SecurityAZN / AstraZeneca Plc (046353108)
Institutional Owners647
Form N-Q Owners152
Institutional Shares504,629,549 (ex. N-Q)
Institutional Value$ 11,963,425,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

AstraZeneca Plc (NYSE:AZN) has 647 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 504,629,549 shares. Largest shareholders include BlackRock Inc., Wellington Management Group LLP, Dodge & Cox, Primecap Management Co/ca/, Bank Of America Corp /de/, Price T Rowe Associates Inc /md/, FMR LLC / Fidelity, Fisher Asset Management, LLC, Capital International Investors, and Epoch Investment Partners, Inc..

AstraZeneca Plc (NYSE:AZN) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-10-18 13F-HR EXANE DERIVATIVES Put 26 0 -100.00 124,285 0 -100.00
2018-02-12 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 100 100 0.00 3 3 0.00
2018-02-14 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC 166,862 5,790
2018-01-25 13F-HR Mercer Capital Advisers, Inc. 300 300 0.00 10 10 0.00
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN Put 7,200 0 -100.00 7 0 -100.00
2018-01-26 N-Q Fidelity Select Portfolios (see advisory)
2018-02-02 13F-HR COMERICA BANK 187,930 187,204 -0.39 6,347 6,713 5.77
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC Call 1,200,000 0 -100.00 40,908 0 -100.00
2018-01-18 13F-HR WealthTrust-Arizona, LLC 120 120 0.00 4 4 0.00
2018-02-13 13F-HR PROSPECTOR PARTNERS LLC 59,800 59,800 0.00 2,026 2,075 2.42
2017-11-14 13F-HR Elkfork Partners LLC 18,258 18,258 0.00 622 619 -0.48
2018-02-14 13F-HR Weiss Multi-Strategy Advisers LLC 90,000 116,000 28.89 3,049 4,025 32.01
2018-02-12 13F-HR OPPENHEIMER FUNDS INC 138,370 133,213 -3.73 4,688 4,622 -1.41
2018-02-12 13F-HR CITIGROUP INC Call 422,800 453,400 7.24 14,325 15,733 9.83
2017-11-27 N-Q Voya Balanced Portfolio Inc (see advisory)
2018-02-08 13F-HR Advisory Services Network, LLC 3,854 6,319 63.96 131 219 67.18
2018-01-24 13F-HR Fisher Asset Management, LLC 11,601,573 11,917,332 2.72 393,061 413,531 5.21
2018-02-01 13F-HR Nationwide Fund Advisors 53,300 0 -100.00 1,806 0 -100.00
2018-01-26 N-Q Intermediate Bond Fund Of America (see advisory)
2018-01-24 13F-HR Sg3 Management, Llc Call 0 0 0 0
2017-11-22 N-Q Ssga Master Trust (see advisory)
2017-09-29 N-Q Tax-managed International Equity Portfolio (see advisory)
2017-11-03 13F-HR JENNISON ASSOCIATES LLC 1,983,301 0 -100.00 67,611 0 -100.00
2018-02-09 13F-HR Bank of New York Mellon Corp 218,344 220,883 1.16 7,397 7,665 3.62
2018-02-13 13F-HR BANK OF NOVA SCOTIA TRUST CO 2,781 0 -100.00 94 0 -100.00
2018-02-13 13F-HR Financial Gravity Companies, Inc. 124 4
2018-02-14 13F-HR HBK INVESTMENTS L P 0 23,400 0 812
2017-11-14 13F-HR/A-1 INTL FCSTONE INC. 32,549 0 -100.00 1,110 0 -100.00
2017-10-25 N-Q State Farm Associates Funds Trusts (see advisory)
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 24,512 0 -100.00 830 0 -100.00
2018-02-09 13F-HR HENDERSON GROUP PLC 726,599 718,337 -1.14 24,617 24,926 1.26
2018-01-18 13F-HR Cordasco Financial Network 3,668 3,668 0.00 124 127 2.42
2017-09-22 13F-HR/A-1 Allen Investment Management LLC 105,000 0 -100.00 7,501 0 -100.00
2017-11-13 13F-HR Laurion Capital Management LP Call 25,000 0 -100.00 852 0 -100.00
2018-02-12 13F-HR Heritage Trust Co 184 0 -100.00 6 0 -100.00
2017-10-12 13F-HR V Wealth Management,LLC 198 0 -100.00 7 0 -100.00
2018-02-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 1,710 2,183 27.66 58 76 31.03
2018-02-14 13F-HR Flinton Capital Management LLC 8,592 8,592 0.00 291 298 2.41
2018-01-19 13F-HR World Asset Management Inc 148,621 143,024 -3.77 5,035 4,963 -1.43
2018-02-14 13F-HR BARCLAYS PLC Put 386,500 393,800 1.89 13,094 13,665 4.36
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 14,137 14,830 4.90 478 514 7.53
2018-01-24 13F-HR Vantage Investment Advisors, LLC 500 2,000 300.00 0 139 1,290.00
2018-01-02 13F-HR American Financial Network Advisory Services Llc 250 250 0.00 8 9 12.50
2017-11-03 13F-HR JENNISON ASSOCIATES LLC Call 1,115,000 0 -100.00 38,010 0 -100.00
2017-11-14 13F-HR Folger Hill Asset Management LP 7,939 0 -100.00 271 0 -100.00
2018-02-14 13F-HR Zions Bancorporation 38,852 0 -100.00 1,317 0 -100.00
2018-02-13 13F-HR Investors Research Corp 7,966 276
2017-10-24 N-Q Federated Global Allocation Fund (see advisory)
2018-02-14 13F-HR Neuberger Berman Group LLC 112,483 184,551 64.07 3,811 6,403 68.01
