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Disclosery

National Planning Corp

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13F filer, CIK 1492262, EL SEGUNDO, CA

National Planning Corp reported $1,198,603,000 across 705 holdings for the quarter ended 2017-09-30, in a 13F-HR/A filed 2017-11-22. Its ten largest share positions make up 21.1% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR/A 0001085146-17-002511

Period
2017-09-30
Reported value
$1.2B
Holdings
705
Top 10 weight
21.1%
New
63
Sold out
95

Largest buys vs the previous quarter

SecurityShares changeApprox. value
VTIadded+85,509$11.1M
IJKadded+33,105$6.7M
IYRadded+73,253$5.85M
VUGadded+38,885$5.16M
BNDXadded+57,590$3.14M

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
SPYreduced-47,328-$11.9M
VOOGreduced-76,078-$9.78M
POWERSHARES ETF TR II S&P50…reduced-191,621-$8.77M
IYMreduced-89,211-$8.54M
AAPLreduced-42,486-$6.55M

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, Q3 2017

Share positions as resolved from 13F-HR/A 0001085146-17-002511, largest first. % of portfolio is the value over $1,198,574,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
RYDEX ETF TRUSTRYDEX ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,100 shares; 2016Q3: 2,936 shares; 2016Q4: 3,635 shares; 2017Q1: 3,608 shares; 2017Q2: 3,593 shares; 2017Q3: 2,262 shares 2,262$326K0.03%-1,331
NUENUCOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,046 shares; 2016Q3: 5,046 shares; 2016Q4: 5,546 shares; 2017Q1: 8,951 shares; 2017Q2: 9,526 shares; 2017Q3: 5,792 shares 5,792$325K0.03%-3,734Timeline
MCYMERCURY GENL CORP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,914 shares; 2016Q3: 5,864 shares; 2016Q4: 5,809 shares; 2017Q1: 5,809 shares; 2017Q2: 5,779 shares; 2017Q3: 5,726 shares 5,726$325K0.03%-53Timeline
SSGA ACTIVE ETF TRSSGA ACTIVE ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,550 shares; 2016Q3: 14,983 shares; 2016Q4: 13,090 shares; 2017Q1: 13,168 shares; 2017Q2: 9,496 shares; 2017Q3: 5,213 shares 5,213$325K0.03%-4,283
DLRDIGITAL RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,641 shares; 2016Q3: 2,628 shares; 2016Q4: 2,469 shares; 2017Q1: 2,417 shares; 2017Q2: 2,429 shares; 2017Q3: 2,741 shares 2,741$324K0.03%+312Timeline
JPCNUVEEN PFD & INCOME OPPORTUNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,617 shares; 2016Q3: 13,617 shares; 2016Q4: 84,356 shares; 2017Q1: 73,065 shares; 2017Q2: 81,389 shares; 2017Q3: 30,681 shares 30,681$324K0.03%-50,708Timeline
CCITIGROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,194 shares; 2016Q3: 5,942 shares; 2016Q4: 5,844 shares; 2017Q1: 4,744 shares; 2017Q2: 5,902 shares; 2017Q3: 4,436 shares 4,436$323K0.03%-1,466Timeline
HBANHUNTINGTON BANCSHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,055 shares; 2016Q4: 16,045 shares; 2017Q1: 17,413 shares; 2017Q2: 21,304 shares; 2017Q3: 23,169 shares 23,169$323K0.03%+1,865Timeline
EOSEATON VANCE ENHANCED EQUITYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,057 shares; 2016Q3: 15,592 shares; 2016Q4: 21,040 shares; 2017Q1: 21,642 shares; 2017Q2: 21,596 shares; 2017Q3: 21,590 shares 21,590$323K0.03%-6Timeline
BWXSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 32,176 shares; 2016Q3: 69,780 shares; 2016Q4: 58,424 shares; 2017Q1: 137,327 shares; 2017Q2: 98,022 shares; 2017Q3: 11,446 shares 11,446$322K0.03%-86,576Timeline
CFOVICTORY PORTFOLIOS IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,367 shares; 2016Q3: 14,473 shares; 2016Q4: 14,187 shares; 2017Q1: 14,305 shares; 2017Q2: 7,439 shares; 2017Q3: 7,054 shares 7,054$322K0.03%-385Timeline
AGFIRST MAJESTIC SILVER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 35,158 shares; 2016Q3: 35,979 shares; 2016Q4: 37,139 shares; 2017Q1: 44,505 shares; 2017Q2: 46,914 shares; 2017Q3: 46,523 shares 46,523$318K0.03%-391Timeline
CGNXCOGNEX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,405 shares; 2017Q3: 2,876 shares 2,876$317K0.03%+471Timeline
DTEDTE ENERGY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,072 shares; 2016Q3: 2,869 shares; 2016Q4: 2,928 shares; 2017Q1: 2,379 shares; 2017Q2: 2,198 shares; 2017Q3: 2,940 shares 2,940$316K0.03%+742Timeline
VIOOVANGUARD ADMIRAL FDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 4,835 shares; 2017Q3: 2,324 shares 2,324$315K0.03%-2,511Timeline
REGREGENCY CTRS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,189 shares; 2016Q3: 5,189 shares; 2016Q4: 5,189 shares; 2017Q1: 5,212 shares; 2017Q2: 5,092 shares; 2017Q3: 5,052 shares 5,052$313K0.03%-40Timeline
ROSTROSS STORES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,012 shares; 2016Q3: 4,962 shares; 2016Q4: 4,962 shares; 2017Q1: 4,887 shares; 2017Q2: 4,851 shares; 2017Q3: 4,821 shares 4,821$311K0.03%-30Timeline
FEMBFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,554 shares; 2017Q1: 6,089 shares; 2017Q2: 6,054 shares; 2017Q3: 7,141 shares 7,141$309K0.03%+1,087Timeline
POWERSHARES ETF TR IIPOWERSHARES ETF TR IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 26,148 shares; 2017Q3: 12,624 shares 12,624$309K0.03%-13,524
PRICELINE GRP INCPRICELINE GRP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 204 shares; 2016Q3: 220 shares; 2016Q4: 244 shares; 2017Q1: 231 shares; 2017Q2: 226 shares; 2017Q3: 167 shares 167$306K0.03%-59
