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Disclosery

Advisor Group, Inc.

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13F filer, CIK 1681115, PHOENIX, AZ

Advisor Group, Inc. reported $10,184,241,000 across 5,290 holdings for the quarter ended 2018-12-31, in a 13F-HR filed 2019-02-11. Its ten largest share positions make up 19.6% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001681115-19-000001

Period
2018-12-31
Reported value
$10.2B
Holdings
5,290
Top 10 weight
19.6%
New
290
Sold out
256

Largest buys vs the previous quarter

SecurityShares changeApprox. value
IVVadded+493,431$124M
VTVadded+762,888$74.8M
VEAadded+1,874,583$69.6M
HDVadded+711,026$60M
VUGadded+430,489$58M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
SPYGreduced-1,744,959-$56.7M
IWOreduced-238,078-$40M
HYGreduced-455,441-$36.9M
SPDR SERIES TRUST BLOOMBERG…reduced-854,910-$28.7M
IUSGreduced-395,144-$20.8M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q4 2018

Share positions as resolved from 13F-HR 0001681115-19-000001, largest first. % of portfolio is the value over $10,183,618,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
NLNLI HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 13 shares; 2018Q4: 13 shares 13$00%0Value filed as zero, left out of ratios.Timeline
FOSLFOSSIL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 30 shares 30$00%newValue filed as zero, left out of ratios.Timeline
CIACITIZENS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 29 shares; 2018Q2: 29 shares; 2018Q3: 29 shares; 2018Q4: 29 shares 29$00%0Value filed as zero, left out of ratios.Timeline
RBBNRIBBON COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 20 shares; 2018Q2: 20 shares; 2018Q3: 20 shares; 2018Q4: 20 shares 20$00%0Value filed as zero, left out of ratios.Timeline
PERIPERION NETWORK LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 47 shares; 2018Q4: 47 shares 47$00%0Value filed as zero, left out of ratios.Timeline
JOBGEE GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 12 shares; 2018Q2: 12 shares; 2018Q3: 12 shares; 2018Q4: 12 shares 12$00%0Value filed as zero, left out of ratios.Timeline
ZDGEZEDGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 200 shares; 2018Q2: 200 shares; 2018Q3: 200 shares; 2018Q4: 200 shares 200$00%0Value filed as zero, left out of ratios.Timeline
CATOCATO CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 1,520 shares; 2018Q2: 1,520 shares; 2018Q3: 8 shares; 2018Q4: 8 shares 8$00%0Value filed as zero, left out of ratios.Timeline
LOMALOMA NEGRA C I A S A MTN 14Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 513 shares; 2018Q2: not reported; 2018Q3: 36 shares; 2018Q4: 36 shares 36$00%0Value filed as zero, left out of ratios.Timeline
IDNINTELLICHECK MOBILISA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 50 shares; 2018Q2: 50 shares; 2018Q3: 50 shares; 2018Q4: 50 shares 50$00%0Value filed as zero, left out of ratios.Timeline
DRNDIREXION SHARES ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 817 shares; 2018Q2: 645 shares; 2018Q3: 1,006 shares; 2018Q4: 24 shares 24$00%-982Value filed as zero, left out of ratios.Timeline
SUPVGRUPO SUPERVIELLE S.A.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 1,336 shares; 2018Q2: 423 shares; 2018Q3: 44 shares; 2018Q4: 44 shares 44$00%0Value filed as zero, left out of ratios.Timeline
YCSPROSHARES TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 3 shares; 2018Q4: 3 shares 3$00%0Value filed as zero, left out of ratios.Timeline
NHTCNATURAL HEALTH TRENDS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 302 shares; 2018Q2: 2,753 shares; 2018Q3: 24 shares; 2018Q4: 9 shares 9$00%-15Value filed as zero, left out of ratios.Timeline
USLUNITED STS 12 MONTH OIL FD LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 24 shares; 2018Q2: 24 shares; 2018Q3: 24 shares; 2018Q4: 24 shares 24$00%0Value filed as zero, left out of ratios.Timeline
IHTINNSUITES HOSPITALITY TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 307 shares; 2018Q2: 307 shares; 2018Q3: 307 shares; 2018Q4: 307 shares 307$00%0Value filed as zero, left out of ratios.Timeline
RVPRETRACTABLE TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 130 shares; 2018Q2: 130 shares; 2018Q3: 130 shares; 2018Q4: 130 shares 130$00%0Value filed as zero, left out of ratios.Timeline
KELLY SVCS INCKELLY SVCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 7 shares; 2018Q2: 7 shares; 2018Q3: 7 shares; 2018Q4: 7 shares 7$00%0Value filed as zero, left out of ratios.
BIO-BBIO RAD LABS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 1 shares; 2018Q4: 1 shares 1$00%0Value filed as zero, left out of ratios.Timeline
GIGMGIGAMEDIA LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 20 shares; 2018Q2: 20 shares; 2018Q3: 20 shares; 2018Q4: 20 shares 20$00%0Value filed as zero, left out of ratios.Timeline
Rithm Property Trust IncRithm Property Trust IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 9 shares 9$00%newValue filed as zero, left out of ratios.
FRONTLINE PLC FFRONTLINE PLC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 359 shares; 2018Q2: 359 shares; 2018Q3: 359 shares; 2018Q4: 94 shares 94$00%-265Value filed as zero, left out of ratios.
iShares MSCI Russia ETF Spe…iShares MSCI Russia ETF SpecialQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 6 shares; 2018Q2: 6 shares; 2018Q3: 6 shares; 2018Q4: 6 shares 6$00%0Value filed as zero, left out of ratios.
OWENS RLTY MTG INCOWENS RLTY MTG INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 7 shares; 2018Q4: 7 shares 7$00%0Value filed as zero, left out of ratios.
AAUAFALMADEN MINERALS LTD COM CLASSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 600 shares; 2018Q2: 600 shares; 2018Q3: 600 shares; 2018Q4: 600 shares 600$00%0Value filed as zero, left out of ratios.Timeline
CEDAR REALTY TRUST INCCEDAR REALTY TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 1,329 shares; 2018Q2: 689 shares; 2018Q3: 29 shares; 2018Q4: 29 shares 29$00%0Value filed as zero, left out of ratios.