2018-02-14 13F-HR One Wealth Advisors, Llc 1,785 62
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Put 329,100 0 -100.00 11,218 0 -100.00
2018-02-14 13F-HR Summit Trail Advisors, Llc 16,320 578
2018-01-26 13F-HR CHUBB LTD 500,000 500,000 0.00 16,940 17,350 2.42
2017-10-26 N-Q Ab Cap Fund, Inc. (see advisory)
2018-02-09 13F-HR Fiera Capital Corp 0 5,967 0 207
2018-01-30 13F-HR Garner Asset Management Corp 9,285 9,185 -1.08 315 319 1.27
2018-01-17 13F-HR Lowe fs, LLC 100 100 0.00 3 3 0.00
2018-02-13 13F-HR PARK CIRCLE Co 114,400 114,400 0.00 3,876 3,970 2.43
2017-11-14 13F-HR BALYASNY ASSET MANAGEMENT LLC Call 275,000 0 -100.00 9,375 0 -100.00
2017-09-27 N-Q Franklin Investors Securities Trust (see advisory)
2018-02-12 13F-HR Pinnacle Wealth Planning Services, Inc. 2,922 101
2018-02-09 13F-HR Itau Unibanco Holding S.A. 2,418 2,958 22.33 260 103 -60.38
2017-11-29 N-Q Unified Series Trust (see advisory)
2018-02-02 13F-HR US BANCORP \DE\ 58,108 64,561 11.11 1,969 2,240 13.76
2018-02-14 13F-HR Point72 Asset Management, L.P. 1,224,939 925,200 -24.47 41,501 32,104 -22.64
2018-01-18 13F-HR REGIONS FINANCIAL CORP 22,364 23,898 6.86 758 829 9.37
2017-10-25 13F-HR DUNCKER STREETT & CO INC 1,153 0 -100.00 39 0 -100.00
2018-02-06 13F-HR M&T BANK CORP 315,443 317,119 0.53 10,688 11,003 2.95
2018-02-14 13F-HR PEAK6 Investments, L.P. Put 249,500 119,700 -52.02 8,453 4,154 -50.86
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC Call 60,200 34,800 -42.19 2,040 1,208 -40.78
2017-11-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC Put 220,000 0 -100.00 7,500 0 -100.00
2018-02-15 13F-HR SRS Capital Advisors, Inc. 584 596 2.05 19 20 5.26
2018-01-17 13F-HR Edge Wealth Management LLC 1,043 36
2018-02-09 13F-HR Twin Tree Management, LP 102,885 0 -100.00 3,486 0 -100.00
2018-02-09 13F-HR CITADEL ADVISORS LLC 625,136 28,521 -95.44 21,180 990 -95.33
2018-02-09 13F-HR SUFFOLK CAPITAL MANAGEMENT LLC 359,120 0 -100.00 12,167 0 -100.00
2018-02-14 13F-HR Walleye Trading LLC Put 66,100 129,900 96.52 2,238 4,508 101.43
2017-11-02 13F-HR Bristol Advisors, LLC 16,600 0 -100.00 566 0 -100.00
2018-02-12 13F-HR Financial Architects, Inc 2,663 2,236 -16.03 90 77 -14.44
2017-11-24 N-Q Transamerica Series Trust (see advisory)
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC Put 150,000 0 -100.00 5,114 0 -100.00
2017-11-29 N-Q Cullen Funds Trust (see advisory)
2017-11-14 13F-HR Dynamic Capital Management Ltd 297,301 0 -100.00 10,135 0 -100.00
2017-11-14 13F-HR DRW Securities, LLC Call 54,500 0 -100.00 1,858 0 -100.00
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 116,162 121,702 4.77 3,960 4,123 4.12
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 120,748 4,190
2018-02-09 13F-HR Timber Hill LLC 7,912 0 -100.00 268 0 -100.00
2018-02-14 13F-HR Virtue Capital Management, Llc 550 19
2018-02-14 13F-HR HighTower Advisors, LLC 146,354 131,918 -9.86 4,955 4,569 -7.79
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ Put 2,000 0 -100.00 68 0 -100.00
2018-02-12 13F-HR Leisure Capital Management 7,616 7,769 2.01 258 270 4.65
2018-02-13 13F-HR Focused Wealth Management, Inc 23,029 26,288 14.15 780 912 16.92
2018-02-14 13F-HR Voya Investment Management LLC 1,893,352 2,588,041 36.69 64,147 89,805 40.00
2018-02-07 13F-HR Gradient Investments LLC 0 100 0 3
2018-02-08 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 51,528 24,524 -52.41 1,746 851 -51.26
2018-01-31 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 21,524 22,245 3.35 729 772 5.90
2018-02-14 13F-HR Independent Advisor Alliance 0 6,162 0 219
2018-02-02 13F-HR COCONUT GROVE BANK 16,839 17,385 3.24 571 603 5.60
2018-02-14 13F-HR Quantitative Investment Management, LLC 0 360,600 0 12,512
2018-02-09 13F-HR GFS Advisors, LLC 31,225 23,325 -25.30 1,058 809 -23.53
2017-11-09 N-Q Tcw Strategic Income Fund Inc (see advisory)
2017-09-29 N-Q Primecap Odyssey Funds (see advisory)
2018-02-12 13F-HR Bancorpsouth Bank 6,204 215
2017-11-28 N-Q Pax World Funds Series Trust Iii (see advisory)
2017-10-25 13F-HR Hayek Kallen Investment Management 6,200 0 -100.00 211 0 -100.00
2017-12-28 N-Q Fidelity Devonshire Trust (see advisory)
2018-02-14 13F-HR Voya Financial Advisors, Inc. 30,021 37,355 24.43 1,005 1,274 26.77
2017-08-25 N-Q Forester Funds Inc (see advisory)
2018-01-26 N-Q Eaton Vance Special Investment Trust (see advisory)
