13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-04-07, with 4,860 holding rows worth $18,307,521,000.
- Accession
- 0001580642-17-002214
- Filer
- CIK 1540235
- Filed
- 2017-04-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 5,180 entries on the cover page, a total value of $18,307,521,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,307,521,000 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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 951 | $24,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 5,295 | $24,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 711 | $24,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 675 | $24,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,425 | $24,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 400 | $24,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 1,056 | $24,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 2,088 | $24,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 2,000 | $24,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 838 | $24,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 710 | $24,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 600 | $24,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,881 | $24,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,386 | $24,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 602 | $24,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 353 | $24,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 907 | $24,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,200 | $24,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 605 | $24,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 413 | $24,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 838 | $24,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 643 | $24,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 1,000 | $24,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 2,628 | $24,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 343 | $24,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 3,924 | $24,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 1,850 | $23,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 127 | $23,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 600 | $23,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 1,222 | $23,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 539 | $23,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,562 | $23,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 1,123 | $23,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 1,190 | $23,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 450 | $23,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 400 | $23,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 908 | $23,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,000 | $23,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 487 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 575 | $23,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 340 | $23,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 14,914 | $23,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 856 | $23,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,300 | $23,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,626 | $23,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 508 | $23,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 12,290 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 602 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 816 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $23,000 | thousands by filing date | principal |
| STONE ENERGY CORP | 861642403 | COM PAR | 1,044 | $23,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 1,200 | $23,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 2,006 | $22,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 662 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 174 | $22,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 447 | $22,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 200 | $22,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 1,500 | $22,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 1,400 | $22,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,010 | $22,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 516 | $22,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 1,054 | $22,000 | thousands by filing date | |
| BANKUNITED INC | 06652K103 | COM | 591 | $22,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,007 | $22,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 610 | $22,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,365 | $22,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,607 | $22,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 1,030 | $22,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 11,320 | $22,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,000 | $22,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 684 | $22,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 600 | $22,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 1,290 | $22,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 9,801 | $22,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,670 | $22,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 6,404 | $22,000 | thousands by filing date | |
| WAGEWORKS INC | 930427109 | COM | 300 | $22,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 961 | $22,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 206 | $22,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 1,655 | $22,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 484 | $22,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 1,200 | $22,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 2,000 | $22,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 450 | $22,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 40,006 | $22,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,249 | $21,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 827 | $21,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 4,600 | $21,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 560 | $21,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 1,214 | $21,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 1,158 | $21,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 585 | $21,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 10,681 | $21,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 1,430 | $21,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 2,009 | $21,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,372 | $21,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 2,350 | $21,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 570 | $21,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 1,005 | $21,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 454 | $21,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 65,049 | $21,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 2,541 | $21,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 507 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 1,570 | $21,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 1,678 | $21,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 306 | $21,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 1,100 | $21,000 | thousands by filing date | |
| ENVISION HEALTHCARE CORP | 29414D100 | COM | 350 | $21,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,100 | $21,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 3,000 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 438 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 400 | $21,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 7,177 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 1,000 | $21,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 674 | $21,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 1,100 | $21,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 3,000 | $21,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,000 | $21,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 800 | $21,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,000 | $21,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 791 | $20,000 | thousands by filing date | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 350 | $20,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 337 | $20,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 699 | $20,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 1,000 | $20,000 | thousands by filing date | put |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 920 | $20,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 520 | $20,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 355 | $20,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 3,438 | $20,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 1,200 | $20,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 1,202 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 400 | $20,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 1,242 | $20,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 3,547 | $20,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 1,382 | $20,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 281 | $20,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,948 | $20,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,615 | $20,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 2,300 | $20,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 1,648 | $20,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 1,031 | $20,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 10,000 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,073 | $20,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,000 | $20,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 3,767 | $20,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 204 | $20,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 500 | $20,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 1,000 | $20,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 30,000 | $20,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 605 | $20,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 1,000 | $20,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,718 | $20,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 248 | $19,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 153 | $19,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 1,425 | $19,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 167 | $19,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 1,128 | $19,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 210 | $19,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 313 | $19,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 2,250 | $19,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 791 | $19,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 2,318 | $19,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 212 | $19,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 275 | $19,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,262 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 1,240 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 155 | $19,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 2,200 | $19,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 803 | $19,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,506 | $19,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1,000 | $19,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 1,322 | $19,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,510 | $19,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 1,451 | $19,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 2,000 | $19,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,225 | $19,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 21,070 | $19,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 500 | $19,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 572 | $19,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $19,000 | thousands by filing date | principal |