UALUNITED AIRLS HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 4,103 shares; 2016Q4: 4,103 shares; 2017Q1: 4,103 shares; 2017Q2: 4,542 shares; 2017Q3: 4,983 shares 4,983$303K0.03%+441Timeline
GUGGENHEIMGUGGENHEIMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 6,852 shares; 2017Q3: 8,802 shares 8,802$303K0.03%+1,950
MRSHMARSH & MCLENNAN COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,315 shares; 2017Q3: 3,604 shares 3,604$302K0.03%+289Timeline
CTSHCOGNIZANT TECHNOLOGY SOLUTIOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 4,000 shares; 2017Q3: 4,166 shares 4,166$302K0.03%+166Timeline
BNYBANK OF NY MELLON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,627 shares; 2016Q3: 7,612 shares; 2016Q4: 7,382 shares; 2017Q1: 7,549 shares; 2017Q2: 6,087 shares; 2017Q3: 5,702 shares 5,702$302K0.03%-385Timeline
SHWSHERWIN WILLIAMS COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,728 shares; 2016Q3: 15,081 shares; 2016Q4: 15,044 shares; 2017Q1: 14,987 shares; 2017Q2: 14,795 shares; 2017Q3: 840 shares 840$301K0.03%-13,955Timeline
IMCVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,952 shares; 2017Q3: 1,979 shares 1,979$299K0.02%-1,973Timeline
POWERSHARES GLOBAL ETF TRUS…POWERSHARES GLOBAL ETF TRUSTHIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 12,866 shares; 2017Q3: 15,664 shares 15,664$299K0.02%+2,798
IAKISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,523 shares; 2017Q1: 4,523 shares; 2017Q2: 4,803 shares; 2017Q3: 4,658 shares 4,658$297K0.02%-145Timeline
BBNBLACKROCK TAX MUNICPAL BD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,305 shares; 2016Q3: 13,313 shares; 2016Q4: 12,607 shares; 2017Q1: 12,607 shares; 2017Q2: 12,607 shares; 2017Q3: 12,607 shares 12,607$295K0.02%0Timeline
AETNA INC NEWAETNA INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 1,905 shares; 2017Q1: 1,980 shares; 2017Q2: 1,781 shares; 2017Q3: 1,856 shares 1,856$295K0.02%+75
AMTAMERICAN TOWER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,136 shares; 2016Q3: 2,212 shares; 2016Q4: 3,587 shares; 2017Q1: 3,787 shares; 2017Q2: 2,062 shares; 2017Q3: 2,154 shares 2,154$294K0.02%+92Timeline
UNHUNITEDHEALTH GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,173 shares; 2016Q3: 2,492 shares; 2016Q4: 2,951 shares; 2017Q1: 1,846 shares; 2017Q2: 1,587 shares; 2017Q3: 1,502 shares 1,502$294K0.02%-85Timeline
CHDCHURCH & DWIGHT CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,388 shares; 2016Q3: 10,614 shares; 2016Q4: 8,545 shares; 2017Q1: 5,909 shares; 2017Q2: 5,799 shares; 2017Q3: 6,063 shares 6,063$294K0.02%+264Timeline
HSYHERSHEY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 2,687 shares 2,687$293K0.02%newTimeline
TXNTEXAS INSTRS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,140 shares; 2017Q3: 3,253 shares 3,253$292K0.02%+113Timeline
NNNNNN REIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,735 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 7,010 shares 7,010$292K0.02%newTimeline
SENIOR HSG PPTYS TRSENIOR HSG PPTYS TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 35,350 shares; 2016Q3: 35,250 shares; 2016Q4: 31,455 shares; 2017Q1: 31,830 shares; 2017Q2: 15,612 shares; 2017Q3: 14,912 shares 14,912$292K0.02%-700
XBISPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,710 shares; 2017Q3: 3,342 shares 3,342$289K0.02%+632Timeline
ROCKWELL COLLINS INCROCKWELL COLLINS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,337 shares; 2017Q1: 2,693 shares; 2017Q2: 2,401 shares; 2017Q3: 2,201 shares 2,201$288K0.02%-200
RYDEX ETF TRUSTRYDEX ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,404 shares; 2016Q3: 17,140 shares; 2016Q4: 17,701 shares; 2017Q1: 17,487 shares; 2017Q2: 2,521 shares; 2017Q3: 2,345 shares 2,345$287K0.02%-176
NMZNUVEEN MUN HIGH INCOME OPPORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 31,308 shares; 2016Q3: 38,648 shares; 2016Q4: 23,308 shares; 2017Q1: 22,808 shares; 2017Q2: 26,508 shares; 2017Q3: 20,708 shares 20,708$282K0.02%-5,800Timeline
FTQIFIRST TR EXCHANGE TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 12,608 shares 12,608$282K0.02%newTimeline
SYKSTRYKER CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 1,982 shares; 2016Q4: 1,982 shares; 2017Q1: 2,043 shares; 2017Q2: 2,043 shares; 2017Q3: 1,946 shares 1,946$276K0.02%-97Timeline
CDCVICTORY PORTFOLIOS IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,479 shares; 2016Q3: 12,868 shares; 2016Q4: 12,393 shares; 2017Q1: 12,393 shares; 2017Q2: 6,588 shares; 2017Q3: 6,221 shares 6,221$276K0.02%-367Timeline
ISCVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 1,587 shares; 2017Q1: 1,709 shares; 2017Q2: 1,879 shares; 2017Q3: 1,883 shares 1,883$276K0.02%+4Timeline
BRK-ABERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1 shares 1$275K0.02%newTimeline
MCHPMICROCHIP TECHNOLOGY INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,049 shares 3,049$274K0.02%newTimeline
PFNPIMCO INCOME STRATEGY FD IIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 240,396 shares; 2016Q3: 236,459 shares; 2016Q4: 18,049 shares; 2017Q1: 15,629 shares; 2017Q2: 25,447 shares; 2017Q3: 25,471 shares 25,471$273K0.02%+24Timeline