2018-02-06 13F-HR Alpha Omega Wealth Management LLC 500 500 0.00 17 17 0.00
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 40,050 41,937 4.71 1,356 1,455 7.30
2017-08-18 13F-HR WFG Advisors, LP 2,732 3,716 36.02 85 127 49.41
2017-10-30 N-Q Innovator Etfs Trust (see advisory)
2018-02-14 13F-HR TWO SIGMA ADVISERS, LP 372,600 365,100 -2.01 12,624 12,669 0.36
2018-02-01 13F-HR HL FINANCIAL SERVICES LLC 6,925 7,180 3.68 235 249 5.96
2018-02-13 13F-HR ROPES WEALTH ADVISORS LLC 400 400 0.00 14 14 0.00
2018-02-14 13F-HR AMERICAN NATIONAL INSURANCE CO /TX/ 26,350 26,350 0.00 893 914 2.35
2018-01-18 13F-HR First Bank & Trust 46,593 55,597 19.32 1,578 1,929 22.24
2017-11-27 N-Q John Hancock Hedged Equity & Income Fund (see advisory)
2018-02-09 13F-HR FDx Advisors, Inc. 143,702 156,322 8.78 4,869 5,424 11.40
2018-02-14 13F-HR Jefferies Group LLC 0 83,599 0 2,901
2018-02-14 13F-HR Kendall Capital Management 16,015 556
2017-08-25 N-Q Northern Funds (see advisory)
2018-01-16 13F-HR FIRST FINANCIAL CORP /IN/ 1,760 1,760 0.00 60 61 1.67
2018-02-08 13F-HR D.A. DAVIDSON & CO. 16,578 18,509 11.65 561 642 14.44
2017-08-28 N-Q NEW PERSPECTIVE FUND (see advisory)
2017-12-21 N-Q Blackrock Equity Dividend Fund (see advisory)
2017-11-14 N-Q Russell Investment Funds (see advisory)
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 501,900 252,100 -49.77 17,004 8,748 -48.55
2018-02-02 13F-HR Cedar Wealth Management, LLC 600 0 -100.00 20 0 -100.00
2018-02-08 13F-HR MUFG Americas Holdings Corp 5,940 6,128 3.16 201 213 5.97
2018-01-31 13F-HR LSV ASSET MANAGEMENT 107,200 107,200 0.00 3,631 3,719 2.42
2018-02-14 13F-HR TEACHERS ADVISORS INC 925,986 991,956 7.12 31,372 34,421 9.72
2018-02-15 13F-HR HBK Sorce Advisory LLC 6,306 219
2018-02-01 13F-HR/A-1 Ifg Advisory, Llc 10,336 358
2018-01-26 N-Q Brinker Capital Destinations Trust (see advisory)
2017-11-22 N-Q Elfun Income Fund (see advisory)
2017-10-24 N-Q Federated Fixed Income Securities Inc (see advisory)
2018-02-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 0 180,901 0 6,277
2018-02-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 1,736,251 952,592 -45.14 58,824 33,055 -43.81
2018-02-14 13F-HR Invesco Ltd. 809,794 803,634 -0.76 27,436 27,886 1.64
2018-02-08 13F-HR OAK ASSOCIATES LTD /OH/ 0 54,900 0 1,905
2017-11-29 N-Q Deutsche Institutional Funds (see advisory)
2018-02-13 13F-HR O'SHAUGHNESSY ASSET MANAGEMENT, LLC 58,603 48,746 -16.82 1,985 1,691 -14.81
2018-02-14 13F-HR HSBC HOLDINGS PLC 46,254 47,975 3.72 1,567 1,665 6.25
2018-01-31 13F-HR Tortoise Investment Management, LLC 228 228 0.00 8 8 0.00
2018-02-14 13F-HR Horizon Kinetics LLC 31,245 31,083 -0.52 1,058 1,078 1.89
2018-01-17 13F-HR Cutler Group LP 2,100 688 -67.24 71 23 -67.61
2018-02-05 13F-HR Aries Wealth Management 10,030 355
2017-11-07 13F-HR SG Americas Securities, LLC Put 80,000 0 -100.00 224 0 -100.00
2017-10-27 13F-HR OLD NATIONAL BANCORP /IN/ 5,876 0 -100.00 201 0 -100.00
2017-11-01 13F-HR OLD REPUBLIC INTERNATIONAL CORP 951,000 951,000 0.00 32,420 32,220 -0.62
2018-02-09 13F-HR Twin Tree Management, LP Call 223,700 182,500 -18.42 7,579 6,333 -16.44
2018-01-25 13F-HR FTB Advisors, Inc. 6,471 6,512 0.63 220 227 3.18
2018-01-26 N-Q Eaton Vance Growth Trust (see advisory)
2018-02-01 13F-HR ZWJ INVESTMENT COUNSEL INC 79,331 2,753
2018-02-14 13F-HR CAPITAL INTERNATIONAL LTD /CA/ 62,100 62,100 0.00 2,104 2,155 2.42
2017-08-25 N-Q Putnam Asset Allocation Funds (see advisory)
2018-02-02 13F-HR WRAPMANAGER INC 52,340 49,072 -6.24 1,773 1,703 -3.95
2018-02-14 13F-HR FEDERATED INVESTORS INC /PA/ 5,333,256 5,334,968 0.03 180,690 185,123 2.45
2018-02-14 13F-HR Janney Montgomery Scott LLC 306,060 343,245 12.15 10,369 11,911 14.87
2017-11-08 13F-HR HAP Trading, LLC Put 1,128,000 0 -100.00 284 0 -100.00
2017-10-26 13F-HR Acrospire Investment Management LLC 106 0 -100.00 4 0 -100.00
2018-02-14 13F-HR Marshall Wace North America L.P. 35,976 0 -100.00 1,223 0 -100.00
2017-09-26 N-Q Deutsche Market Trust (see advisory)
2018-02-07 13F-HR OPPENHEIMER & CO INC 16,214 29,482 81.83 550 1,022 85.82
2017-11-14 13F-HR Thomas J. Herzfeld Advisors, Inc. 352 0 -100.00 12 0 -100.00
2018-02-12 13F-HR DIMENSIONAL FUND ADVISORS LP 2,558,882 2,601,457 1.66 86,695 90,271 4.12
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 67,200 0 -100.00 2,277 0 -100.00