| NIMBLE STORAGE INC | 65440R101 | COM | 1,500 | $19,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 19,000 | $19,000 | thousands by filing date | principal |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 955 | $18,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,185 | $18,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 1,841 | $18,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 2,500 | $18,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 775 | $18,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 308 | $18,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 622 | $18,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 500 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,200 | $18,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 468 | $18,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 10,000 | $18,000 | thousands by filing date | call |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,200 | $18,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 844 | $18,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 9,100 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 764 | $18,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 1,455 | $18,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 13,000 | $18,000 | thousands by filing date | principal |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 1,865 | $18,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 1,000 | $18,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 7,000 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 325 | $18,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 300 | $18,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 1,603 | $18,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,625 | $18,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 6,300 | $18,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 1,114 | $18,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 149 | $17,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 894 | $17,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 207 | $17,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 580 | $17,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,205 | $17,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 5,500 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 484 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 374 | $17,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,200 | $17,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 875 | $17,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 673 | $17,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 1,000 | $17,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 350 | $17,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 483 | $17,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 583 | $17,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 1,023 | $17,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 112 | $17,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,323 | $17,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 231 | $17,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 300 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 231 | $17,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 480 | $17,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 192 | $17,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 400 | $17,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 776 | $17,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 500 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 853 | $17,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 671 | $17,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 770 | $17,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 1,363 | $17,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 308 | $17,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 146 | $17,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 720 | $17,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 405 | $17,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 816 | $17,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 5,000 | $17,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 928 | $17,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 568 | $17,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 663 | $17,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 900 | $17,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 2,132 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 550 | $17,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 300 | $17,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,363 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 689 | $17,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,037 | $17,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,326 | $17,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 4,575 | $17,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 466 | $17,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 692 | $17,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 20 | $17,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 4,163 | $17,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 4,500 | $16,000 | thousands by filing date | put |
| LITTELFUSE INC COM | 537008104 | Stock | 100 | $16,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 12,000 | $16,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,574 | $16,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 500 | $16,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 1,000 | $16,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,050 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 6,000 | $16,000 | thousands by filing date | call |
| INTEGER HLDGS CORP | 45826H109 | COM | 400 | $16,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 176 | $16,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 200 | $16,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,146 | $16,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 600 | $16,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 500 | $16,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 710 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 500 | $16,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 6,313 | $16,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,150 | $16,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 480 | $16,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 787 | $16,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 496 | $16,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 1,000 | $16,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 659 | $16,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 647 | $16,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 1,000 | $16,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 324 | $16,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,005 | $16,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 500 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,144 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 300 | $16,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 787 | $16,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 457 | $16,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 11,320 | $16,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 656 | $16,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 527 | $16,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 700 | $16,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 32,091 | $16,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,300 | $16,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 646 | $16,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 436 | $16,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,000 | $16,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 1,500 | $16,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 8,911 | $16,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 250 | $16,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 387 | $16,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 1,300 | $16,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 200 | $16,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 576 | $16,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 975 | $16,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 2,000 | $16,000 | thousands by filing date | |