ACREARES COML REAL ESTATE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,425 shares; 2016Q3: 19,925 shares; 2016Q4: 19,125 shares; 2017Q1: 20,125 shares; 2017Q2: 20,125 shares; 2017Q3: 20,425 shares 20,425$272K0.02%+300Timeline
XARSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 5,983 shares; 2017Q3: 3,373 shares 3,373$269K0.02%-2,610Timeline
ULTAULTA BEAUTY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,287 shares; 2017Q3: 1,192 shares 1,192$269K0.02%-95Timeline
AFDMFIRST TR EXCH TRADED FD IIIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 5,016 shares; 2016Q4: 5,016 shares; 2017Q1: 5,016 shares; 2017Q2: 5,516 shares; 2017Q3: 4,266 shares 4,266$269K0.02%-1,250Timeline
DOVDOVER CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,918 shares; 2016Q3: not reported; 2016Q4: 2,920 shares; 2017Q1: 3,070 shares; 2017Q2: 2,910 shares; 2017Q3: 2,931 shares 2,931$268K0.02%+21Timeline
FXHFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,845 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,425 shares; 2017Q3: 3,880 shares 3,880$262K0.02%+455Timeline
JSMDJANUS DETROIT STR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 8,265 shares; 2017Q1: 9,065 shares; 2017Q2: 7,295 shares; 2017Q3: 7,295 shares 7,295$261K0.02%0Timeline
ALEXION PHARMACEUTICALS INCALEXION PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,276 shares; 2016Q3: 3,263 shares; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 1,853 shares 1,853$260K0.02%new
DREYFUS STRATEGIC MUN BD FDDREYFUS STRATEGIC MUN BD FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 25,160 shares; 2017Q3: 30,749 shares 30,749$260K0.02%+5,589
PSKSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 5,108 shares; 2017Q2: 5,756 shares; 2017Q3: 5,803 shares 5,803$259K0.02%+47Timeline
PDMPIEDMONT REALTY TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,619 shares; 2016Q3: 14,906 shares; 2016Q4: 15,910 shares; 2017Q1: 14,374 shares; 2017Q2: 14,574 shares; 2017Q3: 12,811 shares 12,811$258K0.02%-1,763Timeline
MSMLISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,464 shares; 2016Q3: 2,679 shares; 2016Q4: 2,813 shares; 2017Q1: 2,640 shares; 2017Q2: 1,550 shares; 2017Q3: 1,550 shares 1,550$258K0.02%0Timeline
EBAYEBAY INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,869 shares; 2016Q3: not reported; 2016Q4: 6,871 shares; 2017Q1: 6,925 shares; 2017Q2: 6,807 shares; 2017Q3: 6,631 shares 6,631$255K0.02%-176Timeline
XLBSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 7,506 shares; 2017Q1: 7,942 shares; 2017Q2: 3,703 shares; 2017Q3: 4,483 shares 4,483$255K0.02%+780Timeline
EXPRESS SCRIPTS HLDG COEXPRESS SCRIPTS HLDG COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,823 shares; 2016Q3: 5,044 shares; 2016Q4: 5,781 shares; 2017Q1: 5,665 shares; 2017Q2: 6,691 shares; 2017Q3: 3,992 shares 3,992$253K0.02%-2,699
INVESCO AEROSPACE & DEFENSE…INVESCO AEROSPACE & DEFENSE ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 4,937 shares 4,937$253K0.02%new
LNCLINCOLN NATL CORP INDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,435 shares 3,435$252K0.02%newTimeline
FEMSFIRST TR EXCH TRD ALPHDX FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 6,085 shares 6,085$252K0.02%newTimeline
XHBSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 8,670 shares; 2017Q2: 8,370 shares; 2017Q3: 6,297 shares 6,297$251K0.02%-2,073Timeline
ETJEATON VANCE RISK-MANAGED DIVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 10,700 shares; 2016Q4: 10,700 shares; 2017Q1: 10,700 shares; 2017Q2: 26,500 shares; 2017Q3: 26,500 shares 26,500$250K0.02%0Timeline
EWJISHARES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,982 shares; 2017Q1: 4,765 shares; 2017Q2: 4,554 shares; 2017Q3: 4,454 shares 4,454$248K0.02%-100Timeline
WCNWASTE CONNECTIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,596 shares; 2017Q3: 3,551 shares 3,551$248K0.02%-45Timeline
ABALLIANCEBERNSTEIN HLDG L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,013 shares; 2016Q3: 12,411 shares; 2016Q4: 9,945 shares; 2017Q1: 9,341 shares; 2017Q2: 10,841 shares; 2017Q3: 10,207 shares 10,207$248K0.02%-634Timeline
IYTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,325 shares; 2017Q3: 1,382 shares 1,382$247K0.02%-943Timeline
SJMSMUCKER J M COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,794 shares; 2016Q3: 2,794 shares; 2016Q4: 2,846 shares; 2017Q1: 2,560 shares; 2017Q2: 2,538 shares; 2017Q3: 2,344 shares 2,344$246K0.02%-194Timeline
INTREXON CORPINTREXON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 11,430 shares; 2017Q2: 12,958 shares; 2017Q3: 12,958 shares 12,958$246K0.02%0
POWERSHARESPOWERSHARESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,685 shares; 2016Q3: 83,391 shares; 2016Q4: 14,905 shares; 2017Q1: 86,489 shares; 2017Q2: 13,825 shares; 2017Q3: 8,268 shares 8,268$246K0.02%-5,557
ICVTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 4,449 shares 4,449$244K0.02%newTimeline
XEFRXEATON VANCE SR FLTNG RTE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 23,459 shares; 2016Q3: 27,963 shares; 2016Q4: 20,249 shares; 2017Q1: 11,236 shares; 2017Q2: 14,472 shares; 2017Q3: 16,234 shares 16,234$243K0.02%+1,762Timeline
SHYGISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 6,139 shares; 2017Q1: 6,807 shares; 2017Q2: 8,756 shares; 2017Q3: 5,060 shares 5,060$242K0.02%-3,696Timeline