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 2,035,262 11,390 -99.44 70,624 789 -98.88
2018-01-30 13F-HR SECURITY NATIONAL TRUST CO 1,014 1,014 0.00 34 35 2.94
2018-02-16 13F-HR SALEM INVESTMENT COUNSELORS INC 2,000 2,000 0.00 68 69 1.47
2018-01-25 13F-HR Eqis Capital Management, Inc. 14,684 13,856 -5.64 497 481 -3.22
2017-08-29 N-Q Franklin Custodian Funds (see advisory)
2018-01-29 13F-HR EXANE DERIVATIVES Call 50 50 0.00 32,931 36,500 10.84
2018-02-12 13F-HR Princeton Portfolio Strategies Group LLC 27,476 27,476 0.00 931 953 2.36
2018-02-13 13F-HR KINGS POINT CAPITAL MANAGEMENT 1,000 1,000 0.00 34 35 2.94
2017-11-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC 100,000 0 -100.00 3,409 0 -100.00
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 1,826,733 1,401,152 -23.30 61,890 48,620 -21.44
2018-02-14 13F-HR RIVERHEAD CAPITAL MANAGEMENT LLC 9,500 9,500 0.00 322 330 2.48
2017-08-28 N-Q Brandes Investment Trust (see advisory)
2018-01-24 13F-HR Tower View Investment Management & Research Llc 750 26
2018-02-14 13F-HR Hilltop Holdings Inc. 33,891 37,186 9.72 1,148 1,290 12.37
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 1,641,400 1,450,800 -11.61 55,611 50,343 -9.47
2017-10-18 13F-HR SpiderRock Advisors LLC Call 3
2018-01-17 13F-HR DAVENPORT & Co LLC 11,184 11,424 2.15 378,914 396,413 4.62
2017-12-29 N-Q Nuveen Investment Trust V (see advisory)
2018-01-30 13F-HR Vigilant Capital Management, LLC 800 800 0.00 27 28 3.70
2017-11-07 13F-HR Cambridge Investment Research Advisors, Inc. 43,223 43,108 -0.27 1,473 1,460 -0.88
2018-02-05 13F-HR Monument Capital Management 10 0
2017-08-23 N-Q Massmutual Select Funds (see advisory)
2018-02-07 13F-HR LS Investment Advisors, LLC 1,340 1,340 0.00 45 46 2.22
2018-02-15 13F-HR Fieldpoint Private Securities, LLC 2,643 0 -100.00 90 0 -100.00
2018-02-09 13F-HR ATHENA CAPITAL ADVISORS LLC 162,600 162,919 0.20 5,509 5,653 2.61
2017-11-09 13F-HR JP Morgan Chase & Co Call 100,000 0 -100.00 3,409 0 -100.00
2018-02-14 13F-HR Vident Investment Advisory, LLC 33,983 37,505 10.36 1,151 1,301 13.03
2018-01-23 13F-HR CENTRAL TRUST Co 2,407 2,791 15.95 81 97 19.75
2018-02-07 13F-HR Private Advisor Group, LLC 39,294 52,071 32.52 1,353 1,835 35.62
2018-02-14 13F-HR FORESTERS INVESTMENT MANAGEMENT COMPANY, INC. 8,240 0 -100.00 279 0 -100.00
2018-01-26 N-Q Fidelity Advisor Series I (see advisory)
2018-01-12 13F-HR ATRIA INVESTMENTS LLC 26,516 33,495 26.32 898 1,162 29.40
2018-02-13 13F-HR Sawtooth Asset Management, Inc. 7,645 25,614 235.04 259 888 242.86
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 365,100 244,500 -33.03 12,370 8,484 -31.41
2018-01-31 13F-HR QUADRANT CAPITAL GROUP LLC 4,946 5,296 7.08 159 173 8.81
2018-02-14 13F-HR Patriot Financial Group Insurance Agency, LLC 117 117 0.00 4 4 0.00
2018-02-09 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 0 733,582 0 25,455
2017-11-27 N-Q Dodge & Cox Funds (see advisory)
2017-10-27 N-Q American Funds Corporate Bond Fund (see advisory)
2018-01-12 13F-HR Hexavest Inc. 545 545 0.00 18 19 5.56
2017-11-13 13F-HR Pacad Investment Ltd. 22,400 0 -100.00 764 0 -100.00
2018-02-05 13F-HR Neumann Capital Management, LLC 5,829 202
2018-02-07 13F-HR WHITTIER TRUST CO OF NEVADA INC 10,955 10,955 0.00 371 380 2.43
2018-02-14 13F-HR TimesSquare Capital Management, LLC 76,225 98,740 29.54 2,583 3,426 32.64
2017-12-21 N-Q Blackrock Funds (see advisory)
2018-02-05 13F-HR Crossmark Global Holdings, Inc. 122,541 122,001 -0.44 4,152 4,233 1.95
2017-10-24 N-Q Federated Equity Funds (see advisory)
2017-10-24 N-Q Alps Etf Trust (see advisory)
2018-02-02 13F-HR TODD ASSET MANAGEMENT LLC 24,131 32,701 35.51 818 1,135 38.75
2018-02-09 13F-HR Twin Tree Management, LP Put 818,100 263,700 -67.77 27,717 9,150 -66.99
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 175,297 149,720 -14.59 5,939 5,196 -12.51
2018-02-12 13F-HR CITIGROUP INC 122,666 383,181 212.38 4,155 13,296 220.00
2018-02-14 13F-HR STATE STREET CORP 174,102 247,312 42.05 5,898 8,582 45.51
2018-01-23 13F-HR REGENTATLANTIC CAPITAL LLC 15,667 15,670 0.02 531 544 2.45
2017-12-27 N-Q Pioneer Series Trust Iv (see advisory)
2017-09-28 N-Q Mainstay Funds Trust (see advisory)
2018-02-09 13F-HR THOMPSON SIEGEL & WALMSLEY LLC 1,360 1,360 0.00 46 47 2.17
2018-02-13 13F-HR Parallel Advisors, LLC 9,522 9,264 -2.71 313 321 2.56