VITAL ENERGY INCVITAL ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 1,325 shares; 2018Q3: 1,355 shares; 2018Q4: 35 shares 35$00%-1,320Value filed as zero, left out of ratios.
SRNESORRENTO THERAPEUTICS, INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: not reported; 2018Q4: 31 shares 31$00%newValue filed as zero, left out of ratios.Timeline
TEEKAY OFFSHORE PARTNERS LPTEEKAY OFFSHORE PARTNERS LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
WIDEOPENWEST INCWIDEOPENWEST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 20 shares; 2018Q3: 20 shares; 2018Q4: 20 shares 20$00%0Value filed as zero, left out of ratios.
BARNES & NOBLE ED INCBARNES & NOBLE ED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 183 shares; 2018Q2: 183 shares; 2018Q3: 57 shares; 2018Q4: 57 shares 57$00%0Value filed as zero, left out of ratios.
Helios and Matheson Analyti…Helios and Matheson Analytics IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 97,011 shares; 2018Q4: 8 shares 8$00%-97,003Value filed as zero, left out of ratios.
RANGER OIL CORPORATION CLAS…RANGER OIL CORPORATION CLASS A COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 680 shares; 2018Q4: 4 shares 4$00%-676Value filed as zero, left out of ratios.
PCSB FINL CORP COMPCSB FINL CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 5 shares; 2018Q4: 5 shares 5$00%0Value filed as zero, left out of ratios.
AXOVANT SCIENCES LTDAXOVANT SCIENCES LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2,154 shares; 2018Q2: 154 shares; 2018Q3: 394 shares; 2018Q4: 894 shares 894$00%+500Value filed as zero, left out of ratios.
IRSA INVERSIONES Y REP S A …IRSA INVERSIONES Y REP S A SPON G…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 686 shares; 2018Q2: 51 shares; 2018Q3: 51 shares; 2018Q4: 5 shares 5$00%-46Value filed as zero, left out of ratios.
REGIS CORPREGIS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 15 shares; 2018Q4: 15 shares 15$00%0Value filed as zero, left out of ratios.
ELECTRAMECCANICA VEHSELECTRAMECCANICA VEHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
BANKFINANCIAL CORPBANKFINANCIAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 8 shares 8$00%newValue filed as zero, left out of ratios.
AMYRIS INCAMYRIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 21 shares; 2018Q2: 21 shares; 2018Q3: 21 shares; 2018Q4: 21 shares 21$00%0Value filed as zero, left out of ratios.
MMA Capital Management LLCMMA Capital Management LLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 12 shares; 2018Q2: 12 shares; 2018Q3: 12 shares; 2018Q4: 12 shares 12$00%0Value filed as zero, left out of ratios.
TIDEWATER INC NEWTIDEWATER INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 108 shares; 2018Q2: 108 shares; 2018Q3: 108 shares; 2018Q4: 108 shares 108$00%0Value filed as zero, left out of ratios.
TIDEWATER INC NEWTIDEWATER INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 119 shares; 2018Q2: 119 shares; 2018Q3: 119 shares; 2018Q4: 119 shares 119$00%0Value filed as zero, left out of ratios.
VISTRA CORPVISTRA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 1,060 shares; 2018Q3: 244 shares; 2018Q4: 244 shares 244$00%0Value filed as zero, left out of ratios.
QUANTUM CORPQUANTUM CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 187 shares; 2018Q4: 187 shares 187$00%0Value filed as zero, left out of ratios.
CTI BIOPHARMA CORPCTI BIOPHARMA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 550 shares; 2018Q2: 550 shares; 2018Q3: 83 shares; 2018Q4: 83 shares 83$00%0Value filed as zero, left out of ratios.
PARTY CITY HOLDCO INCPARTY CITY HOLDCO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 11 shares 11$00%newValue filed as zero, left out of ratios.
ALTISOURCE ASSET MGMT CORPALTISOURCE ASSET MGMT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 5 shares; 2018Q2: 5 shares; 2018Q3: 5 shares; 2018Q4: 5 shares 5$00%0Value filed as zero, left out of ratios.
FORTRESS BIOTECH INCFORTRESS BIOTECH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 16 shares; 2018Q3: 16 shares; 2018Q4: 16 shares 16$00%0Value filed as zero, left out of ratios.
EMAGIN CORPEMAGIN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
GOLDEN STAR RES LTD CDAGOLDEN STAR RES LTD CDAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 100 shares 100$00%newValue filed as zero, left out of ratios.
ICONIX BRAND GROUP INCICONIX BRAND GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 648 shares; 2018Q2: 648 shares; 2018Q3: 600 shares; 2018Q4: 600 shares 600$00%0Value filed as zero, left out of ratios.
CHINA FIN ONLINE CO LTDCHINA FIN ONLINE CO LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
PIER 1 IMPORTS INCPIER 1 IMPORTS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 65,961 shares; 2018Q2: 951 shares; 2018Q3: 1,243 shares; 2018Q4: 969 shares 969$00%-274Value filed as zero, left out of ratios.
INNERWORKINGS INCINNERWORKINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 382 shares; 2018Q2: 209 shares; 2018Q3: 77 shares; 2018Q4: 77 shares 77$00%0Value filed as zero, left out of ratios.
O2MICRO INTERNATIONAL LTDO2MICRO INTERNATIONAL LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 200 shares 200$00%newValue filed as zero, left out of ratios.
EXONE COEXONE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 220 shares; 2018Q2: 220 shares; 2018Q3: 70 shares; 2018Q4: 90 shares 90$00%+20Value filed as zero, left out of ratios.
CLOUD PEAK ENERGY INCCLOUD PEAK ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 630 shares; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 685 shares 685$00%newValue filed as zero, left out of ratios.
ACHILLION PHARMACEUTICALS INACHILLION PHARMACEUTICALS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 87 shares; 2018Q2: 87 shares; 2018Q3: 87 shares; 2018Q4: 87 shares 87$00%0Value filed as zero, left out of ratios.
UTSTARCOM HOLDINGS CORPUTSTARCOM HOLDINGS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 3,766 shares; 2018Q2: 3,766 shares; 2018Q3: 4,766 shares; 2018Q4: 66 shares 66$00%-4,700Value filed as zero, left out of ratios.