| PARKWAY INC COM | 70156Q107 | Stock | 780 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 18,000 | $16,000 | thousands by filing date | principal |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 1,068 | $15,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 372 | $15,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 219 | $15,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 185 | $15,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 400 | $15,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 1,500 | $15,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,417 | $15,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 1,000 | $15,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 292 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 250 | $15,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 272 | $15,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 449 | $15,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 1,097 | $15,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 148 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 870 | $15,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 836 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 165 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 200 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 425 | $15,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 2,077 | $15,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 331 | $15,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 1,651 | $15,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 859 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 375 | $15,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 566 | $15,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 592 | $15,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 3,875 | $15,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,200 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 300 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 231 | $15,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 650 | $15,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 205 | $15,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 681 | $15,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 143 | $15,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 195 | $15,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 900 | $15,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 865 | $15,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 500 | $15,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 3,055 | $15,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 648 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 250 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 600 | $15,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,435 | $15,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 400 | $15,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 15,029 | $15,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 1,247 | $15,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 2,250 | $15,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 955 | $15,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 201 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 489 | $14,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 208 | $14,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 543 | $14,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 363 | $14,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,000 | $14,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 427 | $14,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 1,400 | $14,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,000 | $14,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 223 | $14,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 279 | $14,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 5,012 | $14,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 923 | $14,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 180 | $14,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 559 | $14,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 501 | $14,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 300 | $14,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 1,010 | $14,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $14,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 850 | $14,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 300 | $14,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 1,500 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $14,000 | thousands by filing date | principal |
| REV Group Inc | 749527107 | Common Stock | 506 | $14,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 1,449 | $14,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 10 | $14,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 675 | $14,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,900 | $14,000 | thousands by filing date | |
| VWR CORP | 91843L103 | COM | 500 | $14,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,367 | $14,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 10,482 | $14,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,500 | $14,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 1,900 | $14,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 1,150 | $14,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 1,120 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 300 | $14,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 99 | $14,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 400 | $14,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 616 | $14,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 11,000 | $14,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D357 | VELOCITY SHS SHR | 386 | $14,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 26,874 | $14,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 373 | $13,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,280 | $13,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 328 | $13,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 26,000 | $13,000 | thousands by filing date | put |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 21 | $13,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 260 | $13,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 160 | $13,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 241 | $13,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 355 | $13,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 225 | $13,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 200 | $13,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 593 | $13,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 383 | $13,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 478 | $13,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 400 | $13,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 278 | $13,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 443 | $13,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 800 | $13,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 500 | $13,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 234 | $13,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 892 | $13,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 950 | $13,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 500 | $13,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,320 | $13,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 755 | $13,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 573 | $13,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,543 | $13,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,100 | $13,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 606 | $13,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 700 | $13,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,078 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 568 | $13,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 319 | $13,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 5,884 | $13,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,120 | $13,000 | thousands by filing date | |
| SPX FLOW INC COM | 78469X107 | Stock | 368 | $13,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 1,500 | $13,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 237 | $13,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 4,000 | $13,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 580 | $13,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 2,040 | $13,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 330 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 468 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 1,200 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 300 | $13,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 900 | $13,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 2,000 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,000 | $13,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 1,933 | $13,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 14,000 | $13,000 | thousands by filing date | principal |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,310 | $13,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 4,706 | $13,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 1,198 | $13,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 548 | $13,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 7,433 | $13,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,500 | $12,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,800 | $12,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 1,000 | $12,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 27,400 | $12,000 | thousands by filing date | put |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,740 | $12,000 | thousands by filing date | |
| EMCOR GROUP INC COM | 29084Q100 | Stock | 188 | $12,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 308 | $12,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 99 | $12,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 565 | $12,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 970 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 75 | $12,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 376 | $12,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 343 | $12,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 267 | $12,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 649 | $12,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 200 | $12,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 201 | $12,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 300 | $12,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 303 | $12,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 365 | $12,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 225 | $12,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 200 | $12,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 700 | $12,000 | thousands by filing date | call |
| PREMIER INC | 74051N102 | CL A | 375 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 500 | $12,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 5,500 | $12,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,400 | $12,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,000 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 860 | $12,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 1,002 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 518 | $12,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 655 | $12,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 683 | $12,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 500 | $12,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 217 | $12,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 286 | $12,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 100 | $12,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 153 | $12,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 488 | $12,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 600 | $12,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 4,000 | $12,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 10,878 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-17-002214 | this filing | 2017-04-07 | acceptance time not in the bulk data set |