REGNREGENERON PHARMACEUTICALSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 440 shares; 2017Q3: 542 shares 542$242K0.02%+102Timeline
VFCV F CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 3,743 shares; 2017Q2: 3,696 shares; 2017Q3: 3,795 shares 3,795$241K0.02%+99Timeline
OXYOCCIDENTAL PETE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,225 shares; 2016Q3: 5,794 shares; 2016Q4: 5,778 shares; 2017Q1: 5,882 shares; 2017Q2: 3,716 shares; 2017Q3: 3,705 shares 3,705$238K0.02%-11Timeline
SKYYFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 11,910 shares; 2016Q4: 9,199 shares; 2017Q1: 9,832 shares; 2017Q2: not reported; 2017Q3: 5,648 shares 5,648$237K0.02%newTimeline
RITEAID CORPRITEAID CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 49,718 shares; 2016Q3: 60,268 shares; 2016Q4: 55,168 shares; 2017Q1: 104,068 shares; 2017Q2: 123,725 shares; 2017Q3: 120,225 shares 120,225$236K0.02%-3,500
FEFIRSTENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,626 shares; 2016Q3: 9,712 shares; 2016Q4: 10,215 shares; 2017Q1: 10,215 shares; 2017Q2: 8,390 shares; 2017Q3: 7,662 shares 7,662$236K0.02%-728Timeline
FASTFASTENAL COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,098 shares; 2017Q1: not reported; 2017Q2: 5,165 shares; 2017Q3: 5,165 shares 5,165$235K0.02%0Timeline
SWKSSKYWORKS SOLUTIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 2,285 shares; 2017Q1: not reported; 2017Q2: 2,269 shares; 2017Q3: 2,304 shares 2,304$235K0.02%+35Timeline
SPEMSPDR INDEX SHS FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,225 shares 3,225$234K0.02%newTimeline
CENTURYLINK INCCENTURYLINK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 10,526 shares; 2017Q1: 10,878 shares; 2017Q2: 11,331 shares; 2017Q3: 12,307 shares 12,307$233K0.02%+976
RIORIO TINTO PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 4,890 shares; 2017Q1: 5,290 shares; 2017Q2: 5,290 shares; 2017Q3: 4,890 shares 4,890$231K0.02%-400Timeline
FVCFIRST TR EXCHANGE TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 60,731 shares; 2016Q3: 52,640 shares; 2016Q4: 51,594 shares; 2017Q1: not reported; 2017Q2: 9,370 shares; 2017Q3: 9,384 shares 9,384$229K0.02%+14Timeline
SRPTSAREPTA THERAPEUTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,053 shares; 2016Q3: 15,773 shares; 2016Q4: 14,273 shares; 2017Q1: 8,673 shares; 2017Q2: 5,823 shares; 2017Q3: 5,023 shares 5,023$228K0.02%-800Timeline
ALLALLSTATE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,798 shares; 2016Q3: 4,530 shares; 2016Q4: 4,395 shares; 2017Q1: 4,491 shares; 2017Q2: 4,182 shares; 2017Q3: 2,476 shares 2,476$228K0.02%-1,706Timeline
TRANSENTERIX INCTRANSENTERIX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 181,950 shares; 2016Q3: 179,450 shares; 2016Q4: 179,250 shares; 2017Q1: 179,250 shares; 2017Q2: 171,250 shares; 2017Q3: 159,250 shares 159,250$228K0.02%-12,000
STKCOLUMBIA SELIGM PREM TECH GRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 10,105 shares; 2017Q3: 10,148 shares 10,148$227K0.02%+43Timeline
IVOOVANGUARD ADMIRAL FDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,075 shares; 2016Q3: 4,230 shares; 2016Q4: 4,541 shares; 2017Q1: 5,066 shares; 2017Q2: 4,170 shares; 2017Q3: 1,859 shares 1,859$225K0.02%-2,311Timeline
AMEAMETEK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 3,400 shares; 2017Q3: 3,410 shares 3,410$225K0.02%+10Timeline
PCGPG&E CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,626 shares; 2016Q3: 4,435 shares; 2016Q4: 4,409 shares; 2017Q1: 4,235 shares; 2017Q2: 3,910 shares; 2017Q3: 3,311 shares 3,311$225K0.02%-599Timeline
RXIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 2,435 shares; 2016Q3: 2,435 shares; 2016Q4: 2,245 shares; 2017Q1: 2,345 shares; 2017Q2: 2,345 shares; 2017Q3: 2,205 shares 2,205$225K0.02%-140Timeline
SPABSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,796 shares; 2016Q3: 3,796 shares; 2016Q4: 3,796 shares; 2017Q1: 3,641 shares; 2017Q2: 3,683 shares; 2017Q3: 3,900 shares 3,900$225K0.02%+217Timeline
MXIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,943 shares; 2016Q3: not reported; 2016Q4: 3,674 shares; 2017Q1: 3,974 shares; 2017Q2: 4,139 shares; 2017Q3: 3,435 shares 3,435$225K0.02%-704Timeline
SPHSUBURBAN PROPANE PARTNERS LQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,288 shares; 2016Q3: 11,048 shares; 2016Q4: 8,681 shares; 2017Q1: 9,538 shares; 2017Q2: 8,884 shares; 2017Q3: 8,538 shares 8,538$223K0.02%-346Timeline
FXGFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 12,790 shares; 2016Q3: 12,000 shares; 2016Q4: 8,824 shares; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 4,889 shares 4,889$223K0.02%newTimeline
QUALISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,237 shares; 2016Q3: 10,945 shares; 2016Q4: 3,146 shares; 2017Q1: 3,005 shares; 2017Q2: 3,129 shares; 2017Q3: 2,880 shares 2,880$222K0.02%-249Timeline
BLACKROCK MUNIYIELD CALIFOR…BLACKROCK MUNIYIELD CALIFORNIAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 14,369 shares; 2017Q1: 14,369 shares; 2017Q2: 14,369 shares; 2017Q3: 14,369 shares 14,369$222K0.02%0
LNTALLIANT ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 7,485 shares; 2016Q3: 7,492 shares; 2016Q4: 6,606 shares; 2017Q1: 6,532 shares; 2017Q2: 5,113 shares; 2017Q3: 5,305 shares 5,305$221K0.02%+192Timeline