DIVERSICARE HEALTHCARE SVCSDIVERSICARE HEALTHCARE SVCSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 200 shares; 2018Q2: 200 shares; 2018Q3: 200 shares; 2018Q4: 200 shares 200$00%0Value filed as zero, left out of ratios.
INTERMOLECULAR INCINTERMOLECULAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 200 shares; 2018Q2: 200 shares; 2018Q3: 200 shares; 2018Q4: 200 shares 200$00%0Value filed as zero, left out of ratios.
FRED S INC CLASS AFRED S INC CLASS AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 203 shares 203$00%newValue filed as zero, left out of ratios.
CHRISTOPHER + BANKS CORPCHRISTOPHER + BANKS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 1,000 shares; 2018Q2: 1,000 shares; 2018Q3: 1,000 shares; 2018Q4: 1,000 shares 1,000$00%0Value filed as zero, left out of ratios.
Cbs Corporation Cl A NewCbs Corporation Cl A NewQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 4 shares 4$00%newValue filed as zero, left out of ratios.
SEMICONDUCTOR MFG INTL CORPSEMICONDUCTOR MFG INTL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 44 shares; 2018Q2: 44 shares; 2018Q3: 44 shares; 2018Q4: 44 shares 44$00%0Value filed as zero, left out of ratios.
TEEKAY TANKERS LTDTEEKAY TANKERS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 500 shares; 2018Q2: 500 shares; 2018Q3: 800 shares; 2018Q4: 700 shares 700$00%-100Value filed as zero, left out of ratios.
NAVIDEA BIOPHARMACEUTICALS INAVIDEA BIOPHARMACEUTICALS IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2,000 shares; 2018Q2: 2,000 shares; 2018Q3: 2,000 shares; 2018Q4: 2,000 shares 2,000$00%0Value filed as zero, left out of ratios.
SANDRIDGE MISSISSIPPIAN TR ISANDRIDGE MISSISSIPPIAN TR IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 13,235 shares; 2018Q2: 13,673 shares; 2018Q3: 14,118 shares; 2018Q4: 2 shares 2$00%-14,116Value filed as zero, left out of ratios.
ROCKWELL MED INCROCKWELL MED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 200 shares 200$00%newValue filed as zero, left out of ratios.
ASCENT CAPITAL GROUP INC-AASCENT CAPITAL GROUP INC-AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 3 shares; 2018Q4: 3 shares 3$00%0Value filed as zero, left out of ratios.
ATHERSYS INCATHERSYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
TRAVELCENTERS OF AMERICA LLCTRAVELCENTERS OF AMERICA LLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 107 shares; 2018Q2: 67 shares; 2018Q3: 67 shares; 2018Q4: 67 shares 67$00%0Value filed as zero, left out of ratios.
CRAFT BREW ALLIANCE INCCRAFT BREW ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 78 shares; 2018Q2: 78 shares; 2018Q3: 24 shares; 2018Q4: 24 shares 24$00%0Value filed as zero, left out of ratios.
BIOLINERX LTD-SPONS ADRBIOLINERX LTD-SPONS ADRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
BSQUARE CORPBSQUARE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 31 shares; 2018Q2: 31 shares; 2018Q3: 31 shares; 2018Q4: 31 shares 31$00%0Value filed as zero, left out of ratios.
CELGENE CORPCELGENE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 1 shares; 2018Q2: 1 shares; 2018Q3: 1 shares; 2018Q4: 1 shares 1$00%0Value filed as zero, left out of ratios.
MORGAN STANLEY EMER MKTS FDMORGAN STANLEY EMER MKTS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 3 shares; 2018Q2: 3 shares; 2018Q3: 3 shares; 2018Q4: 3 shares 3$00%0Value filed as zero, left out of ratios.
QAD INC-BQAD INC-BQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 10 shares; 2018Q2: 1,699 shares; 2018Q3: 10 shares; 2018Q4: 10 shares 10$00%0Value filed as zero, left out of ratios.
XINYUAN REAL ESTATE CO LTDXINYUAN REAL ESTATE CO LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 3,764 shares; 2018Q2: 3,764 shares; 2018Q3: 3,764 shares; 2018Q4: 19 shares 19$00%-3,745Value filed as zero, left out of ratios.
ON TRACK INNOVATION LTDON TRACK INNOVATION LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
BIOANALYTICAL SYS INCBIOANALYTICAL SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
BROADVISION INCBROADVISION INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 8 shares; 2018Q2: 8 shares; 2018Q3: 8 shares; 2018Q4: 8 shares 8$00%0Value filed as zero, left out of ratios.
OPTIBASE LTDOPTIBASE LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 20 shares; 2018Q4: 20 shares 20$00%0Value filed as zero, left out of ratios.
RICEBRAN TECHNOLOGIESRICEBRAN TECHNOLOGIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 30 shares; 2018Q2: 30 shares; 2018Q3: 30 shares; 2018Q4: 30 shares 30$00%0Value filed as zero, left out of ratios.
TENAX THERAPEUTICS INCTENAX THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 65 shares; 2018Q2: 65 shares; 2018Q3: 65 shares; 2018Q4: 65 shares 65$00%0Value filed as zero, left out of ratios.
MARKER THERAPEUTICS INCMARKER THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 18 shares 18$00%newValue filed as zero, left out of ratios.
ION GEOPHYSICAL CORPION GEOPHYSICAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 410 shares; 2018Q2: 16 shares; 2018Q3: 16 shares; 2018Q4: 16 shares 16$00%0Value filed as zero, left out of ratios.
ADVAXIS INCADVAXIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 5,800 shares; 2018Q2: 5,800 shares; 2018Q3: 1,300 shares; 2018Q4: 300 shares 300$00%-1,000Value filed as zero, left out of ratios.
TIDEWATER INC NEWTIDEWATER INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 52 shares 52$00%newValue filed as zero, left out of ratios.
ONCOCYTE CORPONCOCYTE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 12 shares; 2018Q2: 12 shares; 2018Q3: 12 shares; 2018Q4: 12 shares 12$00%0Value filed as zero, left out of ratios.
LILIS ENERGY INCLILIS ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 300 shares; 2018Q3: 300 shares; 2018Q4: 300 shares 300$00%0Value filed as zero, left out of ratios.
FTD COS INCFTD COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 50 shares; 2018Q2: 50 shares; 2018Q3: 50 shares; 2018Q4: 50 shares 50$00%0Value filed as zero, left out of ratios.
RETAIL VALUE INCRETAIL VALUE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 41 shares; 2018Q4: 7 shares 7$00%-34Value filed as zero, left out of ratios.
