13F-HR/A filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR/A for the quarter ended 2016-12-31, filed 2017-11-02, with 4,673 holding rows worth $4,424,928,000.
- Accession
- 0001681115-17-000011
- Filer
- CIK 1681115
- Filed
- 2017-11-02
- 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, amendment of type restatement, 12,911 entries on the cover page, a total value of $4,424,928,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,424,928,000 with VALUE read as thousands by filing date, 13F file number 028-17493. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| SUN HYDRAULICS CORP | 866942105 | COM | 724 | $29,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 347 | $29,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 1,028 | $29,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 847 | $29,000 | thousands by filing date | |
| FQF TR | 351680830 | O SHARES EUROP | 1,200 | $29,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 885 | $28,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 676 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 520 | $28,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 944 | $28,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 833 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 520 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 249 | $28,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 354 | $28,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 2,358 | $28,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 1,150 | $28,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 1,113 | $28,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 1,057 | $28,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 841 | $28,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 1,035 | $28,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 627 | $28,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 2,000 | $28,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 32,000 | $28,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 931 | $28,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 4,005 | $28,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 815 | $28,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 5,400 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 461 | $28,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 20,008 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 1,425 | $28,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 22 | $28,000 | thousands by filing date | principal |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 1,134 | $28,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 10,000 | $28,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 30 | $28,000 | thousands by filing date | principal |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 1,075 | $28,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 3,952 | $27,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 1,751 | $27,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 1,015 | $27,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 1,039 | $27,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 2,024 | $27,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 1,920 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 2,000 | $27,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 1,650 | $27,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 2,000 | $27,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 954 | $27,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 1,020 | $27,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 234 | $27,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 2,624 | $27,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 1,265 | $27,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 1,770 | $27,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 4,889 | $27,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 3,193 | $27,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 743 | $27,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 1,600 | $27,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 764 | $27,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 1,249 | $27,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 750 | $27,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 750 | $26,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 845 | $26,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1,230 | $26,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 1,298 | $26,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 230 | $26,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505904 | CALL | 50 | $26,000 | thousands by filing date | call |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 890 | $26,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 1,035 | $26,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 532 | $26,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 2,635 | $26,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 2,000 | $26,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 12 | $26,000 | thousands by filing date | principal |
| AQUA METALS INC | 03837J101 | COM | 1,943 | $26,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 26 | $26,000 | thousands by filing date | principal |
| ATWOOD OCEANICS INC | 050095108 | COM | 1,944 | $26,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 1,480 | $26,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 2,237 | $26,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 1,033 | $26,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 2,010 | $26,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 352 | $26,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,000 | $26,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 1,920 | $26,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 22 | $26,000 | thousands by filing date | principal |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,856 | $25,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 782 | $25,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 842 | $25,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 1,129 | $25,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 694 | $25,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 406 | $25,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 358 | $25,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 1,181 | $25,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 2,104 | $25,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 2,450 | $25,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 1,542 | $25,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 420 | $25,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 2,000 | $25,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 326 | $25,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 2,000 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 1,211 | $25,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,833 | $25,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 2,179 | $25,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 2,270 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 626 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,143 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 844 | $25,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 430 | $25,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 3,000 | $25,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 25 | $25,000 | thousands by filing date | principal |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 5,963 | $25,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 500 | $25,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 394 | $24,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,735 | $24,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 1,585 | $24,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 544 | $24,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 2,280 | $24,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 982 | $24,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 505 | $24,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 3,414 | $24,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 516 | $24,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 2,549 | $24,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 2,342 | $24,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 713 | $24,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 429 | $24,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 16,000 | $24,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 2,358 | $24,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 4,361 | $24,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 483 | $24,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 263 | $24,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 12 | $24,000 | thousands by filing date | principal |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 609 | $23,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 858 | $23,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 932 | $23,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 1,897 | $23,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 463 | $23,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 478 | $23,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 736 | $23,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 1,370 | $23,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 2,054 | $23,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 1,021 | $23,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 4,294 | $23,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 325 | $23,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 220 | $23,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 415 | $23,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 1,233 | $23,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 770 | $23,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 555 | $23,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 951 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 819 | $23,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 789 | $23,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 2,500 | $23,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,768 | $23,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,810 | $23,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,210 | $23,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 436 | $23,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 25,700 | $23,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 1,654 | $23,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 600 | $23,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 29 | $23,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 21 | $23,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 21 | $23,000 | thousands by filing date | principal |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 390 | $22,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 697 | $22,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 1,000 | $22,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 405 | $22,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 1,577 | $22,000 | thousands by filing date | |