WMBWILLIAMS COS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 7,692 shares; 2016Q4: 8,084 shares; 2017Q1: 8,101 shares; 2017Q2: 7,124 shares; 2017Q3: 7,340 shares 7,340$220K0.02%+216Timeline
ALLERGAN PLCALLERGAN PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,229 shares; 2016Q3: 1,390 shares; 2016Q4: 1,257 shares; 2017Q1: 883 shares; 2017Q2: 1,174 shares; 2017Q3: 1,073 shares 1,073$220K0.02%-101
HYEMVANECK ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 8,791 shares 8,791$218K0.02%newTimeline
NEW YORK COMMUNITY BANCORPNEW YORK COMMUNITY BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,177 shares; 2016Q3: 14,677 shares; 2016Q4: 16,427 shares; 2017Q1: 15,502 shares; 2017Q2: 12,987 shares; 2017Q3: 16,753 shares 16,753$216K0.02%+3,766
SDOGALPS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 24,460 shares; 2016Q3: 26,285 shares; 2016Q4: 28,360 shares; 2017Q1: 26,298 shares; 2017Q2: 4,881 shares; 2017Q3: 4,895 shares 4,895$216K0.02%+14Timeline
ESEVERSOURCE ENERGYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 4,960 shares; 2016Q3: 4,974 shares; 2016Q4: 4,659 shares; 2017Q1: 5,743 shares; 2017Q2: 5,208 shares; 2017Q3: 3,557 shares 3,557$215K0.02%-1,651Timeline
IAIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 5,400 shares; 2017Q1: 5,400 shares; 2017Q2: 3,700 shares; 2017Q3: 3,767 shares 3,767$215K0.02%+67Timeline
AALAMERICAN AIRLINES GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,179 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 4,459 shares; 2017Q3: 4,478 shares 4,478$213K0.02%+19Timeline
UAUNDER ARMOUR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 13,166 shares; 2017Q2: 13,589 shares; 2017Q3: 14,182 shares 14,182$213K0.02%+593Timeline
EFADPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 6,718 shares; 2016Q3: not reported; 2016Q4: 7,188 shares; 2017Q1: 10,588 shares; 2017Q2: 14,188 shares; 2017Q3: 5,674 shares 5,674$213K0.02%-8,514Timeline
HEDJWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,596 shares; 2016Q3: 7,146 shares; 2016Q4: 3,873 shares; 2017Q1: 3,792 shares; 2017Q2: 3,520 shares; 2017Q3: 3,278 shares 3,278$212K0.02%-242Timeline
AWKAMERICAN WTR WKS CO INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,188 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 2,698 shares; 2017Q3: 2,602 shares 2,602$211K0.02%-96Timeline
HUBBHUBBELL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 1,807 shares; 2017Q1: 1,831 shares; 2017Q2: 1,807 shares; 2017Q3: 1,807 shares 1,807$210K0.02%0Timeline
MONSANTO CO NEWMONSANTO CO NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,984 shares; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 1,948 shares; 2017Q2: 1,775 shares; 2017Q3: 1,756 shares 1,756$210K0.02%-19
DISCOVER FINL SVCSDISCOVER FINL SVCSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 5,656 shares; 2016Q3: 4,734 shares; 2016Q4: 4,042 shares; 2017Q1: 3,698 shares; 2017Q2: 4,023 shares; 2017Q3: 3,245 shares 3,245$209K0.02%-778
IYGISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,073 shares; 2016Q3: 3,321 shares; 2016Q4: 3,397 shares; 2017Q1: 3,497 shares; 2017Q2: 3,594 shares; 2017Q3: 1,734 shares 1,734$208K0.02%-1,860Timeline
ITBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 5,706 shares 5,706$208K0.02%newTimeline
CBCHUBB LIMITEDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 3,200 shares; 2016Q3: 3,010 shares; 2016Q4: 1,781 shares; 2017Q1: 2,397 shares; 2017Q2: 2,463 shares; 2017Q3: 1,449 shares 1,449$207K0.02%-1,014Timeline
ZIOPHARM ONCOLOGY INCZIOPHARM ONCOLOGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 27,024 shares; 2016Q3: 29,524 shares; 2016Q4: 32,093 shares; 2017Q1: 31,755 shares; 2017Q2: 33,755 shares; 2017Q3: 33,755 shares 33,755$207K0.02%0
AMATAPPLIED MATLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,952 shares 3,952$206K0.02%newTimeline
ECLECOLAB INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 1,823 shares; 2016Q3: 1,799 shares; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 1,595 shares; 2017Q3: 1,595 shares 1,595$205K0.02%0Timeline
IGLBISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 3,296 shares 3,296$205K0.02%newTimeline
FXLFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 7,130 shares; 2017Q1: 7,130 shares; 2017Q2: not reported; 2017Q3: 4,257 shares 4,257$204K0.02%newTimeline
LRAD CORPLRAD CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 97,216 shares; 2016Q3: 97,216 shares; 2016Q4: 95,845 shares; 2017Q1: 95,845 shares; 2017Q2: 96,795 shares; 2017Q3: 95,795 shares 95,795$204K0.02%-1,000
CATCHMARK TIMBER TR INC CL ACATCHMARK TIMBER TR INC CL AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 22,049 shares; 2016Q3: 19,954 shares; 2016Q4: 18,907 shares; 2017Q1: 19,394 shares; 2017Q2: 19,186 shares; 2017Q3: 16,043 shares 16,043$202K0.02%-3,143
MDUMDU RES GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 9,885 shares; 2016Q3: 9,939 shares; 2016Q4: 9,901 shares; 2017Q1: 9,953 shares; 2017Q2: 9,833 shares; 2017Q3: 7,733 shares 7,733$201K0.02%-2,100Timeline
PACWEST BANCORP DELPACWEST BANCORP DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 3,970 shares; 2017Q1: 3,970 shares; 2017Q2: not reported; 2017Q3: 3,970 shares 3,970$201K0.02%new