ENSYNC INC.ENSYNC INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 300 shares; 2018Q4: 300 shares 300$00%0Value filed as zero, left out of ratios.
AILERON THERAPEUTICS INC CO…AILERON THERAPEUTICS INC COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 150 shares; 2018Q2: 150 shares; 2018Q3: 150 shares; 2018Q4: 150 shares 150$00%0Value filed as zero, left out of ratios.
QUORUM HEALTH CORPQUORUM HEALTH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 88 shares; 2018Q2: 76 shares; 2018Q3: 76 shares; 2018Q4: 76 shares 76$00%0Value filed as zero, left out of ratios.
APRICUS BIOSCIENCES INCAPRICUS BIOSCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 588 shares; 2018Q2: 588 shares; 2018Q3: 588 shares; 2018Q4: 588 shares 588$00%0Value filed as zero, left out of ratios.
ARADIGM CORPARADIGM CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2,100 shares; 2018Q2: 1,100 shares; 2018Q3: 1,100 shares; 2018Q4: 1,100 shares 1,100$00%0Value filed as zero, left out of ratios.
COMMUNITY HEALTH SYS INC NEWCOMMUNITY HEALTH SYS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 20 shares 20$00%newValue filed as zero, left out of ratios.
FUELCELL ENERGY INCFUELCELL ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 11,500 shares; 2018Q2: 679 shares; 2018Q3: 679 shares; 2018Q4: 554 shares 554$00%-125Value filed as zero, left out of ratios.
OPHTHOTECH CORPOPHTHOTECH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 161 shares; 2018Q2: 161 shares; 2018Q3: 452 shares; 2018Q4: 27 shares 27$00%-425Value filed as zero, left out of ratios.
REXAHN PHARMACEUTICALS INCREXAHN PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 280 shares; 2018Q4: 280 shares 280$00%0Value filed as zero, left out of ratios.
NOBILIS HEALTH CORPNOBILIS HEALTH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 500 shares 500$00%newValue filed as zero, left out of ratios.
PERNIX THERAPEUTICS HLDGS INPERNIX THERAPEUTICS HLDGS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 177 shares; 2018Q2: 177 shares; 2018Q3: 177 shares; 2018Q4: 177 shares 177$00%0Value filed as zero, left out of ratios.
GRANA Y MONTERO S A AGRANA Y MONTERO S A AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 26 shares; 2018Q2: not reported; 2018Q3: 18 shares; 2018Q4: 18 shares 18$00%0Value filed as zero, left out of ratios.
BELLATRIX EXPLORATION LTDBELLATRIX EXPLORATION LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2,600 shares; 2018Q2: 1,000 shares; 2018Q3: 1,000 shares; 2018Q4: 1,000 shares 1,000$00%0Value filed as zero, left out of ratios.
AVINGER INCAVINGER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 4 shares; 2018Q2: 4 shares; 2018Q3: 4 shares; 2018Q4: 4 shares 4$00%0Value filed as zero, left out of ratios.
COVIA HLDGS CORPCOVIA HLDGS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 200 shares; 2018Q3: 551 shares; 2018Q4: 141 shares 141$00%-410Value filed as zero, left out of ratios.
CYTORI THERAPEUTICS INCCYTORI THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 16 shares; 2018Q3: 10 shares; 2018Q4: 10 shares 10$00%0Value filed as zero, left out of ratios.
DOVA PHARMACEUTICALS INCDOVA PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 50 shares; 2018Q2: 50 shares; 2018Q3: 50 shares; 2018Q4: 50 shares 50$00%0Value filed as zero, left out of ratios.
VIVUS INCVIVUS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 250 shares; 2018Q4: 250 shares 250$00%0Value filed as zero, left out of ratios.
SEADRILL LTDSEADRILL LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 47 shares; 2018Q4: 55 shares 55$00%+8Value filed as zero, left out of ratios.
NAVIOS MARITIME ACQUIS CORPNAVIOS MARITIME ACQUIS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 111 shares 111$00%newValue filed as zero, left out of ratios.
CLEVELAND BIOLABS INCCLEVELAND BIOLABS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 25 shares; 2018Q2: 25 shares; 2018Q3: 25 shares; 2018Q4: 25 shares 25$00%0Value filed as zero, left out of ratios.
GREAT ELM CAP CORPGREAT ELM CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 196 shares; 2018Q2: 201 shares; 2018Q3: 205 shares; 2018Q4: 11 shares 11$00%-194Value filed as zero, left out of ratios.
CELSION CORPCELSION CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 35 shares 35$00%newValue filed as zero, left out of ratios.
MILLENDO THERAPEUTICS INCMILLENDO THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 3 shares 3$00%newValue filed as zero, left out of ratios.
CALADRIUS BIOSCIENCES INCCALADRIUS BIOSCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 10 shares; 2018Q2: 10 shares; 2018Q3: 10 shares; 2018Q4: 10 shares 10$00%0Value filed as zero, left out of ratios.
AYTU BIOSCIENCE INCAYTU BIOSCIENCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 2 shares; 2018Q4: 2 shares 2$00%0Value filed as zero, left out of ratios.
PHIO PHARMACEUTICALS CORPPHIO PHARMACEUTICALS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 19 shares 19$00%newValue filed as zero, left out of ratios.
AKARI THERAPEUTICS PLCAKARI THERAPEUTICS PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 25 shares; 2018Q2: 25 shares; 2018Q3: 25 shares; 2018Q4: 25 shares 25$00%0Value filed as zero, left out of ratios.
GLOBUS MARITIME LIMITED NEWGLOBUS MARITIME LIMITED NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 56 shares 56$00%newValue filed as zero, left out of ratios.
SUPERCONDUCTOR TECHNOLOGIESSUPERCONDUCTOR TECHNOLOGIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 4 shares; 2018Q4: 4 shares 4$00%0Value filed as zero, left out of ratios.
AKERS BIOSCIENCES INCAKERS BIOSCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 250 shares 250$00%newValue filed as zero, left out of ratios.
FIBROCELL SCIENCE INCFIBROCELL SCIENCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 54 shares; 2018Q3: 54 shares; 2018Q4: 54 shares 54$00%0Value filed as zero, left out of ratios.
NEURALSTEM INCNEURALSTEM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 133 shares; 2018Q2: 133 shares; 2018Q3: 133 shares; 2018Q4: 133 shares 133$00%0Value filed as zero, left out of ratios.