| WEX INC | 96208T104 | COM | 201 | $22,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 1,363 | $22,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 441 | $22,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 436 | $22,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 1,000 | $22,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 356 | $22,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,861 | $22,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 667 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 900 | $22,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 717 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 482 | $22,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 1,950 | $22,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 704 | $22,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 422 | $22,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,211 | $22,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 772 | $22,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 888 | $22,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 2,650 | $22,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 818 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 575 | $22,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 1,000 | $22,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 24 | $22,000 | thousands by filing date | principal |
| Real Industry Inc | 75601w104 | CS | 3,761 | $22,000 | 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 | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 846 | $21,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 810 | $21,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 792 | $21,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 923 | $21,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 236 | $21,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 313 | $21,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 587 | $21,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 900 | $21,000 | thousands by filing date | |
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 72 | $21,000 | thousands by filing date | put |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 914 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 781 | $21,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 813 | $21,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 33,109 | $21,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 433 | $21,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 750 | $21,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 172 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 440 | $21,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 1,770 | $21,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 1,295 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,502 | $21,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 1,500 | $21,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 898 | $21,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 1,363 | $21,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 10,000 | $21,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A867 | MASTER INC ETF | 1,200 | $21,000 | 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 | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 419 | $20,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 609 | $20,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,446 | $20,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 900 | $20,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 1,467 | $20,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,616 | $20,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 1,765 | $20,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 2,333 | $20,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,500 | $20,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 617 | $20,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 682 | $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 | 3,225 | $20,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 8,235 | $20,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 2,300 | $20,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 200 | $20,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 15 | $20,000 | thousands by filing date | principal |
| CELADON GROUP INC | 150838100 | COM | 2,850 | $20,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 1,125 | $20,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 3,055 | $20,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 597 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 20 | $20,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 1,481 | $20,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 588 | $19,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 523 | $19,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 837 | $19,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 469 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 379 | $19,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 809 | $19,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 457 | $19,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 748 | $19,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 850 | $19,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 399 | $19,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 358 | $19,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 331 | $19,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 671 | $19,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,000 | $19,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 1,125 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 430 | $19,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,342 | $19,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 6,000 | $19,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 1,018 | $19,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 1,768 | $19,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 868 | $19,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 445 | $19,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 15 | $19,000 | thousands by filing date | principal |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,750 | $19,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 892 | $19,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,415 | $19,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,430 | $19,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 1,035 | $19,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 1,678 | $19,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 820 | $18,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 587 | $18,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 638 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 300 | $18,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 300 | $18,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 417 | $18,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,159 | $18,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 604 | $18,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 553 | $18,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 306 | $18,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 475 | $18,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 465 | $18,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 1,399 | $18,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 1,230 | $18,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,150 | $18,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 660 | $18,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 1,541 | $18,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 87 | $18,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 540 | $18,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 6,544 | $18,000 | thousands by filing date | |
| TEAM HEALTH HOLDINGS INC | 87817A107 | COMMON STOCK | 427 | $18,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,500 | $18,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 5,000 | $18,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 2,125 | $18,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 956 | $18,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 18 | $18,000 | thousands by filing date | principal |
| DIGIRAD CORP | 253827109 | COM | 3,691 | $18,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 850 | $18,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 780 | $18,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 666 | $18,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 800 | $18,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 20 | $18,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 700 | $18,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 950 | $18,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 1,226 | $18,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 18 | $18,000 | thousands by filing date | principal |
| STRATEGY INC CL A NEW | 594972408 | Stock | 88 | $17,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,595 | $17,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 2,305 | $17,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 1,200 | $17,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,581 | $17,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 604 | $17,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 1,355 | $17,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 636 | $17,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 798 | $17,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,500 | $17,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 4,500 | $17,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 240 | $17,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 810 | $17,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 941 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 700 | $17,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 445 | $17,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,600 | $17,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 653 | $17,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,200 | $17,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 2,807 | $17,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 4,208 | $17,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,120 | $17,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 750 | $17,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 406 | $17,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 233 | $17,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 1,100 | $17,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 586 | $17,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 809 | $17,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 650 | $17,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 11,800 | $17,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 202 | $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 |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 1,048 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 892 | $17,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 220 | $17,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 500 | $17,000 | thousands by filing date | |