2018-02-14 13F-HR Jefferies Group LLC Put 0 101,800 0 3,532
2018-02-08 13F-HR AVIANCE CAPITAL MANAGEMENT, LLC 102 0 -100.00 3 0 -100.00
2018-02-12 13F-HR RDL FINANCIAL INC 17,715 19,998 12.89 614 694 13.03
2018-02-14 13F-HR STIFEL FINANCIAL CORP 405,819 452,420 11.48 13,769 15,696 14.00
2018-02-12 13F-HR Veritable, L.P. 6,977 7,127 2.15 236 247 4.66
2017-11-28 N-Q Mainstay Vp Funds Trust (see advisory)
2017-11-14 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC Call 10,000 0 -100.00 1,450 0 -100.00
2018-01-16 13F-HR Norway Savings Bank 250 250 0.00 8 9 12.50
2018-02-09 13F-HR SKBA CAPITAL MANAGEMENT LLC 225,170 225,070 -0.04 7,629 7,810 2.37
2018-02-13 13F-HR UNITED CAPITAL FINANCIAL ADVISERS, LLC 10,768 13,177 22.37 365 449 23.01
2018-02-14 13F-HR Clearbridge Investments, LLC 331,043 309,859 -6.40 11,216 10,752 -4.14
2017-08-28 N-Q Allianzgi Institutional Multi-series Trust (see advisory)
2018-02-14 13F-HR CAPITAL GUARDIAN TRUST CO 107,520 1,214,382 1,029.45 3,643 42,139 1,056.71
2018-01-24 13F-HR HOWE & RUSLING INC 1,718 0 -100.00 58 0 -100.00
2018-02-14 13F-HR BOKF, NA 80,221 98,031 22.20 2,718 3,401 25.13
2017-11-17 13F-HR/A-1 PURA VIDA INVESTMENTS, LLC Call 200,000 0 -100.00 6,818 0 -100.00
2018-02-09 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 48,916 55,825 14.12 1,657 1,938 16.96
2018-02-09 13F-HR SYNOVUS FINANCIAL CORP 0 9,417 0 327
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 20,231 10,498 -48.11 685 364 -46.86
2017-10-24 N-Q Federated Income Securities Trust (see advisory)
2018-02-15 13F-HR JANE STREET GROUP, LLC 14,775 17,181 16.28 501 596 18.96
2018-02-14 13F-HR Squarepoint Ops LLC 31,204 0 -100.00 1,057 0 -100.00
2018-02-01 13F-HR Taylor Wealth Management Partners 300 300 0.00 10 10 0.00
2018-02-14 13F-HR CAPITAL INTERNATIONAL SARL 106,650 132,650 24.38 3,613 4,603 27.40
2018-02-09 13F-HR Valeo Financial Advisors, Llc 3,914 4,540 15.99 133 158 18.80
2017-08-28 N-Q Franklin Templeton Etf Trust (see advisory)
2018-02-13 13F-HR Edge Advisors, Llc 0 150 0 5
2018-02-06 13F-HR NTV ASSET MANAGEMENT LLC 9,000 8,000 -11.11 305 278 -8.85
2017-11-13 13F-HR WIMMER ASSOCIATES 1, LLC 43,119 0 -100.00 1,470 0 -100.00
2018-02-15 13F-HR Bb&t Investment Services, Inc. 23,136 28,035 21.17 782 964 23.27
2018-01-29 N-Q John Hancock Funds Iii (see advisory)
2018-02-13 13F-HR CONTINENTAL ADVISORS LLC 103,300 98,300 -4.84 3,500 3,411 -2.54
2018-01-30 13F-HR Roble, Belko & Company, Inc 520 520 0.00 18 18 0.00
2018-02-13 13F-HR Wellington Management Group LLP Call 875 1,264 44.46 473 702 48.41
2017-11-24 N-Q Sa Funds Investment Trust (see advisory)
2018-02-14 13F-HR AMP Capital Investors Ltd 21,478 20,014 -6.82 728 694 -4.67
2018-02-15 13F-HR Schafer Cullen Capital Management Inc 4,430,147 4,379,275 -1.15 150,093 151,961 1.24
2017-11-14 13F-HR Rikoon Group, LLC 35,780 35,500 -0.78 1,219 1,203 -1.31
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 524 199 -62.02 4 7 75.00
2018-02-09 13F-HR SUNTRUST BANKS INC 566,504 560,682 -1.03 19,191 19,454 1.37
2018-01-24 13F-HR TOMPKINS FINANCIAL CORP 1,911 1,314 -31.24 65 45 -30.77
2018-01-24 13F-HR Mps Loria Financial Planners, Llc 8,704 8,704 0.00 295 302 2.37
2017-11-29 N-Q Nuveen Investment Trust (see advisory)
2018-02-07 13F-HR Pinkerton Retirement Specialists, LLC 79,579 81,333 2.20 2,726 2,878 5.58
2018-01-31 13F-HR Front Row Advisors Llc 36 1
2018-02-08 13F-HR Point View Wealth Management, Inc. 20,336 19,343 -4.88 689 671 -2.61
2018-02-12 13F-HR BRANDES INVESTMENT PARTNERS, LP 241,197 0 -100.00 8,172 0 -100.00
2018-02-01 13F-HR Clear Perspective Advisors, LLC 75 0 -100.00 3 0 -100.00
2017-11-28 N-Q Bond Fund Of America (see advisory)
2017-11-29 N-Q Prudential Series Fund (see advisory)
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 2,997,031 3,097,422 3.35 101,539 107,481 5.85
2018-02-12 13F-HR SECTOR GAMMA AS 740,671 896,771 21.08 25,094 31,118 24.01
2018-02-09 13F-HR Raymond James Financial Services Advisors, Inc. 113,713 171,382 50.71 3,853 5,947 54.35
2017-10-25 N-Q Federated Total Return Series Inc (see advisory)
2018-02-14 13F-HR Prime Capital Investment Advisors, Llc 2,180 76
2018-02-02 13F-HR GABELLI FUNDS LLC 196,000 199,000 1.53 6,640 6,905 3.99
2017-08-28 N-Q Sunamerica Equity Funds (see advisory)
2018-01-17 13F-HR PEOPLES FINANCIAL SERVICES CORP. 226 226 0.00 8 8 0.00
2018-01-26 N-Q Worldwide Health Sciences Portfolio (see advisory)