CYTRX CORPCYTRX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 144 shares; 2018Q2: 144 shares; 2018Q3: 144 shares; 2018Q4: 240 shares 240$00%+96Value filed as zero, left out of ratios.
CASI PHARMACEUTICALS INCCASI PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 90 shares; 2018Q2: 90 shares; 2018Q3: 90 shares; 2018Q4: 90 shares 90$00%0Value filed as zero, left out of ratios.
MELINTA THERAPEUTICS INCMELINTA THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 200 shares; 2018Q2: 200 shares; 2018Q3: 270 shares; 2018Q4: 270 shares 270$00%0Value filed as zero, left out of ratios.
FIRST CHOICE BANCORPFIRST CHOICE BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 5 shares 5$00%newValue filed as zero, left out of ratios.
CONTURA ENERGY INCCONTURA ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 2 shares 2$00%newValue filed as zero, left out of ratios.
ENDRA LIFE SCIENCES INC COM…ENDRA LIFE SCIENCES INC COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 500 shares; 2018Q4: 250 shares 250$00%-250Value filed as zero, left out of ratios.
FIRST TR EXCHANGE-TRADED FDFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 3 shares; 2018Q4: 3 shares 3$00%0Value filed as zero, left out of ratios.
TITAN PHARMACEUTICALS INC DETITAN PHARMACEUTICALS INC DEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2,100 shares; 2018Q2: 2,100 shares; 2018Q3: 2,100 shares; 2018Q4: 2,100 shares 2,100$00%0Value filed as zero, left out of ratios.
SELLAS LIFE SCIENCES GROUP ISELLAS LIFE SCIENCES GROUP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 6 shares; 2018Q2: 1 shares; 2018Q3: 1 shares; 2018Q4: 2 shares 2$00%+1Value filed as zero, left out of ratios.
ASTERIAS BIOTHERAPEUTICS INCASTERIAS BIOTHERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 49 shares; 2018Q2: 49 shares; 2018Q3: 49 shares; 2018Q4: 53 shares 53$00%+4Value filed as zero, left out of ratios.
BASIC ENERGY SVCS INC NEWBASIC ENERGY SVCS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2 shares; 2018Q2: 2 shares; 2018Q3: 2 shares; 2018Q4: 2 shares 2$00%0Value filed as zero, left out of ratios.
CHECK CAP LTDCHECK CAP LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 167 shares; 2018Q3: 167 shares; 2018Q4: 167 shares 167$00%0Value filed as zero, left out of ratios.
OcugenOcugenQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
EP ENERGY CORPEP ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares 100$00%0Value filed as zero, left out of ratios.
KEY ENERGY SVCS INC DELKEY ENERGY SVCS INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 3 shares; 2018Q2: 3 shares; 2018Q3: 3 shares; 2018Q4: 3 shares 3$00%0Value filed as zero, left out of ratios.
HEMISPHERX BIOPHARMA INCHEMISPHERX BIOPHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 250 shares; 2018Q2: 250 shares; 2018Q3: 250 shares; 2018Q4: 250 shares 250$00%0Value filed as zero, left out of ratios.
ONCOSEC MED INCONCOSEC MED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 658 shares; 2018Q3: 658 shares; 2018Q4: 658 shares 658$00%0Value filed as zero, left out of ratios.
MARATHON PATENT GROUP INCMARATHON PATENT GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 750 shares; 2018Q2: 750 shares; 2018Q3: 750 shares; 2018Q4: 750 shares 750$00%0Value filed as zero, left out of ratios.
NAVIOS MARITIME CHG CONTAIN…NAVIOS MARITIME CHG CONTAINERS LP…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 43 shares 43$00%newValue filed as zero, left out of ratios.
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 1 shares; 2018Q4: 1 shares 1$00%0Value filed as zero, left out of ratios.
TROVAGENE INC COM PARTROVAGENE INC COM PARQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 255 shares; 2018Q3: 118 shares; 2018Q4: 118 shares 118$00%0Value filed as zero, left out of ratios.
SEQUENTIAL BRNDS GROUP ISEQUENTIAL BRNDS GROUP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 196 shares; 2018Q2: 196 shares; 2018Q3: 296 shares; 2018Q4: 296 shares 296$00%0Value filed as zero, left out of ratios.
TALOS ENERGY INCTALOS ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 237 shares; 2018Q3: 206 shares; 2018Q4: 153 shares 153$00%-53Value filed as zero, left out of ratios.
PAIN THERAPEUTICS INCPAIN THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 337 shares; 2018Q2: 337 shares; 2018Q3: 37 shares; 2018Q4: 37 shares 37$00%0Value filed as zero, left out of ratios.
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 2 shares; 2018Q4: 1 shares 1$00%-1Value filed as zero, left out of ratios.
U S ENERGY CORP WYOU S ENERGY CORP WYOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 83 shares; 2018Q2: 83 shares; 2018Q3: 83 shares; 2018Q4: 83 shares 83$00%0Value filed as zero, left out of ratios.
CONTRAVIR PHARMACEUTICALS INCONTRAVIR PHARMACEUTICALS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: 35 shares; 2018Q3: 35 shares; 2018Q4: 35 shares 35$00%0Value filed as zero, left out of ratios.
WHEELER REAL ESTATE INVT TRWHEELER REAL ESTATE INVT TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 2,100 shares; 2018Q2: 2,100 shares; 2018Q3: 2,100 shares; 2018Q4: 2,100 shares 2,100$00%0Value filed as zero, left out of ratios.
PRECIPIO INCPRECIPIO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 33 shares; 2018Q2: 33 shares; 2018Q3: 33 shares; 2018Q4: 33 shares 33$00%0Value filed as zero, left out of ratios.
OHA INVT CORPOHA INVT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 700 shares; 2018Q2: 700 shares; 2018Q3: 300 shares; 2018Q4: 300 shares 300$00%0Value filed as zero, left out of ratios.
HANWHA Q CELL CO LTDHANWHA Q CELL CO LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: 99 shares; 2018Q2: 99 shares; 2018Q3: 16 shares; 2018Q4: 16 shares 16$00%0Value filed as zero, left out of ratios.
ARCA BIOPHARMA INCARCA BIOPHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q1: restricted; 2017Q2: restricted; 2017Q3: restricted; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 1 shares; 2018Q4: 1,001 shares 1,001$00%+1,000Value filed as zero, left out of ratios.

