13F-HR/A filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR/A for the quarter ended 2017-06-30, filed 2017-11-03, with 4,960 holding rows worth $5,691,826,000.
- Accession
- 0001681115-17-000013
- Filer
- CIK 1681115
- Filed
- 2017-11-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, amendment of type restatement, 13,757 entries on the cover page, a total value of $5,691,826,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,691,826,000 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 |
|---|---|---|---|---|---|---|
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 5,155 | $20,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 1,778 | $20,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 346 | $20,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,000 | $20,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 837 | $20,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,399 | $20,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 20 | $20,000 | thousands by filing date | principal |
| ALON USA ENERGY INC | 020520102 | COM | 1,492 | $20,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 795 | $20,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 264 | $20,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 624 | $20,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 3,050 | $20,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 290 | $20,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 20 | $20,000 | thousands by filing date | principal |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 2,021 | $20,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 11,400 | $20,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 175 | $20,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 700 | $19,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 327 | $19,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 437 | $19,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 136 | $19,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 134 | $19,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,189 | $19,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 1,500 | $19,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 556 | $19,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 701 | $19,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 5,115 | $19,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 932 | $19,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 155 | $19,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 364 | $19,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 457 | $19,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 376 | $19,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 1,640 | $19,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 386 | $19,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 427 | $19,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 251 | $19,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 5,500 | $19,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 18 | $19,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,237 | $19,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 2,153 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 35,700 | $19,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 780 | $19,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 21 | $19,000 | thousands by filing date | principal |
| KITE PHARMA INC | 49803L109 | COM | 180 | $19,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 1,180 | $19,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 14 | $19,000 | thousands by filing date | principal |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 608 | $18,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 1,155 | $18,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 447 | $18,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 315 | $18,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 800 | $18,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 210 | $18,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 666 | $18,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 405 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 600 | $18,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 2,388 | $18,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 1,613 | $18,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 416 | $18,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 900 | $18,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 520 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 140 | $18,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 1,674 | $18,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 285 | $18,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 810 | $18,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 678 | $18,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 988 | $18,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 595 | $18,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 330 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 1,155 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 441 | $18,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,800 | $18,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,097 | $18,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 2,500 | $18,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 401 | $18,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,605 | $18,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 7 | $18,000 | thousands by filing date | principal |
| SUPERVALU INC | 868536103 | COM | 5,355 | $18,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 1,082 | $18,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 500 | $18,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 4,500 | $18,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 691 | $18,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 900 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 849 | $18,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 464 | $17,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 694 | $17,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 269 | $17,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 309 | $17,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 636 | $17,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 939 | $17,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 2,280 | $17,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 269 | $17,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 607 | $17,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,525 | $17,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 650 | $17,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 587 | $17,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 759 | $17,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 4,385 | $17,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 394 | $17,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,200 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 248 | $17,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 5,879 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 193 | $17,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 647 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 152 | $17,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 750 | $17,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 176 | $17,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 1,316 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 483 | $17,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 250 | $17,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 1,000 | $17,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,283 | $17,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 1,027 | $17,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 865 | $17,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 4,737 | $17,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 202 | $17,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 292 | $17,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 3,639 | $17,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 629 | $17,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 1,193 | $17,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 807 | $17,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 623 | $17,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 590 | $17,000 | thousands by filing date | |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 623 | $17,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 232 | $16,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 691 | $16,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 413 | $16,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 965 | $16,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 1,540 | $16,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,125 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 137 | $16,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 173 | $16,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 390 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 155 | $16,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 678 | $16,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 451 | $16,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 1,177 | $16,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 599 | $16,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 1,080 | $16,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,000 | $16,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 385 | $16,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 682 | $16,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 1,883 | $16,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,600 | $16,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 346 | $16,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 4,350 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 340 | $16,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,302 | $16,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,000 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 426 | $16,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 280 | $16,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 270 | $16,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,310 | $16,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 1,005 | $16,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 1,275 | $16,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 3,250 | $16,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 900 | $16,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,247 | $16,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 200 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 1,639 | $16,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 11,649 | $16,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 600 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 598 | $16,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 400 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 820 | $16,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 11 | $16,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 7,000 | $16,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 4,200 | $16,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 16 | $16,000 | thousands by filing date | principal |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 14 | $16,000 | thousands by filing date | principal |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,252 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 670 | $16,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 14 | $16,000 | thousands by filing date | principal |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 16 | $16,000 | thousands by filing date | principal |