2018-02-14 13F-HR Capital International Investors 9,967,710 9,966,410 -0.01 337,706 345,834 2.41
2018-02-15 13F-HR/A-1 Balentine LLC 1,524 1,488 -2.36 52 52 0.00
2018-02-09 13F-HR Baird Financial Group, Inc. 53,521 53,126 -0.74 1,813 1,843 1.65
2017-11-29 N-Q Eaton Vance Tax-managed Global Buy-write Opportunities Fund (see advisory)
2018-01-25 N-Q Federated Institutional Trust (see advisory)
2017-09-29 N-Q Alger Funds (see advisory)
2018-02-14 13F-HR Belpointe Asset Management Llc 9,117 11,207 22.92 309 389 25.89
2018-02-02 13F-HR Berkeley Capital Partners, LLC 42,346 46,197 9.09 1,435 1,603 11.71
2017-11-14 13F-HR ORBIMED ADVISORS LLC Put 250,000 0 -100.00 8,523 0 -100.00
2017-11-09 13F-HR FNY Partners Fund LP 500 0 -100.00 17 0 -100.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 83,800 0 -100.00 2,839 0 -100.00
2018-02-14 13F-HR Ativo Capital Management LLC 7,900 7,900 0.00 268 274 2.24
2018-02-07 13F-HR Carnick & Kubik Group, LLC 18,232 17,842 -2.14 618 619 0.16
2018-02-09 13F-HR Lee Financial CORP 34 34 0.00 1 1 0.00
2018-02-09 13F-HR Pictet North America Advisors SA 266,649 264,729 -0.72 17,726 18,339 3.46
2017-11-22 N-Q Blackrock Index Funds, Inc. (see advisory)
2018-02-14 13F-HR GUARDIAN CAPITAL ADVISORS LP 103,495 103,600 0.10 3,583 3,672 2.48
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 14,249,816 14,620,254 2.60 482,784 507,323 5.08
2018-02-15 13F-HR JANE STREET GROUP, LLC Call 11,100 0 -100.00 376 0 -100.00
2018-02-12 13F-HR YorkBridge Wealth Partners, LLC 3,767 3,724 -1.14 128 126 -1.56
2018-01-30 13F-HR Burt Wealth Advisors 1,554 1,554 0.00 53 54 1.89
2017-08-24 N-Q Legg Mason Global Asset Management Trust (see advisory)
2018-02-12 13F-HR Holowesko Partners Ltd. 1,898,000 1,526,000 -19.60 64,304 52,952 -17.65
2018-02-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 148,501 1,284,400 764.91 5,031 44,569 785.89
2018-02-01 13F-HR Plante Moran Financial Advisors, LLC 3,429 1,484 -56.72 116 51 -56.03
2018-02-12 13F-HR BROWN ADVISORY INC 9,941 345
2018-02-14 13F-HR BARCLAYS PLC 181,368 191,955 5.84 6,144 6,661 8.41
2018-01-16 13F-HR PRIVATE TRUST CO NA 0 8,941 0 310
2018-02-14 13F-HR UBS Group AG Put 106,500 111,100 4.32 3,608 3,855 6.85
2018-02-15 13F-HR Archford Capital Strategies, LLC 74,792 26,810 -64.15 2,534 930 -63.30
2017-11-14 13F-HR Weiss Multi-Strategy Advisers LLC Put 50,000 0 -100.00 1,705 0 -100.00
2018-01-19 13F-HR Town & Country Bank & Trust CO dba First Bankers Trust CO 49,654 50,594 1.89 1,682 1,756 4.40
2017-08-28 N-Q EUROPACIFIC GROWTH FUND (see advisory)
2018-01-29 13F-HR Bollard Group LLC 44,466 44,466 0.00 1,507 1,543 2.39
2018-01-17 13F-HR OLD SECOND NATIONAL BANK OF AURORA 355 355 0.00 12 12 0.00
2018-02-13 13F-HR ASSETMARK, INC 104,227 7,036 -93.25 3,531 244 -93.09
2018-01-16 13F-HR Capital Advisors, Ltd. LLC 2,316 2,316 0.00 78 80 2.56
2018-02-02 13F-HR HUNTINGTON NATIONAL BANK 4,478 3,884 -13.26 152 135 -11.18
2017-11-28 N-Q Northern Lights Fund Trust (see advisory)
2018-02-13 13F-HR Huber Capital Management LLC 27,500 27,500 0.00 932 954 2.36
2018-02-02 13F-HR CIBC Asset Management Inc 133,340 136,450 2.33 4,518 4,735 4.80
2018-02-13 13F-HR Israel Discount Bank of New York 225 225 0.00 8 8 0.00
2018-02-12 13F-HR Atlantic Trust Group, LLC 0 11,570 0 402
2018-01-24 N-Q PRINCIPAL FUNDS INC (see advisory)
2018-02-14 13F-HR Redmile Group, LLC 2,246,300 2,021,600 -10.00 76,105 70,150 -7.82
2018-02-15 13F-HR Sws Partners 428 15
2017-09-29 N-Q Neuberger Berman Income Funds (see advisory)
2018-01-25 N-Q Putnam Global Health Care Fund (see advisory)
2018-02-12 13F-HR ALTFEST L J & CO INC 19,644 19,532 -0.57 666 678 1.80
2017-10-27 N-Q Deutsche Securities Trust (see advisory)
2017-11-14 13F-HR I.G. INVESTMENT MANAGEMENT, LTD. 50,000 58,000 16.00 1,705 1,965 15.25
2018-02-15 13F-HR ADVISORS MANAGEMENT GROUP INC /ADV 7,479 7,479 0.00 253 260 2.77
2018-02-15 13F-HR GLENMEDE TRUST CO NA 339,419 412,454 21.52 11,498 14,311 24.47
2017-12-28 N-Q Fidelity Advisor Series Vii (see advisory)
2018-01-30 13F-HR JFS WEALTH ADVISORS, LLC 202 0 -100.00 7 0 -100.00
2017-11-28 N-Q Putnam Europe Equity Fund (see advisory)
2018-01-26 N-Q Fidelity Puritan Trust (see advisory)
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 4,406,824 4,301,237 -2.40 149,303 149,253 -0.03
2017-11-09 13F-HR FNY Partners Fund LP Put 150 0 -100.00 5 0 -100.00
