13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-09, with 4,620 holding rows worth $4,062,014,000.
- Accession
- 0001681115-16-000009
- Filer
- CIK 1681115
- Filed
- 2016-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 12,739 entries on the cover page, a total value of $4,062,014,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,062,014,000 with VALUE read as thousands by filing date, 13F file number 028-17493. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerROYAL ALLIANCE ASSOCIATES INC
- included managerSAGEPOINT FINANCIAL, INC.
- included managerFSC Securities CORP
- included managerWOODBURY FINANCIAL SERVICES, INC.
- included managerVision2020 Wealth Management Copr.
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 |
|---|---|---|---|---|---|---|
| TELIGENT INC NEW | 87960W104 | COM | 2,952 | $23,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 10,000 | $23,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 5,963 | $23,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 2,639 | $23,000 | thousands by filing date | |
| EMCOR GROUP INC COM | 29084Q100 | Stock | 379 | $22,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,856 | $22,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 359 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 299 | $22,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 13,057 | $22,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,680 | $22,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 921 | $22,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 840 | $22,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,700 | $22,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 2,682 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 900 | $22,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 1,426 | $22,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,342 | $22,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 529 | $22,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 1,212 | $22,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 1,538 | $22,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 2,158 | $22,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 5,335 | $22,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 3,193 | $22,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 2,067 | $22,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,295 | $22,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C609 | NAVELR A100 ETF | 460 | $22,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 206 | $21,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 463 | $21,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 436 | $21,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 369 | $21,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 387 | $21,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 1,577 | $21,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 1,150 | $21,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 1,000 | $21,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 403 | $21,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 1,577 | $21,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 1,049 | $21,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 345 | $21,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 477 | $21,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 1,765 | $21,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 426 | $21,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 3,564 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 430 | $21,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,063 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,004 | $21,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,057 | $21,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 1,795 | $21,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,150 | $21,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 2,856 | $21,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,375 | $21,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,681 | $21,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 522 | $21,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 820 | $21,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,753 | $21,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 2,542 | $21,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 3,539 | $21,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 595 | $20,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 360 | $20,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 3,144 | $20,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,616 | $20,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 179 | $20,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 431 | $20,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 1,381 | $20,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 300 | $20,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 132 | $20,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 1,032 | $20,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 1,382 | $20,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 754 | $20,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 1,021 | $20,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 220 | $20,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,000 | $20,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,233 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 451 | $20,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,452 | $20,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 33,309 | $20,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 2,300 | $20,000 | thousands by filing date | |
| CSRA INC | 12650T104 | COM | 764 | $20,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 1,232 | $20,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 1,238 | $20,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 473 | $20,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 956 | $20,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 866 | $20,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 1,300 | $20,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 18 | $20,000 | thousands by filing date | principal |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,206 | $20,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 1,243 | $20,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,000 | $20,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 1,500 | $20,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 820 | $20,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,000 | $20,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 1,678 | $20,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 618 | $20,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 15 | $20,000 | thousands by filing date | principal |
| FORM HLDGS CORP COM | 34634E102 | Stock | 7,356 | $20,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 430 | $20,000 | thousands by filing date | |
| RECON CAP SER TR | 75623U201 | RECON CAP DAX GE | 800 | $20,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 317 | $19,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 284 | $19,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 674 | $19,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 313 | $19,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 393 | $19,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 381 | $19,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 1,541 | $19,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $19,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 1,059 | $19,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 164 | $19,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,250 | $19,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 787 | $19,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,600 | $19,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,709 | $19,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 896 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 403 | $19,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 347 | $19,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 1,768 | $19,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,500 | $19,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,815 | $19,000 | thousands by filing date | |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 833 | $19,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,450 | $19,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,750 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 25,700 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 2,771 | $19,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 3,652 | $19,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 818 | $19,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 252 | $19,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 780 | $19,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 17 | $19,000 | thousands by filing date | principal |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 234 | $19,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 701 | $18,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 598 | $18,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 522 | $18,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 467 | $18,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 371 | $18,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,045 | $18,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 580 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 300 | $18,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,518 | $18,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 1,247 | $18,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,616 | $18,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 306 | $18,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 636 | $18,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 810 | $18,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 682 | $18,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 475 | $18,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 741 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 439 | $18,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 942 | $18,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 3,001 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 543 | $18,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,241 | $18,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 997 | $18,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 7,235 | $18,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 563 | $18,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 684 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 591 | $18,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 959 | $18,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 18 | $18,000 | thousands by filing date | principal |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 12,059 | $18,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 898 | $18,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 1,283 | $18,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 1,126 | $18,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,252 | $18,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 9 | $18,000 | thousands by filing date | principal |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,200 | $17,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 697 | $17,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 307 | $17,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 543 | $17,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 500 | $17,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 709 | $17,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 814 | $17,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,125 | $17,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 900 | $17,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 209 | $17,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,089 | $17,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 658 | $17,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 361 | $17,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 1,000 | $17,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 321 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 700 | $17,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,500 | $17,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 675 | $17,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,600 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 1,663 | $17,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 800 | $17,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 6,991 | $17,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 659 | $17,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 307 | $17,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 438 | $17,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,660 | $17,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 1,300 | $17,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 500 | $17,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 511 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 350 | $17,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 620 | $17,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 11 | $17,000 | thousands by filing date | principal |
| YRC WORLDWIDE INC | 984249607 | COM | 1,350 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 420 | $17,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,026 | $17,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 645 | $17,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 1,047 | $17,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 11 | $17,000 | thousands by filing date | principal |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 693 | $17,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 660 | $16,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 248 | $16,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 1,175 | $16,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 1,379 | $16,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 650 | $16,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 549 | $16,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 712 | $16,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 300 | $16,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 544 | $16,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,558 | $16,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,000 | $16,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 240 | $16,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 558 | $16,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 381 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,007 | $16,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 216 | $16,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 625 | $16,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 1,885 | $16,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 650 | $16,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 31 | $16,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 3,433 | $16,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 325 | $16,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 415 | $16,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 163 | $16,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 2,357 | $16,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,168 | $16,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 422 | $16,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 5,985 | $16,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 3,694 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 236 | $16,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 436 | $16,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 1,400 | $16,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 1,303 | $16,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 1,258 | $16,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 815 | $16,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 610 | $16,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 415 | $16,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,680 | $16,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,430 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 5,975 | $16,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 911 | $16,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 186 | $16,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,602 | $16,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,000 | $15,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 309 | $15,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 256 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 588 | $15,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 547 | $15,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 5,546 | $15,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 1,451 | $15,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 553 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 297 | $15,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 1,000 | $15,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 2,936 | $15,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 817 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 1,280 | $15,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 5,879 | $15,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 492 | $15,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 505 | $15,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,000 | $15,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 800 | $15,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 857 | $15,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 900 | $15,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 7,096 | $15,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 674 | $15,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 452 | $15,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 11,110 | $15,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,286 | $15,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 850 | $15,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 650 | $15,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 2,000 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 598 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 406 | $15,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 224 | $14,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 237 | $14,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 239 | $14,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 358 | $14,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 512 | $14,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 426 | $14,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 373 | $14,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 187 | $14,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 427 | $14,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 661 | $14,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 43 | $14,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 3,508 | $14,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 464 | $14,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 1,109 | $14,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 411 | $14,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 388 | $14,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 758 | $14,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 159 | $14,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 470 | $14,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 1,100 | $14,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 403 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 350 | $14,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 141 | $14,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 591 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 566 | $14,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 286 | $14,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,300 | $14,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 15 | $14,000 | thousands by filing date | principal |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 3,736 | $14,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 12 | $14,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 7,614 | $14,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 597 | $14,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 5 | $14,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 268 | $14,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,941 | $14,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 119 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 400 | $14,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 447 | $14,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 2,562 | $14,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 12 | $14,000 | thousands by filing date | principal |
| KADMON HLDGS INC | 48283N106 | COM | 2,000 | $14,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 900 | $14,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 120 | $14,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 4,600 | $14,000 | thousands by filing date | |