| ELFBEAUTYINC | 26856L103 | STOK | 581 | $15,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 1,090 | $15,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 623 | $15,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 616 | $15,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 525 | $15,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 500 | $15,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 394 | $15,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 365 | $15,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 654 | $15,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 384 | $15,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 230 | $15,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 404 | $15,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,000 | $15,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,100 | $15,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 596 | $15,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 526 | $15,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 152 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 629 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 631 | $15,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 807 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 302 | $15,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,085 | $15,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 879 | $15,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,367 | $15,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 500 | $15,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 481 | $15,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 3,250 | $15,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 1,702 | $15,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 376 | $15,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 164 | $15,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 3,776 | $15,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,350 | $15,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 15 | $15,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 99 | $15,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,000 | $15,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 680 | $15,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 12,000 | $15,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,292 | $15,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 879 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 261 | $15,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 12 | $15,000 | thousands by filing date | principal |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 164 | $15,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,123 | $14,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 179 | $14,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 634 | $14,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 179 | $14,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 535 | $14,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 724 | $14,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 360 | $14,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 814 | $14,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 374 | $14,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 752 | $14,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 177 | $14,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 526 | $14,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 900 | $14,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 626 | $14,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 1,047 | $14,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 400 | $14,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 417 | $14,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 308 | $14,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 1,200 | $14,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 650 | $14,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,500 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 1,400 | $14,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 487 | $14,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 843 | $14,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 338 | $14,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 674 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,255 | $14,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 887 | $14,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 500 | $14,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,100 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 212 | $14,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 800 | $14,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 865 | $14,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 373 | $14,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 12,373 | $14,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 613 | $14,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 8,257 | $14,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 464 | $14,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,207 | $14,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 811 | $14,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 4,009 | $14,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 420 | $14,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 1,000 | $14,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 326 | $14,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 955 | $14,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 800 | $14,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 151 | $14,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 1,095 | $14,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 1,000 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 300 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 620 | $14,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 308 | $14,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 1,020 | $14,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 895 | $14,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 1,000 | $14,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 500 | $14,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 14 | $14,000 | thousands by filing date | principal |
| WOORI BK | 98105T104 | ADR | 284 | $14,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 12 | $14,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 12 | $14,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 2 | $14,000 | thousands by filing date | principal |
| RAMBUS INC DEL COM | 750917106 | Stock | 1,046 | $13,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 357 | $13,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 244 | $13,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 8,000 | $13,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 615 | $13,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 5,224 | $13,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 315 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 690 | $13,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 280 | $13,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 976 | $13,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 13,000 | $13,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 639 | $13,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 600 | $13,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,690 | $13,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 1,045 | $13,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 423 | $13,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 481 | $13,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 3,825 | $13,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,203 | $13,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 681 | $13,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 655 | $13,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,072 | $13,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 140 | $13,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 4 | $13,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 274 | $13,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,320 | $13,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 560 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 175 | $13,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 1,478 | $13,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 697 | $13,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 526 | $13,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 1,500 | $13,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 2,515 | $13,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 652 | $13,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 400 | $13,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 8 | $13,000 | thousands by filing date | principal |