Options

Puts and calls, as filed. The amount and value describe the underlying shares, not the option premium, so they stay out of % of portfolio (H5).

SecurityTypeAmountValueChange
STATE STR SPDR S&P 500 ETF TSTATE STR SPDR S&P 500 ETF T PUTput161$256K+21
APPLE INCAPPLE INC CALLcall29$58K+14
AMAZON COM INCAMAZON COM INC CALLcall1$50Knew
NETFLIX INC.NETFLIX INC. CALLcall13$44K+10
META PLATFORMS INCMETA PLATFORMS INC CALLcall56$39K+21
ALIBABA GROUP HLDG LTDALIBABA GROUP HLDG LTD CALLcall57$34K+47
SHOPIFY INCSHOPIFY INC CALLcall8$26Knew
TWITTER INCTWITTER INC COMcall30$18K+10
MASTERCARD INCORPORATEDMASTERCARD INCORPORATED CL Acall20$16Knew
INVESCO QQQ TRINVESCO QQQ TR CALLcall10$14Knew
STATE STR SPDR DOW JONES INDSTATE STR SPDR DOW JONES IND CALLcall3$12Knew
LHC GROUP INCLHC GROUP INC CALLcall18$10Knew
MORGAN STANLEYMORGAN STANLEY Optioncall40$9Knew
DROPBOX INCDROPBOX INC CL Acall20$9Knew
GENERAL ELECTRIC COGENERAL ELECTRIC CO COMcall70$9Knew
SELECT SECTOR SPDR TRSELECT SECTOR SPDR TR CALLcall100$7Knew
AUTODESK INCAUTODESK INC CALLcall11$5Knew
CITIGROUP INCCITIGROUP INC CALLcall3$1K0
TESLA INCTESLA INC PUTput10$1K+3
ALPHABET INCALPHABET INC CALLcall12$1Knew
CRISPR THERAPEUTICS AGCRISPR THERAPEUTICS AG NAMEN AKTcall10$1Knew
BAUSCH HEALTH COS INCBAUSCH HEALTH COS INC COMcall2$1K0
IROBOT CORP COMMON STOCKIROBOT CORP COMMON STOCK Cmncall5$1Knew
MCDERMOTT INTL INC CALLMCDERMOTT INTL INC CALL CALLcall100$1Knew
BANK OF AMER CORPBANK OF AMER CORP CALLcall13$00
NVIDIA CORPORATIONNVIDIA CORPORATION CALLcall30$0new
MICRON TECHNOLOGY INCMICRON TECHNOLOGY INC CALLcall30$0+25
GOLDMAN SACHS GROUP INCGOLDMAN SACHS GROUP INC CALLcall20$0new
FREEPORT MCMORAN INCFREEPORT MCMORAN INC CALLcall12$00
AEROVIRONMENT INCAEROVIRONMENT INC CALLcall5$0new
SELECT SECTOR SPDR TRSELECT SECTOR SPDR TR ST STR TECHN ETFcall2$0new
MACYS INCMACYS INC CALLcall50$00
TEVA PHARMACEUTICAL INDS LTDTEVA PHARMACEUTICAL INDS LTD CALLcall5$0-5
ALIGN TECHNOLOGY INCALIGN TECHNOLOGY INC COMcall6$0new
LIGAND PHARMACEUTICALS INCLIGAND PHARMACEUTICALS INC CALLcall4$0new
CERNER CORPCERNER CORP COMput60$00
ACELRX PHARMACEUTICALS INCACELRX PHARMACEUTICALS INC COMcall10$0new
TILRAY BRANDS INCTILRAY BRANDS INC Optioncall10$0new

