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 3,472 | $66,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 3,613 | $66,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 4,086 | $66,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 6,336 | $66,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 2,273 | $66,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 2,675 | $66,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,459 | $66,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 616 | $66,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 102,963 | $66,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 1,330 | $66,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 1,640 | $66,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 69,000 | $66,000 | thousands by filing date | principal |
| PLEXUS CORP COM | 729132100 | Stock | 1,200 | $65,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,813 | $65,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 2,347 | $65,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 3,374 | $65,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 4,750 | $65,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 56 | $65,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 1,042 | $65,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 46,300 | $65,000 | thousands by filing date | |
| LASALLE HOTEL PROPERTIES | 517942108 | COM | 2,145 | $65,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 55,000 | $65,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 65,000 | $65,000 | thousands by filing date | principal |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 3,255 | $64,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 1,299 | $64,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 815 | $64,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 1,000 | $64,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 6,130 | $64,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 5,940 | $64,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 1,000 | $64,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 3,890 | $64,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 2,925 | $64,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 1,122 | $64,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 465 | $63,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 13,502 | $63,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,001 | $63,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 1,202 | $63,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 7,000 | $63,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 1,079 | $63,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 1,671 | $63,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 19,084 | $63,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 1,970 | $62,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 895 | $62,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,793 | $62,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 1,250 | $62,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 2,300 | $62,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 1,475 | $62,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 1,139 | $62,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 13,500 | $62,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 3,982 | $62,000 | thousands by filing date | |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 1,124 | $62,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 26,500 | $62,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 1,100 | $62,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 1,581 | $62,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 2,500 | $62,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 2,000 | $61,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 600 | $61,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 1,166 | $61,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 4,256 | $61,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 4,373 | $61,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 5,400 | $61,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 8,917 | $61,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 1,390 | $61,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 3,742 | $61,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 639 | $61,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 60,000 | $61,000 | thousands by filing date | principal |
| MENTOR GRAPHICS CORP | 587200106 | COM | 1,645 | $61,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 515 | $61,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X715 | INTL ENRGY ETF | 3,276 | $61,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 600 | $60,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 612 | $60,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 5,432 | $60,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 1,277 | $60,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 1,874 | $60,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 5,263 | $60,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 1,148 | $60,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 539 | $60,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 1,672 | $60,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 4,221 | $60,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 4,200 | $60,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 3,008 | $60,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 2,300 | $60,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 42,506 | $60,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 2,518 | $60,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 1,739 | $60,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 4,567 | $60,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 1,479 | $60,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 30,800 | $60,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 57,000 | $60,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 54,000 | $60,000 | thousands by filing date | principal |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 1,408 | $59,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 804 | $59,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 2,784 | $59,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 2,092 | $59,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,884 | $59,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 719 | $59,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 4,850 | $59,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 4,630 | $59,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 2,500 | $59,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 4,096 | $59,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,000 | $59,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 1,700 | $58,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 4,476 | $58,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 1,275 | $58,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 3,750 | $58,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 1,460 | $58,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 3,050 | $58,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 7,300 | $58,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 15,465 | $58,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 1,275 | $58,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 10,000 | $58,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 1,830 | $58,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 3,920 | $58,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 1,410 | $58,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 58,000 | $58,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $58,000 | thousands by filing date | principal |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 1,675 | $58,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 6,675 | $57,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 685 | $57,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 14,950 | $57,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 2,632 | $57,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 1,000 | $57,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 2,281 | $57,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 5,951 | $57,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 4,512 | $57,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 800 | $57,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 1,031 | $57,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 65,000 | $57,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 1,251 | $57,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 57,000 | $57,000 | thousands by filing date | principal |
| Accelerate Diagnostics | 00430H102 | COM | 2,739 | $57,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 7,900 | $57,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 4,250 | $57,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 700 | $57,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 59,000 | $57,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 16,041 | $56,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 6,500 | $56,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 3,440 | $56,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 773 | $56,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 7,500 | $56,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 1,600 | $56,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 56,000 | $56,000 | thousands by filing date | principal |
| ZWEIG FUND INC. | 989834205 | COM | 4,608 | $56,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 55,000 | $56,000 | thousands by filing date | principal |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 13,438 | $56,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 1,210 | $55,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 3,622 | $55,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 777 | $55,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 2,660 | $55,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 4,713 | $55,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 1,542 | $55,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 2,903 | $55,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 4,000 | $55,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 11,195 | $55,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 571 | $55,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 1,461 | $55,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 4,884 | $55,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 5,500 | $55,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 9,190 | $54,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 4,203 | $54,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 685 | $54,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 2,850 | $54,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 689 | $54,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 7,016 | $54,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 1,170 | $54,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 2,561 | $54,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 6,970 | $54,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 2,303 | $54,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 12,401 | $54,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 10,592 | $54,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 1,301 | $54,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 5,700 | $54,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 2,335 | $54,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 1,851 | $54,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 1,357 | $54,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 2,643 | $54,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 58,000 | $54,000 | thousands by filing date | principal |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $54,000 | thousands by filing date | principal |