HLHECLA MINING COMPANYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 32,006 shares; 2016Q3: 28,606 shares; 2016Q4: 23,606 shares; 2017Q1: 19,643 shares; 2017Q2: 35,334 shares; 2017Q3: 39,334 shares 39,334$197K0.02%+4,000Timeline
ETWEATON VANCE TAX-MANAGED GLOBQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,592 shares; 2016Q3: 16,494 shares; 2016Q4: 16,503 shares; 2017Q1: 16,272 shares; 2017Q2: 16,369 shares; 2017Q3: 16,466 shares 16,466$195K0.02%+97Timeline
IGAVOYA GLBL ADV & PREM OPP FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 15,917 shares; 2016Q4: 15,974 shares; 2017Q1: 16,826 shares; 2017Q2: 16,674 shares; 2017Q3: 16,855 shares 16,855$194K0.02%+181Timeline
MARATHON OIL CORPMARATHON OIL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 20,452 shares; 2016Q3: 20,643 shares; 2016Q4: 20,490 shares; 2017Q1: 19,469 shares; 2017Q2: 14,007 shares; 2017Q3: 13,952 shares 13,952$189K0.02%-55
XNCMXNUVEEN CALIF AMT FREE MUNI IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,800 shares; 2017Q1: 11,800 shares; 2017Q2: 11,800 shares; 2017Q3: 11,800 shares 11,800$186K0.02%0Timeline
RCSPIMCO STRATEGIC INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 31,680 shares; 2016Q3: 41,738 shares; 2016Q4: 24,847 shares; 2017Q1: 22,040 shares; 2017Q2: 23,646 shares; 2017Q3: 18,976 shares 18,976$185K0.02%-4,670Timeline
DNPDNP SELECT INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,143 shares; 2016Q3: 16,762 shares; 2016Q4: 14,893 shares; 2017Q1: 15,386 shares; 2017Q2: 15,460 shares; 2017Q3: 15,361 shares 15,361$176K0.01%-99Timeline
ZTRVIRTUS TOTAL RETURN FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 12,757 shares; 2017Q3: 13,203 shares 13,203$174K0.01%+446Timeline
PSECPROSPECT CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 63,605 shares; 2016Q3: 81,205 shares; 2016Q4: 52,405 shares; 2017Q1: 57,755 shares; 2017Q2: 74,255 shares; 2017Q3: 25,275 shares 25,275$170K0.01%-48,980Timeline
BCRXBIOCRYST PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 41,000 shares; 2016Q3: 40,850 shares; 2016Q4: 38,850 shares; 2017Q1: 38,700 shares; 2017Q2: 36,000 shares; 2017Q3: 32,000 shares 32,000$168K0.01%-4,000Timeline
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 50,724 shares; 2016Q3: 47,724 shares; 2016Q4: 47,815 shares; 2017Q1: 43,990 shares; 2017Q2: 40,040 shares; 2017Q3: 31,974 shares 31,974$167K0.01%-8,066
CELLDEX THERAPEUTICS INC NEWCELLDEX THERAPEUTICS INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 55,246 shares; 2016Q3: 55,246 shares; 2016Q4: 54,930 shares; 2017Q1: 64,930 shares; 2017Q2: 61,550 shares; 2017Q3: 58,500 shares 58,500$167K0.01%-3,050
AMDADVANCED MICRO DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: 12,290 shares; 2017Q2: 12,890 shares; 2017Q3: 12,890 shares 12,890$164K0.01%0Timeline
JCENUVEEN CORE EQUITY ALPHA FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: 10,666 shares; 2017Q3: 10,585 shares 10,585$164K0.01%-81Timeline
VLYVALLEY NATL BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 13,654 shares; 2016Q3: 13,654 shares; 2016Q4: 13,654 shares; 2017Q1: 13,654 shares; 2017Q2: 13,523 shares; 2017Q3: 13,508 shares 13,508$163K0.01%-15Timeline
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 154,838 shares; 2016Q3: 162,671 shares; 2016Q4: 11,724 shares; 2017Q1: 12,516 shares; 2017Q2: 13,717 shares; 2017Q3: 13,639 shares 13,639$163K0.01%-78
XCMUXMFS HIGH YIELD MUN TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 41,865 shares; 2016Q3: 41,865 shares; 2016Q4: 40,865 shares; 2017Q1: 40,865 shares; 2017Q2: 34,465 shares; 2017Q3: 34,065 shares 34,065$162K0.01%-400Timeline
RDNTRADNET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,296 shares; 2016Q3: 15,296 shares; 2016Q4: 15,296 shares; 2017Q1: 15,296 shares; 2017Q2: 16,796 shares; 2017Q3: 13,796 shares 13,796$159K0.01%-3,000Timeline
FDDFIRST TR EXCHANGE-TRADED FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,113 shares 11,113$152K0.01%newTimeline
ERIIENERGY RECOVERY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,446 shares; 2016Q3: 16,446 shares; 2016Q4: 15,446 shares; 2017Q1: 15,446 shares; 2017Q2: 18,743 shares; 2017Q3: 18,743 shares 18,743$148K0.01%0Timeline
VALEANT PHARMACEUTICALS INTLVALEANT PHARMACEUTICALS INTLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,223 shares 10,223$146K0.01%new
HANCOCK JOHN INVT TRHANCOCK JOHN INVT TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,800 shares; 2017Q1: 11,800 shares; 2017Q2: 10,800 shares; 2017Q3: 15,095 shares 15,095$139K0.01%+4,295
RETAIL PPTYS AMER INCRETAIL PPTYS AMER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 18,560 shares; 2016Q3: 23,414 shares; 2016Q4: 23,414 shares; 2017Q1: 17,886 shares; 2017Q2: 11,802 shares; 2017Q3: 10,410 shares 10,410$137K0.01%-1,392
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 29,447 shares; 2016Q3: 29,447 shares; 2016Q4: 29,503 shares; 2017Q1: 21,613 shares; 2017Q2: 21,408 shares; 2017Q3: 20,108 shares 20,108$136K0.01%-1,300
PIMCO CALIFORNIA MUNICIPAL …PIMCO CALIFORNIA MUNICIPAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 11,700 shares; 2017Q1: 11,700 shares; 2017Q2: 11,800 shares; 2017Q3: 12,100 shares 12,100$122K0.01%+300
NEW AMERICA HIGH INCOME FUN…NEW AMERICA HIGH INCOME FUND IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,297 shares; 2016Q3: 15,023 shares; 2016Q4: 12,571 shares; 2017Q1: 12,619 shares; 2017Q2: 12,643 shares; 2017Q3: 12,185 shares 12,185$121K0.01%-458