2018-02-07 13F-HR HUNTINGTON ASSET ADVISORS, INC. 19,820 0 -100.00 672 0 -100.00
2018-02-08 13F-HR GREENLEAF TRUST 8,724 15,164 73.82 296 526 77.70
2018-02-01 13F-HR BNP PARIBAS ARBITRAGE, SA 8,697 10,959 26.01 294,654 380,277 29.06
2018-02-01 13F-HR CIBC World Markets Inc. 29,972 36,325 21.20 1,015 1,260 24.14
2018-02-14 13F-HR BRINKER CAPITAL INC 30,184 32,813 8.71 1,023 1,139 11.34
2018-02-14 13F-HR IHT Wealth Management, LLC 13,415 16,485 22.88 463 587 26.78
2017-09-27 N-Q Advisors' Inner Circle Fund Iii (see advisory)
2018-02-14 13F-HR Premier Asset Managment LLC 31,375 31,225 -0.48 1,063 1,084 1.98
2018-01-29 N-Q Goldman Sachs Etf Trust (see advisory)
2017-11-15 13F-HR WESTPORT ASSET MANAGEMENT INC 5,000 10,000 100.00 170 341 100.59
2018-01-26 13F-HR COMMERZBANK AKTIENGESELLSCHAFT /FI 43,656 43,656 0.00 1,479 1,515 2.43
2018-02-14 13F-HR Opus Point Partners Management, LLC 120,000 120,000 0.00 4,066 4,164 2.41
2017-11-06 13F-HR Spot Trading L.l.c. Call 295,100 40,600 -86.24 10,060 1,376 -86.32
2018-02-09 13F-HR TCW GROUP INC 26,250 26,250 0.00 889 911 2.47
2017-11-13 13F-HR SevenBridge Financial Group, LLC 2,415 1,665 -31.06 82 56 -31.71
2018-02-15 13F-HR BB&T SECURITIES, LLC 299,569 298,995 -0.19 10,149 10,375 2.23
2018-02-14 13F-HR 1832 Asset Management L.P. 150 150 0.00 5 5 0.00
2017-10-26 N-Q Legg Mason Partners Equity Trust (see advisory)
2018-02-14 13F-HR BARCLAYS PLC Call 149,800 87,100 -41.86 5,075 3,022 -40.45
2017-11-14 13F-HR Crawford Lake Capital Management, LLC 60,000 0 -100.00 2,045 0 -100.00
2018-01-25 N-Q Dbx Etf Trust (see advisory)
2018-02-14 13F-HR TWO SIGMA SECURITIES, LLC Call 6,700 232
2018-01-11 13F-HR Trust Co 400 0 -100.00 14 0 -100.00
2017-08-28 N-Q Fidelity Central Investment Portfolios Llc (see advisory)
2018-01-29 13F-HR Epstein & White Financial Llc 15,107 552
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 237,305 461,548 94.50 8,041 16,016 99.18
2017-11-28 N-Q Morgan Stanley Variable Investment Series (see advisory)
2018-01-10 13F-HR ADIRONDACK TRUST CO 450 385 -14.44 15 13 -13.33
2018-02-14 13F-HR PUTNAM INVESTMENTS LLC 4,397,355 152,588
2018-01-30 13F-HR JNBA Financial Advisors 300 300 0.00 10 10 0.00
2017-11-13 13F-HR Bruderman Asset Management, LLC 670 0 -100.00 23 0 -100.00
2018-02-13 13F-HR Icon Wealth Partners, Llc 17,020 591
2017-11-13 13F-HR CKW FINANCIAL GROUP 3,000 3,000 0.00 102 102 0.00
2017-11-13 13F-HR FINANCIAL COUNSELORS INC 6,871 0 -100.00 234 0 -100.00
2018-02-14 13F-HR MORGAN STANLEY 2,306,408 2,438,510 5.73 78,141 84,615 8.29
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES Call 18,400 18,400 0.00 2 1 -50.00
2018-02-15 13F-HR PVG ASSET MANAGEMENT CORP 69,965 0 -100.00 2,370,414 0 -100.00
2018-02-07 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 4,865 26,303 440.66 165 913 453.33
2018-02-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 910,483 861,083 -5.43 30,847 29,880 -3.13
2018-02-02 13F-HR SMITHFIELD TRUST CO 1,328 1,328 0.00 45 46 2.22
2018-02-13 13F-HR MITCHELL CAPITAL MANAGEMENT CO 6,220 8,000 28.62 211 278 31.75
2018-02-13 13F-HR Advisors Asset Management, Inc. 97,528 92,903 -4.74 3,304 3,224 -2.42
2018-02-15 13F-HR Cullen Capital Management, LLC 1,763,196 1,764,486 0.07 59,737 61,228 2.50
2018-02-13 13F-HR Aevitas Wealth Management, Inc. 61 2
2018-02-14 13F-HR AVALON ADVISORS, LLC 45,467 51,325 12.88 1,540 1,781 15.65
2018-02-13 13F-HR JP Morgan Chase & Co 138,496 171,756 24.02 4,637 5,960 28.53
2017-11-29 N-Q Forethought Variable Insurance Trust (see advisory)
2018-01-24 13F-HR Lenox Wealth Management, Inc. 49 2
2017-11-14 13F-HR Sensato Investors LLC 38,200 0 -100.00 1,302 0 -100.00
2018-02-09 13F-HR CLIFFORD SWAN INVESTMENT COUNSEL LLC 17,410 17,410 0.00 590 604 2.37
2017-11-03 13F-HR/A-1 Legacy Advisors, Llc 317 10
2018-01-16 13F-HR NEXT Financial Group, Inc 3,274 0 -100.00 113 0 -100.00
2018-02-02 13F-HR Sandy Spring Bank 4,989 5,323 6.69 169 185 9.47
2017-11-09 13F-HR FNY Partners Fund LP Call 200 0 -100.00 3 0 -100.00
2017-10-25 N-Q Lmp Capital & Income Fund Inc. (see advisory)
2017-11-13 13F-HR/A-1 NORGES BANK 300,771 300,771 0.00 9,080 9,440 3.96
2018-02-12 13F-HR Johnson Financial Group, Inc. 310 310 0.00 11 11 0.00
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 3,026,781 3,162,053 4.47 102,643 110,208 7.37
2017-11-20 N-Q Great-west Funds Inc (see advisory)