| INCYTE CORP COM | 45337C102 | Stock | 1,000 | $53,000 | thousands by filing date | call |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 400 | $53,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 2,790 | $53,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 2,980 | $53,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 487 | $53,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 3,000 | $53,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $53,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 3,654 | $53,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 1,312 | $53,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 16,566 | $53,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 1,600 | $52,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 1,164 | $52,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 2,919 | $52,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 5,030 | $52,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 1,000 | $52,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 1,056 | $52,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 1,132 | $52,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 2,736 | $52,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,500 | $52,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 2,111 | $52,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 4,986 | $52,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 2,500 | $52,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 51,000 | $52,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 5,534 | $52,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 10,000 | $52,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 1,474 | $51,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 4,292 | $51,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 1,918 | $51,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 1,242 | $51,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 772 | $51,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,724 | $51,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 246 | $51,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 4,131 | $51,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 953 | $51,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 4,200 | $51,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 1,830 | $51,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 7,400 | $51,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 964 | $51,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 2,000 | $51,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 1,669 | $50,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 478 | $50,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 1,385 | $50,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 1,370 | $50,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 973 | $50,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 9,128 | $50,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 2,449 | $50,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 1,293 | $50,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 3,200 | $50,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 1,600 | $50,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 1,638 | $50,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 2,400 | $50,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 2,818 | $50,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 2,209 | $50,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 24,700 | $50,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 3,267 | $50,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 36,000 | $50,000 | thousands by filing date | principal |
| LITHIA MTRS INC COM | 536797103 | Stock | 507 | $49,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 1,483 | $49,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,370 | $49,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 1,004 | $49,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 3,227 | $49,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 907 | $49,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 3,695 | $49,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 2,000 | $49,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 1,000 | $49,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 2,066 | $49,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 2,389 | $49,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 8,106 | $49,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 1,604 | $48,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 479 | $48,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 565 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 469 | $48,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 2,184 | $48,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 2,300 | $48,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 2,928 | $48,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 941 | $48,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 973 | $48,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 909 | $48,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 8,000 | $48,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 2,000 | $48,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,016 | $48,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 430 | $47,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 1,290 | $47,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 1,013 | $47,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 700 | $47,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 1,548 | $47,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 20,000 | $47,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 1,987 | $47,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 10,899 | $47,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 2,000 | $47,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 2,820 | $47,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 3,047 | $47,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 1,539 | $47,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 931 | $47,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 3,621 | $47,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 394 | $47,000 | thousands by filing date | |
| HLS 2 12/1/43 | 421924BL4 | Bond 30/360P2 U | 40,000 | $47,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 5,479 | $47,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 825 | $46,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 2,869 | $46,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 1,206 | $46,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,348 | $46,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 1,641 | $46,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 924 | $46,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 1,447 | $46,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 903 | $46,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 660 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 400 | $46,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 5,672 | $46,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 3,058 | $46,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 1,546 | $46,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 1,396 | $46,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 560 | $46,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 916 | $46,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 1,808 | $46,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 1,180 | $46,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,504 | $46,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 9,166 | $46,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 1,125 | $46,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,817 | $46,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 1,178 | $46,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 50,000 | $46,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 48,000 | $46,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 45,000 | $46,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 2,973 | $46,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 1,284 | $45,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 2,600 | $45,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 800 | $45,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 1,900 | $45,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 1,087 | $45,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 1,115 | $45,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 2,457 | $45,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 2,182 | $45,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 3,324 | $45,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 2,599 | $45,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 1,300 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 1,500 | $45,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 1,838 | $45,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 788 | $45,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 6,695 | $45,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 4,380 | $45,000 | thousands by filing date | |
| ABAXIS INC | 002567105 | COM | 854 | $45,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 36,000 | $45,000 | thousands by filing date | principal |
| GATX CORP COM | 361448103 | Stock | 722 | $44,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 3,704 | $44,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 371 | $44,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 830 | $44,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 39,264 | $44,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 200 | $44,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 3,550 | $44,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 1,550 | $44,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 2,936 | $44,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 1,009 | $44,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 3,734 | $44,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 14,000 | $44,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 2,217 | $44,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-17-000125 | this filing | 2017-01-09 | acceptance time not in the bulk data set |