OXFORD LANE CAP CORPOXFORD LANE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,100 shares; 2016Q3: 11,100 shares; 2016Q4: 11,100 shares; 2017Q1: 11,100 shares; 2017Q2: 11,100 shares; 2017Q3: 11,100 shares 11,100$113K0.01%0
ABERDEEN ASIA-PACIFIC INCOM…ABERDEEN ASIA-PACIFIC INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: 12,704 shares; 2017Q1: 15,886 shares; 2017Q2: 19,639 shares; 2017Q3: 21,565 shares 21,565$111K0.01%+1,926
SPPPSPROTT ASSET MANAGEMENT LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,083 shares; 2016Q3: 12,593 shares; 2016Q4: 12,593 shares; 2017Q1: 12,593 shares; 2017Q2: 12,593 shares; 2017Q3: 12,593 shares 12,593$107K0.01%0Timeline
PUTMAN HIGH INCOME SEC FUNDPUTMAN HIGH INCOME SEC FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,760 shares 11,760$105K0.01%new
HIXWESTERN ASSET HIGH INCOM FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,736 shares; 2016Q3: 16,736 shares; 2016Q4: 13,915 shares; 2017Q1: 13,715 shares; 2017Q2: 13,515 shares; 2017Q3: 13,515 shares 13,515$97K0.01%0Timeline
BCXBLACKROCK RES & COMMODITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,551 shares 10,551$94K0.01%newTimeline
TAHOE RES INCTAHOE RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,551 shares; 2016Q3: 17,524 shares; 2016Q4: 17,524 shares; 2017Q1: 17,524 shares; 2017Q2: 17,405 shares; 2017Q3: 17,192 shares 17,192$91K0.01%-213
DREYFUSDREYFUSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 47,326 shares; 2016Q3: 47,676 shares; 2016Q4: 48,225 shares; 2017Q1: 24,500 shares; 2017Q2: 24,000 shares; 2017Q3: 24,000 shares 24,000$85K0.01%0
CHESEPEAKE ENERGY CORPCHESEPEAKE ENERGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,082 shares; 2016Q3: 14,982 shares; 2016Q4: 17,051 shares; 2017Q1: 17,051 shares; 2017Q2: 17,306 shares; 2017Q3: 18,296 shares 18,296$79K0.01%+990
TSITCW STRATEGIC INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 14,692 shares; 2016Q3: 14,692 shares; 2016Q4: 14,692 shares; 2017Q1: 12,692 shares; 2017Q2: 12,346 shares; 2017Q3: 12,346 shares 12,346$72K0.01%0Timeline
INVESTORS REAL ESTATE TRUSTINVESTORS REAL ESTATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,210 shares; 2016Q3: 16,084 shares; 2016Q4: 12,863 shares; 2017Q1: 12,863 shares; 2017Q2: 12,128 shares; 2017Q3: 11,440 shares 11,440$70K0.01%-688
GLU MOBILE INCGLU MOBILE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 16,269 shares; 2016Q3: 16,039 shares; 2016Q4: 16,039 shares; 2017Q1: 16,039 shares; 2017Q2: 15,539 shares; 2017Q3: 15,539 shares 15,539$58K<0.01%0
TREVENA INCTREVENA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 19,452 shares; 2016Q3: 19,952 shares; 2016Q4: 21,512 shares; 2017Q1: 21,512 shares; 2017Q2: 21,512 shares; 2017Q3: 21,362 shares 21,362$54K<0.01%-150
AGENUS INCAGENUS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares; 2017Q2: 10,000 shares; 2017Q3: 10,000 shares 10,000$44K<0.01%0
NYMXFNYMOX PHARMACEUTICAL CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 11,000 shares; 2016Q3: 11,000 shares; 2016Q4: 11,000 shares; 2017Q1: 11,000 shares; 2017Q2: 11,000 shares; 2017Q3: 11,000 shares 11,000$42K<0.01%0Timeline
ANTARES PHARMA INCANTARES PHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 64,333 shares; 2016Q3: 57,233 shares; 2016Q4: 52,233 shares; 2017Q1: 52,233 shares; 2017Q2: 58,233 shares; 2017Q3: 12,900 shares 12,900$42K<0.01%-45,333
SGYPQSYNERGY PHARMACEUTICALS DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,000 shares 10,000$29K<0.01%newTimeline
ATHERSYS INCATHERSYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 10,000 shares; 2016Q3: 10,000 shares; 2016Q4: 10,000 shares; 2017Q1: 10,000 shares; 2017Q2: 10,000 shares; 2017Q3: 10,000 shares 10,000$21K<0.01%0
NOVAVAX INCNOVAVAX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: 12,335 shares; 2016Q4: 12,335 shares; 2017Q1: 12,335 shares; 2017Q2: 12,335 shares; 2017Q3: 12,335 shares 12,335$14K<0.01%0
EGALET CORPEGALET CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: not reported; 2016Q3: not reported; 2016Q4: not reported; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 10,000 shares 10,000$13K<0.01%new
GOLDEN STAR RES LTD CDAGOLDEN STAR RES LTD CDAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: 15,000 shares; 2016Q3: 15,000 shares; 2016Q4: 11,000 shares; 2017Q1: 11,000 shares; 2017Q2: 11,000 shares; 2017Q3: 11,000 shares 11,000$8K<0.01%0

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
AAPLAPPLE INC COMput600$5Knew
QCOMQUALCOMM INC COMput900$3Knew
DEDEERE & CO COMput200$2Knew
GILDGILEAD SCIENCES INC COMput800$2Knew
SWKSSKYWORKS SOLUTIONS INC Stockput300$2Knew
CENTURYLINK INCCENTURYLINK INC COMput500$2Knew
AXPAMERICAN EXPRESS CO COMput500$1Knew
TAT&T INC COMput1,100$1Knew
BMYBRISTOL-MYERS SQUIBB CO COMput1,100$1Knew
KOCOCA COLA CO COMput600$1Knew
IBMINTERNATIONAL BUSINESS MACHS COMput200$1Knew
JNJJOHNSON & JOHNSON COMput200$1Knew
GENERAL ELEC COGENERAL ELEC CO COMput1,300$1Knew
CTSHCOGNIZANT TECHNOLOGY SOLUTIO Stockput500$1Knew
EXELEXELIXIS INC Stockput200$1Knew
SNYSANOFI SA ADRput1,200$1Knew
FDNFIRST TR EXCHANGE-TRADED FD DJ INTERNT IDXput300$1Knew
BLACKROCK INCBLACKROCK INC COMput100$1Knew
RAYTHEON CORAYTHEON CO COM NEWput200$1Knew
CVSCVS HEALTH CORP COMput100$0new