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

SecurityTypeAmountValueChange
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 5.875% 1/1principal466$467K0
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1principal80$79K0
FINISAR CORPFINISAR CORP NOTE 0.500%12/1principal57$54K0
PORTFOLIO RECOVERY ASSOCS INPORTFOLIO RECOVERY ASSOCS IN NOTE 3.000% 8/0principal59$54K0
PENNYMAC CORPPENNYMAC CORP NOTE 5.375% 5/0principal52$52K0
APOLLO COML REAL EST FIN INCAPOLLO COML REAL EST FIN INC NOTE 4.750% 8/2principal52$49K0
CALAMP CORPCALAMP CORP NOTE 1.625% 5/1principal52$49K0
BLACKROCK CAP INVT CORPBLACKROCK CAP INVT CORP NOTE 5.000% 6/1principal50$49K0
HCI GROUP INCHCI GROUP INC NOTE 4.250% 3/0principal48$48K0
BLACKSTONE MORTGAGE TRUST INBLACKSTONE MORTGAGE TRUST IN NOTE 4.375% 5/0principal48$47K0
PACIRA BIOSCIENCESPACIRA BIOSCIENCES NOTE 2.375% 4/0principal46$46K+5
NEMNEM 0.00% 10/30/2023principal44$45Knew
ATLAS AIR WORLDWIDE HLDGS INATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0principal46$44K0
VIAVI SOLUTIONS INCVIAVI SOLUTIONS INC NOTE 1.000% 3/0principal44$43K0
DYCOM INDS INCDYCOM INDS INC NOTE 0.750% 9/1principal47$43K+39
BARCLAYS BANK PLC 0 09/26/2…BARCLAYS BANK PLC 0 09/26/2023 Corp Bondprincipal45$42Knew
AIR TRANS SVCS GROUP INCAIR TRANS SVCS GROUP INC BONDprincipal42$40Knew
KB HOME 1.375KB HOME 1.375 NOTE 1.375% 2/0principal40$40K-10
II VI INCII VI INC NOTE 0.250% 9/0principal40$39Knew
TUTOR PERINI CORPTUTOR PERINI CORP NOTE 2.875% 6/1principal42$39K-5
NEW YORK MTG TRUSTNEW YORK MTG TRUST NOTE 6.250% 1/1principal39$38K0
LUMENTUM HLDGS INCLUMENTUM HLDGS INC NOTE 0.250% 3/1principal29$29K+24
TWITTER INCTWITTER INC NOTE 1.000% 9/1principal25$23K0
ILLUMINA INCILLUMINA INC NOTE 0.500% 6/1principal17$22K0
ON SEMICONDUCTOR CORPON SEMICONDUCTOR CORP NOTE 1.000%12/0principal19$21K0
WORKDAY INCWORKDAY INC NOTE 0.250%10/0principal16$20Knew
PRICELINE GRP INCPRICELINE GRP INC NOTE 0.900% 9/1principal17$19K-2
GUIDEWIRE SOFTWARE INCGUIDEWIRE SOFTWARE INC BONDprincipal18$17K0
TESLA INCTESLA INC NOTE 1.250% 3/0principal14$16K-4
BIOMARIN PHARMACEUTICAL INCBIOMARIN PHARMACEUTICAL INC NOTE 1.500%10/1principal15$16K+1
CITRIX SYS INCCITRIX SYS INC NOTE 0.500% 4/1principal11$16K-1
MICROCHIP TECHNOLOGY INC.MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1principal14$14K0
RED HAT INCRED HAT INC NOTE 0.250%10/0principal6$14K0
ARES CAP CORPARES CAP CORP NOTE 4.375% 1/1principal13$13K-2
DISH NETWORK CORPORATIONDISH NETWORK CORPORATION NOTE 3.375% 8/1principal15$12K0
NUVASIVE INCNUVASIVE INC NOTE 2.250% 3/1principal12$12K0
STARWOOD PROPERTY TRUSTSTARWOOD PROPERTY TRUST Convertible Debtprincipal12$12K0
AKAMAI TECHNOLOGIES INCAKAMAI TECHNOLOGIES INC DBCV 2/1principal12$12K0
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL NOTE 1.000% 1/3principal11$11K0
GREENBRIER COS INCGREENBRIER COS INC NOTE 2.875% 2/0principal11$11K0
HANNON ARMSTRONG SUST INFR CHANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0principal12$11K0
PDC ENERGY INCPDC ENERGY INC NOTE 1.125% 9/1principal12$11K0
ENVESTNET INCENVESTNET INC NOTE 1.75012/1principal11$11K0
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL NOTE 1.375%10/1principal9$10K0
ARES CAPITAL CORPARES CAPITAL CORP NOTE 3.750% 2/0principal10$10K0
REDWOOD TRUST INCREDWOOD TRUST INC BONDprincipal11$10K0
GOLDMAN SACHS BDC INCGOLDMAN SACHS BDC INC NOTE 4.500% 4/0principal10$10K0
RESTORATION HARDWARE HLDGS IRESTORATION HARDWARE HLDGS I DBCV 7/1principal9$10K+4
STARWOOD WAYPOINT RESIDENTLSTARWOOD WAYPOINT RESIDENTL NOTE 3.000% 7/0principal9$10K0
ADVANCED MICRO DEVICES INCADVANCED MICRO DEVICES INC COMprincipal4$9K0
CAESARS ENTMT CORPCAESARS ENTMT CORP NOTEprincipal7$9K0
ECHO GLOBAL LOGISTICS INCECHO GLOBAL LOGISTICS INC NOTEprincipal9$9K0
MICROCHIP TECHNOLOGY INC.MICROCHIP TECHNOLOGY INC. NOTE 1.625% 2/1principal6$8K0
PRICELINE GRP INCPRICELINE GRP INC NOTE 0.350% 6/1principal6$8K0
PALO ALTO NETWORKS INCPALO ALTO NETWORKS INC NOTE 7/0principal5$8K0
HCI GROUP INCHCI GROUP INC NOTE 3.875% 3/1principal8$8K0
ATLAS AIR WORLDWIDE HLDGS INATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0principal7$7K0
THERAVANCE INCTHERAVANCE INC CORPORATE OBLIGprincipal6$6K0
HERCULES CAPITAL INCHERCULES CAPITAL INC DBCV 4.375% 2/0principal6$6K0
CTRIP COM INTL LTDCTRIP COM INTL LTD NOTE 1.000% 7/0principal6$6K0
ROYAL GOLD INCROYAL GOLD INC NOTEprincipal6$6K0
SM ENERGY COSM ENERGY CO NOTE 1.500% 7/0principal6$6K0
QUOTIENT TECHNOLOGY INCQUOTIENT TECHNOLOGY INC NOTE 1.750%12/0principal6$6Knew
MACQUARIE INFRASTRUCTURE CORMACQUARIE INFRASTRUCTURE COR NOTE 2.875% 7/1principal6$6K0
GOLDMAN SACHS GROUP INCGOLDMAN SACHS GROUP INC CNVprincipal7$6K0
LIBERTY INTERACTIVE LLCLIBERTY INTERACTIVE LLC DEB 3.750% 2/1principal7$5K0
EXACT SCIENCES CORPEXACT SCIENCES CORP NOTE 1.000% 1/1principal5$5K0
ISIS PHARMACEUTICALS INC DELISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1principal5$5Knew
SYNAPTICS INCSYNAPTICS INC NOTE 0.500% 6/1principal6$5K0
FIREEYE INCFIREEYE INC NOTE 1.000% 6/0principal5$5K0
WRIGHT MED GROUP INCWRIGHT MED GROUP INC NOTE 2.000% 2/1principal5$5Knew
LIVE NATION ENTERTAINMENT INLIVE NATION ENTERTAINMENT IN NOTE 2.500 5/1principal4$5K0
SUNPOWER CORPSUNPOWER CORP DBCV 4.000% 1/1principal6$4K0
EVOLENT HEALTH INCEVOLENT HEALTH INC NOTE 2.000%12/0principal4$4Knew
MICRON TECHNOLOGY INCMICRON TECHNOLOGY INC NOTE 3.000%11/1principal4$4K0
RYLAND GROUP 0.250RYLAND GROUP 0.250 NOTE 0.250% 6/0principal3$3K0
HERBALIFE LTDHERBALIFE LTD NOTE 2.000% 8/1principal2$3K0
SOLARCITY CORPSOLARCITY CORP NOTE 1.625%11/0principal3$3K0
SILVER STD RES INCSILVER STD RES INC NOTE 2.875% 2/0principal3$3K0
INPHI CORPINPHI CORP NOTE 1.125%12/0principal3$3K0
EURONET WORLDWIDE INCEURONET WORLDWIDE INC NOTE 1.50010/0principal2$3K0
TESLA INCTESLA INC NOTE 0.250 3/0principal3$3K0
NAVISTAR INTL CORP NEWNAVISTAR INTL CORP NEW NOTE 4.750 4/1principal3$3K0
LIBERTY INTERACTIVE LLCLIBERTY INTERACTIVE LLC DEB 4.000%11/1principal3$2K0
ALZA CORP 7/2ALZA CORP 7/2 SDCVprincipal1$2K0
CLOVIS ONCOLOGY INCCLOVIS ONCOLOGY INC NOTE 2.500% 9/1principal2$2K0
OASIS PETE INC NEWOASIS PETE INC NEW NOTEprincipal2$2K0
WEATHERFORD INTL LTDWEATHERFORD INTL LTD NOTE 5.875% 7/0principal3$2K0
VIPSHOP HLDGS LTDVIPSHOP HLDGS LTD NOTE 1.500% 3/1principal2$2K0
TERADYNE INCTERADYNE INC NOTEprincipal1$1K0
INSULET CORPINSULET CORP NOTE 1.250% 9/1principal1$1K0
AEROJET ROCKETDYNE HLDGS INCAEROJET ROCKETDYNE HLDGS INC NOTE 2.250%12/1principal1$1K0
ENSCO JERSEY FIN LTDENSCO JERSEY FIN LTD NOTE 3.000% 1/3principal1$1K0