| PROSHARES TR II | 74347W742 | PROSHS SHT EUR | 375 | $17,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 406 | $17,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 589 | $17,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 432 | $17,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 12 | $17,000 | thousands by filing date | principal |
| HARBORONE BANCORP INC | 41165F101 | COM | 900 | $17,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 645 | $17,000 | thousands by filing date | |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 693 | $17,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 453 | $16,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 300 | $16,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,700 | $16,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 444 | $16,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,125 | $16,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 332 | $16,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 442 | $16,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 6,546 | $16,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 761 | $16,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 1,039 | $16,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 213 | $16,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 1,000 | $16,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 546 | $16,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 240 | $16,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 470 | $16,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 844 | $16,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 578 | $16,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 1,323 | $16,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 1,000 | $16,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 1,000 | $16,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 532 | $16,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 5,879 | $16,000 | thousands by filing date | |
| INFRAREIT INC | 45685L100 | COM | 942 | $16,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,709 | $16,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 6,124 | $16,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 673 | $16,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 590 | $16,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 2,168 | $16,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,671 | $16,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,450 | $16,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 2,012 | $16,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 7,460 | $16,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 322 | $16,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 1,745 | $16,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 598 | $16,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 955 | $16,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 493 | $16,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 2,800 | $16,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 14 | $16,000 | thousands by filing date | principal |
| Foundation Medicine Inc | 350465100 | COM | 877 | $16,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 286 | $15,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 1,090 | $15,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 732 | $15,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 500 | $15,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 653 | $15,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 576 | $15,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,312 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 588 | $15,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 558 | $15,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 411 | $15,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 220 | $15,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 359 | $15,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 2,350 | $15,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 519 | $15,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 2,936 | $15,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 418 | $15,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 817 | $15,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 596 | $15,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 750 | $15,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 1,883 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 340 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 291 | $15,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 888 | $15,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 721 | $15,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,055 | $15,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 509 | $15,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 319 | $15,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 15 | $15,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 11 | $15,000 | thousands by filing date | principal |
| DERMIRA INC | 24983L104 | COM | 481 | $15,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,167 | $15,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 3,250 | $15,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 404 | $15,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 674 | $15,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 850 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 236 | $15,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 200 | $15,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 1,387 | $15,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,691 | $15,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 761 | $15,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 600 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 420 | $15,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 354 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 598 | $15,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 12,000 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 820 | $15,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 15 | $15,000 | thousands by filing date | principal |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,252 | $15,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 15 | $15,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 13 | $15,000 | thousands by filing date | principal |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 316 | $15,000 | thousands by filing date | |
| RECON CAP SER TR | 75623U201 | RECON CAP DAX GE | 600 | $15,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 224 | $14,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 287 | $14,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 990 | $14,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 215 | $14,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 193 | $14,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 292 | $14,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,983 | $14,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 309 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 256 | $14,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 803 | $14,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 204 | $14,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 444 | $14,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,010 | $14,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 388 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,007 | $14,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 487 | $14,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 279 | $14,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 357 | $14,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 1,100 | $14,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 359 | $14,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 730 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,175 | $14,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 1,191 | $14,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,000 | $14,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 565 | $14,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,000 | $14,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 659 | $14,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 6,816 | $14,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 369 | $14,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 867 | $14,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 14 | $14,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 12 | $14,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 6 | $14,000 | thousands by filing date | principal |
| RICHMONT MINES INC | 76547T106 | COM | 2,158 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 545 | $14,000 | thousands by filing date | |
| CERNER CORP | 156782954 | COM | 110 | $14,000 | thousands by filing date | put |
| GAS NAT INC | 367204104 | COM | 1,082 | $14,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 10 | $14,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 650 | $14,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 233 | $14,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 75,000 | $14,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,000 | $14,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 2,368 | $13,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 446 | $13,000 | thousands by filing date | |
| SPS COMM INC COM | 78463M107 | Stock | 187 | $13,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 95 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 630 | $13,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 36 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 500 | $13,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 394 | $13,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 1,135 | $13,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 798 | $13,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 313 | $13,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 758 | $13,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 298 | $13,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 231 | $13,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 522 | $13,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 206 | $13,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 505 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 327 | $13,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 243 | $13,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 605 | $13,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 10 | $13,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-17-000001 | superseded | 2017-01-31 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000011 | this filing | 2017-11-02 | acceptance time not in the bulk data set |