13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-31, with 4,673 holding rows worth $4,314,509,000.
- Accession
- 0001681115-17-000001
- Filer
- CIK 1681115
- Filed
- 2017-01-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 12,911 entries on the cover page, a total value of $4,314,509,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,314,509,000 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 |
|---|---|---|---|---|---|---|
| PHARMERICA CORP | 71714F104 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WEST CORP | 952355204 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 731 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 3 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 365 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 467 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHH CORP | 693320202 | COM NEW | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNTEL INC | 87162H103 | COM | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 375 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDOCYTE INC | 29269A102 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDOLOGIX INC | 29266S106 | COM | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 267 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KEMET CORP | 488360207 | COM NEW | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 4,590 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC | 886423102 | COM | 2,289 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUM CORP | 747906204 | COM DSSG | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 61 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 211 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 60 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 31 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| AMYRIS INC | 03236M101 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERMOLECULAR INC | 45882D109 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 40 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 10,865 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Tremor Video | 89484Q100 | Common Stock | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| S&W SEED COMPANY COM | 785135104 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 2,650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEURALSTEM INC | 64127R302 | COM | 1,715 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUICKLOGIC CORP | 74837P108 | COM | 185 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATHERSYS INC | 04744L106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 127 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 53 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QAD INC-A | 74727D306 | CL A | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNI-PIXEL INC | 904572203 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFOSONICS CORP | 456784107 | COM | 900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 7,995 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 137 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 15,020 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GROUPON INC | 399473907 | COM | 8 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| UNITED STATES OIL FUND LP | 91232N958 | COM | 39 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VALEANT PHARMACEUTICALS INTE | 91911K952 | COM | 4 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VERIFONE SYSTEMS INC | 92342Y959 | COM | 5 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| WEIGHT WATCHERS INTL INC | 948626956 | COM | 15 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ENCANA CORP | 292505954 | COM | 27 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SEARS HOLDINGS CORP | 812350956 | COM | 45 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| QAD INC-B | 74727D207 | Common | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 137 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 35 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| MAGNEGAS CORP | 55939L202 | COM NEW | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,654 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 22 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 43 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIENTRA INC | 82621J105 | COM | 3,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AETERNA ZENTARIS INC | 007975402 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 42 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 73 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 103 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 1,134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 275 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUORUM HEALTH CORP | 74909E106 | COM | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 2,179 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 144 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COVISINT CORP | 22357R103 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EUROSEAS LTD | Y23592309 | SHS NEW | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P500 | COM PAR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 177 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 24 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 69 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 26 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 67 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 163 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 29 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 55 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 60 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 80 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 70 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 54 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| NYMOX PHARMACEUTICAL CORP | P73398952 | PUT | 10 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,101 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACTUA CORPORATION | 005094107 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Ocugen | 43358V109 | Common | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 7,046 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 6 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 525 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 22 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 62 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 290 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 119 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUNTERPATH CORP | 22228P302 | COM | 190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Aceto Corp | 004446AD2 | CONV BOND | 60 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 7 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 51 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 960 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 40 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 27 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 3 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 58 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 434 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC COM PAR NEW | Y2109Q309 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEVO INC COM PAR | 374396208 | Stock | 2,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 18 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 510 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 283 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUMULUS MEDIA INC. | 231082603 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FOUNDATION MEDICINE INC | 350465900 | COM | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG | 90270KAW9 | NOTE 2/1 | 21 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 43 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HONGLI CLEAN ENERGY TECHNOLO | 438586208 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-17-000001 | this filing | 2017-01-31 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000011 | base | 2017-11-02 | acceptance time not in the bulk data set |