| TAILORED BRANDS INC | 87403A107 | COM | 1,195 | $13,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,101 | $13,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 10 | $13,000 | thousands by filing date | principal |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 723 | $12,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 1,024 | $12,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 157 | $12,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 120 | $12,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 179 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 500 | $12,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 204 | $12,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 334 | $12,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 5,277 | $12,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 1,318 | $12,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 799 | $12,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 500 | $12,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 723 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 150 | $12,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 1,000 | $12,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 324 | $12,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 1,226 | $12,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 366 | $12,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 676 | $12,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 625 | $12,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 345 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 400 | $12,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 86 | $12,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 4,080 | $12,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 10 | $12,000 | thousands by filing date | principal |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 787 | $12,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 3,850 | $12,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 1,500 | $12,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 830 | $12,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 3,750 | $12,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 526 | $12,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 579 | $12,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 775 | $12,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 5 | $12,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 3,800 | $11,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 250 | $11,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 645 | $11,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 1,000 | $11,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 423 | $11,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 309 | $11,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 3,090 | $11,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 242 | $11,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 512 | $11,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 1,200 | $11,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 887 | $11,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 153 | $11,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,340 | $11,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 301 | $11,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 825 | $11,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 706 | $11,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 6,730 | $11,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 712 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 250 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 479 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 500 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 219 | $11,000 | thousands by filing date | |
| NETFLIX INC. | 64110L906 | CALL | 3 | $11,000 | thousands by filing date | call |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,000 | $11,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,000 | $11,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 2,338 | $11,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 550 | $11,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 1,080 | $11,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 495 | $11,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 500 | $11,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 623 | $11,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 3,000 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 260 | $11,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,500 | $11,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 320 | $11,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 354 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 140 | $11,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 843 | $11,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 566 | $11,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 537 | $11,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 512 | $11,000 | thousands by filing date | |
| PROSHARES TR II | 74347W239 | ULTRA VIX ETF | 1,100 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 430 | $11,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 9,000 | $11,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 1,175 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M126 | GUGGENHEM 2026 | 577 | $11,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 11 | $11,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 8 | $11,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 366 | $11,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 1,110 | $10,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 240 | $10,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 905 | $10,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 340 | $10,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 6,821 | $10,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 209 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 290 | $10,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 15,194 | $10,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 210 | $10,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 300 | $10,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 14 | $10,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 256 | $10,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 305 | $10,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 265 | $10,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 594 | $10,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 606 | $10,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 163 | $10,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 736 | $10,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 250 | $10,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 173 | $10,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 1,036 | $10,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 615 | $10,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,320 | $10,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 150 | $10,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 170 | $10,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 776 | $10,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 688 | $10,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 146 | $10,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 700 | $10,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 450 | $10,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,342 | $10,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 951 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 183 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 216 | $10,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 616 | $10,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 1,200 | $10,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 2,396 | $10,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 15 | $10,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 457 | $10,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 505 | $10,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,850 | $10,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 357 | $10,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 532 | $10,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 600 | $10,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 213 | $10,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 270 | $10,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 5 | $10,000 | thousands by filing date | principal |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 1,180 | $10,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 17,000 | $10,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 145 | $10,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,398 | $10,000 | thousands by filing date | |
| STONEGATE BANK | 861811107 | COM | 228 | $10,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 600 | $10,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,500 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 377 | $10,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 469 | $10,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 862 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 380 | $10,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 500 | $10,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 7 | $10,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 5 | $10,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 10 | $10,000 | thousands by filing date | principal |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 10 | $10,000 | thousands by filing date | principal |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 503 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 10 | $10,000 | thousands by filing date | principal |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 4,300 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 100 | $9,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 242 | $9,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 1,305 | $9,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 132 | $9,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 500 | $9,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 646 | $9,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 218 | $9,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 134 | $9,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,014 | $9,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 915 | $9,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,549 | $9,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 261 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 100 | $9,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 1,119 | $9,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,089 | $9,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 500 | $9,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 250 | $9,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 850 | $9,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 115 | $9,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 270 | $9,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 664 | $9,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 632 | $9,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 599 | $9,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 1,000 | $9,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 420 | $9,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 541 | $9,000 | thousands by filing date | |
| VAREX IMAGING CORP | 92214X106 | COMMON STOCK | 237 | $9,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 458 | $9,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 750 | $9,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,101 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 367 | $9,000 | thousands by filing date | |
| BP PLC | 055622904 | CALL | 35 | $9,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 351 | $9,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 240 | $9,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 316 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-17-000009 | superseded | 2017-08-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000013 | this filing | 2017-11-03 | acceptance time not in the bulk data set |