Sold out in Q4 2018

Positions in the previous quarter's report that this quarter's report no longer lists.

The largest 100 of 256. All 256

SecurityShares beforeValue beforeType
CORPORATE CAP TR INCCORPORATE CAP TR INC790,419$12.1Mshares
HYDHYD212,060$6.6Mshares
EXPRESS SCRIPTS HLDG COEXPRESS SCRIPTS HLDG CO62,179$5.91Mshares
PRAXAIR INCPRAXAIR INC35,710$5.74Mshares
ENERGY TRANSFER PARTNERS LPENERGY TRANSFER PARTNERS LP219,407$4.88Mshares
AETNA INC NEWAETNA INC NEW21,600$4.38Mshares
HORIZONS ETF TR IHORIZONS ETF TR I160,595$4.04Mshares
APOLLO INVT CORPAPOLLO INVT CORP392,324$2.13Mshares
CIGNA CORPORATIONCIGNA CORPORATION7,384$1.54Mshares
GSHDGOOSEHEAD INS INC36,156$1.22Mshares
ROCKWELL COLLINS INCROCKWELL COLLINS INC8,643$1.21Mshares
ANDEAVORANDEAVOR6,892$1.06Mshares
Mkt Vctrs J P Mrgn EmMkt Vctrs J P Mrgn Em62,608$1.03Mshares
Spectra Energy PartnersSpectra Energy Partners28,280$1.01Mshares
Vaneck Vectors AMT-Free Int…Vaneck Vectors AMT-Free Inter43,310$1.01Mshares
GRAMERCY PPTY TRGRAMERCY PPTY TR33,600$923Kshares
ALPS ETF TRALPS ETF TR27,369$908Kshares
BARCLAYS BANK PLC 8.125% PBARCLAYS BANK PLC 8.125% P33,377$868Kshares
HORIZONS ETF TR IHORIZONS ETF TR I12,507$651Kshares
THOMSON REUTERS CORPTHOMSON REUTERS CORP14,214$650Kshares
CSWCSW INDUSTRIALS INC12,008$645Kshares
ACXIOM CORPACXIOM CORP12,834$634Kshares
SSGA ACTIVE ETF TRSSGA ACTIVE ETF TR8,945$618Kshares
INVESCO EXCH TRD SLF IDX FDINVESCO EXCH TRD SLF IDX FD22,809$574Kshares
NEW YORK REIT INC liquidati…NEW YORK REIT INC liquidation shs30,533$554Kshares
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEW64,422$519Kshares
NORTHWEST NATURAL GAS CONORTHWEST NATURAL GAS CO7,572$507Kshares
CA INC COMCA INC COM9,628$426Kshares
KINDER MORGAN INC DELKINDER MORGAN INC DEL11,524$383Kshares
KOSMOS ENERGY LTDKOSMOS ENERGY LTD34,377$321Kshares
SYNTEL INCSYNTEL INC7,125$292Kshares
PINNACLE FOODS INC DELPINNACLE FOODS INC DEL4,330$281Kshares
DDIVFIRST TR EXCHANGE TRADED FD9,980$251Kshares
DELL TECHNOLOGIES INC CLASS…DELL TECHNOLOGIES INC CLASS CLASS…2,266$220Kshares
INVESCO EXCH TRD SLF IDX FDINVESCO EXCH TRD SLF IDX FD9,691$205Kshares
ETFS Gold TrustETFS Gold Trust1,755$202Kshares
SODASTREAM INTERNATIONALSODASTREAM INTERNATIONAL1,407$201Kshares
RDWRRADWARE LTD6,795$180Kshares
AUDCAUDIOCODES LTD15,920$160Kshares
MCBC HLDGS INCMCBC HLDGS INC4,439$160Kshares
MAZOR ROBOTICS LTDMAZOR ROBOTICS LTD2,588$151Kshares
FGMFIRST TR EXCH TRD ALPHDX FD3,098$143Kshares
ABRDN PHYSICAL SILVER SHARE…ABRDN PHYSICAL SILVER SHARES ETF9,701$138Kshares
XCERRA CORPXCERRA CORP8,782$126Kshares
ETF SER SOLUTIONSETF SER SOLUTIONS2,170$111Kshares
SONIC CORPSONIC CORP2,503$108Kshares
ENERGEN CORPENERGEN CORP1,254$107Kshares
ARES MGMT LP COM SHS REG INTARES MGMT LP COM SHS REG INT4,641$107Kshares
INDEXIQ ETF TRINDEXIQ ETF TR4,701$101Kshares
FQF TRFQF TR3,973$100Kshares
ENBRIDGE ENERGY PARTNERS L PENBRIDGE ENERGY PARTNERS L P8,573$94Kshares
BOJANGLES INCBOJANGLES INC5,837$92Kshares
ROYAL BANK SCOTLAND GRP PLC…ROYAL BANK SCOTLAND GRP PLC 6.6% …3,568$91Kshares
FOREST CITY RLTY TR INCFOREST CITY RLTY TR INC3,557$89Kshares
CONVERGYS CORPCONVERGYS CORP3,682$88Kshares
KMG CHEMICALS INCKMG CHEMICALS INC1,145$86Kshares
DEUTSCHE MULTI-MKT INCOME T…DEUTSCHE MULTI-MKT INCOME TR SHS9,139$82Kshares
BCMLBAYCOM CORP3,027$81Kshares
KLX INCKLX INC1,264$79Kshares
NUVEEN BUILD AMER BD OPPTNYNUVEEN BUILD AMER BD OPPTNY3,500$77Kshares
ENDOCYTE INCENDOCYTE INC4,262$76Kshares
INVESTORS REAL ESTATE TRUSTINVESTORS REAL ESTATE TRUST11,666$69Kshares
K2M GROUP HLDGS INCK2M GROUP HLDGS INC2,449$67Kshares
CREDIT SUISSE NASSAU BRHCREDIT SUISSE NASSAU BRH2,500$66Kshares
ISHARES TRISHARES TR2,628$66Kshares
KERYX BIOPHARMACEUTICALSKERYX BIOPHARMACEUTICALS19,290$65Kshares
MACQUARIE GLOBAL INFRASTRUC…MACQUARIE GLOBAL INFRASTRUCTUR3,004$64Kshares
VICRVICOR CORP1,353$62Kshares
CLUBQTOWN SPORTS INTL HLDGS INC6,730$58Kshares
Delta Apparel IncDelta Apparel Inc3,204$57Kshares
WILLSCOT CORPWILLSCOT CORP3,303$57Kshares
MDXGMIMEDX GROUP INC9,100$56Kshares
ACNTASCENT INDUSTRIES CO2,366$54Kshares
ENVISION HEALTHCARE CORPENVISION HEALTHCARE CORP1,185$53Kshares
ELEVATE CREDIT INCELEVATE CREDIT INC6,591$53Kshares
XO GROUP INCXO GROUP INC1,478$51Kshares
PFFDGLOBAL X FDS2,068$50Kshares
CLEARBRIDGE AMERN ENERG MLPCLEARBRIDGE AMERN ENERG MLP6,000$47Kshares
HORIZON GLOBAL CORPHORIZON GLOBAL CORP58$43Kprincipal
HEEMISHARES INC1,578$40Kshares
ROVI CORPROVI CORP42$40Kprincipal
ATNIATN INTL INC528$39Kshares
PLSEPULSE BIOSCIENCES INC2,662$38Kshares
ETFS PRECIOUS METALSBASKET …ETFS PRECIOUS METALSBASKET TR ETF…651$38Kshares
KARSKRANESHARES TRUST1,700$37Kshares
ETFETF359$36Kshares
BANK OF AMERICA CORPORATIONBANK OF AMERICA CORPORATION2,000$36Kshares
AMTRUST FINL SVCS INCAMTRUST FINL SVCS INC2,379$35Kshares
IGCIGC PHARMA INC5,232$33Kshares
PINNACLE ENTMT INC NEWPINNACLE ENTMT INC NEW939$32Kshares
ABFLABACUS FCF ETF TR750$29Kshares
VEECO INSTRS INC DELVEECO INSTRS INC DEL33$28Kprincipal
H&E EQUIPMENT SERVICES INCH&E EQUIPMENT SERVICES INC698$27Kshares
MOMENTA PHARMACEUTICALS INCMOMENTA PHARMACEUTICALS INC1,018$27Kshares
TTM TECHNOLOGIES INCTTM TECHNOLOGIES INC16$27Kprincipal
STRATEGYSTRATEGY621$25Kshares
BLACKROCK MUNI 2018 TERM TRBLACKROCK MUNI 2018 TERM TR1,650$25Kshares
OCEAN RIG UDW INCOCEAN RIG UDW INC711$25Kshares
GREEN PLAINS INCGREEN PLAINS INC26$25Kprincipal
KAYNE ANDERSON ACQUISITIONKAYNE ANDERSON ACQUISITION2,420$25Kshares

How Q4 2018 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001681115-19-000001 base2019-02-11acceptance time not in the bulk data set