WMWASTE MGMT INC DEL COMput200$0new
TROWPRICE T ROWE GROUP INC Stockput500$0new
CWBSPDR SERIES TRUST BBG CONV SEC ETFput500$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 CORPORATIO…PROSPECT CAPITAL CORPORATION 5.75… Convertibleprincipal62,000$63Knew
PROSPECT CAPITAL CORPORATIONPROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1principal25,000$25Knew

Sold out in Q3 2017

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

SecurityShares beforeValue beforeType
REYNOLDS AMERICAN INCREYNOLDS AMERICAN INC48,876$3.17Mshares
NUVEEN PREFERRED &amp; INCO…NUVEEN PREFERRED &amp; INCOME112,521$2.78Mshares
SCHZSCHWAB STRATEGIC TR48,066$2.5Mshares
IYKISHARES TR16,848$2.05Mshares
SCHCSCHWAB STRATEGIC TR42,497$1.42Mshares
ECLIPSE RES CORPECLIPSE RES CORP418,000$1.29Mshares
QQEWFIRST TR EXCHANGE-TRADED FD23,526$1.25Mshares
SCHESCHWAB STRATEGIC TR49,499$1.24Mshares
STATE STREETSTATE STREET9,465$1.18Mshares
DU PONT E I DE NEMOURS & CODU PONT E I DE NEMOURS & CO10,801$887Kshares
POWERSHARES GLOBAL EXCHANGE…POWERSHARES GLOBAL EXCHANGE TRADE…25,583$834Kshares
CORCENCORA INC8,424$798Kshares
DBLDOUBLELINE OPPORTUNISTIC CR28,970$753Kshares
VSSVANGUARD INTL EQUITY INDEX F6,630$715Kshares
ALLIANZGI EQUITY & CONV INCOALLIANZGI EQUITY & CONV INCO34,821$691Kshares
Dow Chemical CompanyDow Chemical Company9,332$597Kshares
Pimco Income Oppty FundPimco Income Oppty Fund20,448$549Kshares
SPDR INDEX SHS FDSSPDR INDEX SHS FDS12,315$521Kshares
KRESPDR SERIES TRUST9,160$514Kshares
AEEAMEREN CORP9,228$500Kshares
PPGPPG INDS INC4,506$498Kshares
GUGGENHEIM RUSSELL MCAPGUGGENHEIM RUSSELL MCAP7,602$456Kshares
AIGAMERICAN INTL GROUP INC6,803$431Kshares
WDCWESTERN DIGITAL CORP5,009$427Kshares
XMVTXBLACKROCK MUNIVEST FUND II26,563$420Kshares
PSFCOHEN & STEERS SELECT PFD &14,425$410Kshares
CHICAGO BRIDGE & IRON CO NVCHICAGO BRIDGE & IRON CO NV21,022$393Kshares
PIONEER FLOATING RATE FUND IPIONEER FLOATING RATE FUND I32,880$391Kshares
CDLVICTORY PORTFOLIOS II8,705$369Kshares
MONOGRAM RESIDENTIAL TR INCMONOGRAM RESIDENTIAL TR INC37,671$369Kshares
XBMEXBLACKROCK HEALTH SCIENCES TR9,950$367Kshares
POWERSHARES ETF TR IIPOWERSHARES ETF TR II11,636$333Kshares
CFAVICTORY PORTFOLIOS II7,486$331Kshares
DISH NETWORK CORPORATIONDISH NETWORK CORPORATION5,150$324Kshares
PMTPENNYMAC MTG INVT TR17,345$318Kshares
FUTYFIDELITY COVINGTON TRUST9,446$317Kshares
UNION BANKSHARES CORPUNION BANKSHARES CORP9,038$315Kshares
SPDR INDEX SHS FDSSPDR INDEX SHS FDS9,066$313Kshares
SPDR INDEX SHS FDSSPDR INDEX SHS FDS7,809$310Kshares
CARA THERAPEUTICS INCCARA THERAPEUTICS INC18,600$306Kshares
METMETLIFE INC5,353$301Kshares
DEMWISDOMTREE TR7,281$300Kshares
DIME CMNTY BANCSHARES INC C…DIME CMNTY BANCSHARES INC COM14,433$290Kshares
JCIJOHNSON CONTROLS INTERNATION6,636$287Kshares
XBOEXBLACKROCK ENHANCED GLOBAL21,397$285Kshares
BMOBANK OF MONTREAL3,835$283Kshares
HPSHANCOCK JOHN PFD INCOME FD I14,591$280Kshares
IJSISHARES TR1,976$279Kshares
VYMIVANGUARD WHITEHALL FDS4,356$273Kshares
PIIPOLARIS INC2,895$271Kshares
BIG 5 SPORTING GOODS CORPBIG 5 SPORTING GOODS CORP20,025$267Kshares
TIME WARNER INCTIME WARNER INC2,621$266Kshares
BOTZGLOBAL X FDS14,266$265Kshares
CQPCHENIERE ENERGY PARTNERS L P7,974$256Kshares
BHKBLACKROCK CORE BD TR18,204$253Kshares
AIAISHARES TR4,305$246Kshares
DSIISHARES TR2,732$244Kshares
WOODISHARES TR3,914$241Kshares
CAPSTEAD MTG CORPCAPSTEAD MTG CORP22,275$234Kshares
BLACKROCK MUNIYIELD ARIZ FDBLACKROCK MUNIYIELD ARIZ FD15,400$232Kshares
NEUNEWMARKET CORP500$229Kshares
TRNTRINITY INDS INC8,030$228Kshares
HPHELMERICH & PAYNE INC4,085$228Kshares
ILCVISHARES TR2,355$227Kshares
GREAT PLAINS ENERGY INCGREAT PLAINS ENERGY INC7,738$226Kshares
WISDOMTREE TRWISDOMTREE TR2,960$224Kshares
AGQPROSHARES TR II6,965$223Kshares
NBTBNBT BANCORP INC5,800$219Kshares
CHORD ENERGY CORPORATIONCHORD ENERGY CORPORATION25,750$219Kshares
PACIFIC PREMIER BANCORP INCPACIFIC PREMIER BANCORP INC5,777$217Kshares
DLSWISDOMTREE TR3,049$211Kshares
TEXTEREX CORP NEW5,609$209Kshares
INDEXIQ ETF TRINDEXIQ ETF TR7,595$209Kshares
UHSUNIVERSAL HLTH SVCS INC1,712$208Kshares
DIMWISDOMTREE TR3,279$208Kshares
IYEISHARES TR5,725$207Kshares
YUMYUM BRANDS INC2,813$206Kshares
DESWISDOMTREE TR2,538$206Kshares
AIVLWISDOMTREE TR2,486$205Kshares
BTOHANCOCK JOHN FINL OPPTYS5,477$205Kshares
GMEGAMESTOP CORP9,430$204Kshares
SMOGVANECK ETF TRUST3,399$204Kshares
MACQUARIE INFRASTRUCTURE HO…MACQUARIE INFRASTRUCTURE HOLDI2,553$202Kshares
BUCKEYE PARTNERS LP (BPL)BUCKEYE PARTNERS LP (BPL)3,090$202Kshares
PIONEER MUNICIPAL HIGH INCO…PIONEER MUNICIPAL HIGH INCOME15,600$189Kshares
ENERPLUS CORPENERPLUS CORP21,715$182Kshares
MFMABERDEEN MUN INCOME FD24,039$173Kshares
Invesco Global Listed Priva…Invesco Global Listed Private Equ…12,835$160Kshares
XMYDXBLACKROCK MUNIYIELD FUND10,281$155Kshares
SANBANCO SANTANDER SA19,590$133Kshares
THL CREDIT INCTHL CREDIT INC12,450$125Kshares
XEXGXEATON VANCE TAX-MANAGED GLOB11,005$101Kshares
EODALLSPRING GLOBAL DIVIDEND OP12,000$74Kshares
ABRAXAS PETROLEUM CORPABRAXAS PETROLEUM CORP13,005$22Kshares
PZGPARAMOUNT GOLD NEV CORP14,650$22Kshares

How Q3 2017 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 0001085146-17-002340 superseded2017-11-13acceptance time not in the bulk data set
13F-HR/A 0001085146-17-002511 baserestatement2017-11-22acceptance time not in the bulk data set