| TOWERSTREAM CORP COM NEW | 892000209 | Stock | 10,050 | $14,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 429 | $13,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 534 | $13,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 604 | $13,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 106 | $13,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 350 | $13,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 576 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 630 | $13,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 1,115 | $13,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,159 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 150 | $13,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 279 | $13,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 566 | $13,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 1,200 | $13,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 950 | $13,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,000 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 550 | $13,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 96 | $13,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 10 | $13,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 11 | $13,000 | thousands by filing date | principal |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 304 | $13,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 351 | $13,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 878 | $13,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,975 | $13,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 3,203 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 441 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 269 | $13,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 726 | $13,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 2,200 | $13,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 800 | $13,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 13 | $13,000 | thousands by filing date | principal |
| WABASH NATL CORP | 929566AH0 | CNV | 10 | $13,000 | thousands by filing date | principal |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 451 | $13,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 990 | $13,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 13 | $13,000 | thousands by filing date | principal |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 11 | $13,000 | thousands by filing date | principal |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 13 | $13,000 | thousands by filing date | principal |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 110 | $13,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 629 | $12,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 290 | $12,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 250 | $12,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 300 | $12,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 449 | $12,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 198 | $12,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,983 | $12,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 97 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 500 | $12,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 400 | $12,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,800 | $12,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 262 | $12,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 235 | $12,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 630 | $12,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 877 | $12,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 481 | $12,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 1,000 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,000 | $12,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 692 | $12,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,223 | $12,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 700 | $12,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 291 | $12,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 456 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 310 | $12,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 330 | $12,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 676 | $12,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,203 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 243 | $12,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 576 | $12,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 2,095 | $12,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 7 | $12,000 | thousands by filing date | principal |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 1,362 | $12,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 341 | $12,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 401 | $12,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 2,057 | $12,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 246 | $12,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 119 | $12,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 1,358 | $12,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 6 | $12,000 | thousands by filing date | principal |
| SYNERGY RES CORP | 87164P103 | COM | 1,745 | $12,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 10 | $12,000 | thousands by filing date | principal |
| CORELOGIC INC | 21871D103 | COM | 322 | $12,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 822 | $12,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 271 | $12,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 3,125 | $12,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 13,817 | $12,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 492 | $12,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 19,761 | $12,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 923 | $12,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,500 | $12,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 12,000 | $12,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 511 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 450 | $12,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 300 | $12,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,000 | $12,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 91 | $12,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D168 | VELOCITYSHS TAIL | 475 | $12,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,010 | $11,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 3,126 | $11,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 990 | $11,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,200 | $11,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 192 | $11,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 394 | $11,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 1,255 | $11,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 19 | $11,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 651 | $11,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 397 | $11,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 178 | $11,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 171 | $11,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 148 | $11,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 289 | $11,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 397 | $11,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 206 | $11,000 | thousands by filing date | |
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 41 | $11,000 | thousands by filing date | put |
| ENVIRI CORP | 415864107 | COM | 1,086 | $11,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 274 | $11,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 985 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 708 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 400 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 596 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 479 | $11,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 689 | $11,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,301 | $11,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 290 | $11,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 500 | $11,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 319 | $11,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 561 | $11,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 1,090 | $11,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 862 | $11,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 38 | $11,000 | thousands by filing date | principal |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,900 | $11,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 615 | $11,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 97 | $11,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 317 | $11,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 221 | $11,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 2,300 | $11,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 250 | $11,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 1,335 | $11,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 11 | $11,000 | thousands by filing date | principal |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 430 | $11,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 11 | $11,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 875 | $11,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 9 | $11,000 | thousands by filing date | principal |
| LIVE VENTURES INC | 538142100 | COM | 5,700 | $11,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 353 | $10,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 178 | $10,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 469 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 224 | $10,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 21,036 | $10,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 648 | $10,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 292 | $10,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 187 | $10,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 615 | $10,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 409 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 150 | $10,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 178 | $10,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 700 | $10,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 1,653 | $10,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 316 | $10,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 706 | $10,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 303 | $10,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 377 | $10,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 801 | $10,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 350 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 219 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 249 | $10,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 795 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 380 | $10,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 2,950 | $10,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 211 | $10,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 312 | $10,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 1,296 | $10,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 604 | $10,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 370 | $10,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 10 | $10,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 7 | $10,000 | thousands by filing date | principal |
| GLATFELTER | 377316104 | COM | 439 | $10,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 350 | $10,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 22,526 | $10,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 2,025 | $10,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 750 | $10,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 500 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-16-000009 | this filing | 2016-11-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000010 | base | 2017-11-02 | acceptance time not in the bulk data set |