2018-02-07 13F-HR WHITTIER TRUST CO 1,157 1,000 -13.57 39 35 -10.26
2018-01-17 13F-HR Searle & Co. 37,050 35,650 -3.78 1,255 1,237 -1.43
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 1,353 795 -41.24 308 161 -47.73
2018-02-14 13F-HR HPM Partners LLC 21,395 33,094 54.68 725 1,148 58.34
2018-02-09 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 316,751 0 -100.00 10,681 0 -100.00
2017-11-08 13F-HR Willingdon Wealth Management 91,532 0 -100.00 3,120 0 -100.00
2018-02-14 13F-HR Atlantic Trust, LLC 2,380 2,380 0.00 81 83 2.47
2017-08-23 N-Q Sterling Capital Funds (see advisory)
2017-12-21 N-Q Blackrock Funds Ii (see advisory)
2018-02-12 13F-HR HRT FINANCIAL LLC 6,506 0 -100.00 220 0 -100.00
2017-11-13 13F-HR Argent Trust Co 10,441 0 -100.00 356 0 -100.00
2018-02-14 13F-HR Acorn Wealth Advisors, Llc 244 9
2018-02-09 13F-HR LEVIN CAPITAL STRATEGIES, L.P. 6,000 0 -100.00 203 0 -100.00
2018-01-26 N-Q Fidelity Rutland Square Trust Ii (see advisory)
2018-02-07 13F-HR Camarda Financial Advisors, LLC 266 0 -100.00 9 0 -100.00
2018-02-14 13F-HR GUARDIAN CAPITAL LP 162,778 159,256 -2.16 5,515 5,526 0.20
2017-11-13 13F-HR Marshall Wace LLP 203,434 0 -100.00 6,917 0 -100.00
2018-02-15 13F-HR/A-1 Sabby Management, LLC Put 2,043 7,511 267.65 6,922 26,063 276.52
2018-02-14 13F-HR Glen Harbor Capital Management LLC 15,036 15,036 0.00 509 522 2.55
2017-11-22 N-Q Ssga Active Trust (see advisory)
2017-09-27 N-Q Pioneer Equity Income Fund (see advisory)
2018-02-14 13F-HR KEATING INVESTMENT COUNSELORS INC 258,360 258,160 -0.08 8,753 8,958 2.34
2017-11-24 13F-HR GSB Wealth Management, LLC 14,923 0 -100.00 509 0 -100.00
2018-02-13 13F-HR VALLEY NATIONAL ADVISERS INC 616 616 0.00 21 21 0.00
2017-11-29 N-Q Nuveen Tax Advantaged Total Return Strategy Fund (see advisory)
2017-11-29 N-Q Deutsche Variable Series Ii (see advisory)
2018-02-14 13F-HR People's United Financial, Inc. 24,287 25,144 3.53 823 872 5.95
2018-02-09 13F-HR BANQUE PICTET & CIE SA 267,899 265,979 -0.72 17,810 18,426 3.46
2017-11-14 13F-HR COWEN GROUP, INC. Call 9,300 0 -100.00 317 0 -100.00
2018-02-14 13F-HR CAPITAL INTERNATIONAL INC /CA/ 16,900 0 -100.00 573 0 -100.00
2017-08-25 N-Q Tekla World Healthcare Fund (see advisory)
2018-02-13 13F-HR Epoch Investment Partners, Inc. 7,260,541 9,016,879 24.19 245,986 312,886 27.20
2018-02-14 13F-HR TRUSTMARK NATIONAL BANK TRUST DEPARTMENT 14,197 14,005 -1.35 481 486 1.04
2018-02-15 13F-HR Pacific Center for Financial Services 350 350 0.00 12 12 0.00
2018-02-08 13F-HR Global Financial Private Capital, LLC 765,148 0 -100.00 25,923 0 -100.00
2017-12-29 N-Q Income Fund Of America (see advisory)
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 992,900 882,500 -11.12 33,639 30,623 -8.97
2018-02-08 13F-HR SEI INVESTMENTS CO 1,009,286 1,037,860 2.83 34,844 36,405 4.48
2017-11-28 N-Q Putnam International Equity Fund /ma/ (see advisory)
2018-01-09 13F-HR Fruth Investment Management 7,900 7,900 0.00 267 274 2.62
2018-02-13 13F-HR MASSMUTUAL TRUST CO FSB/ADV 400 400 0.00 13,636 13,552 -0.62
2018-01-19 13F-HR Saratoga Research & Investment Management 600 0 -100.00 20 0 -100.00
2017-10-20 13F-HR ROANOKE ASSET MANAGEMENT CORP/ NY 13,195 0 -100.00 450 0 -100.00
2018-02-08 13F-HR KEYBANK NATIONAL ASSOCIATION/OH 81,564 82,080 0.63 2,763 2,848 3.08
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 17,537 17,159 -2.16 594 595 0.17
2017-11-22 N-Q Quantitative Master Series Llc (see advisory)
2017-11-14 13F-HR WOLVERINE ASSET MANAGEMENT LLC Put 62,800 0 -100.00 2,140 0 -100.00
2018-02-14 13F-HR LPL Financial LLC 179,226 179,134 -0.05 6,072 6,216 2.37
2018-02-02 13F-HR TD ASSET MANAGEMENT INC 901,278 1,054,009 16.95 30,535 36,574 19.78
2018-01-29 13F-HR BB&T CORP 152,301 164,156 7.78 5,160 5,697 10.41
2017-12-28 N-Q Fidelity Securities Fund (see advisory)
2018-02-09 13F-HR Proficio Capital Partners LLC 2,160 2,269 5.05 73 79 8.22
2017-11-28 N-Q American Balanced Fund (see advisory)
2018-01-19 13F-HR CATAWBA CAPITAL MANAGEMENT /VA 31,365 31,365 0.00 1,063 1,088 2.35
2018-02-14 13F-HR NGAM ADVISORS, L.P. 515,268 542,440 5.27 17,457 18,822 7.82
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 70,294 80,293 14.22 2,382 2,786 16.96
2018-02-14 13F-HR UBS Group AG Call 100 0 -100.00 3 0 -100.00
2018-02-13 13F-HR Dorsey & Whitney Trust CO LLC 11,217 7,722 -31.16 380 268 -29.47
2018-02-14 13F-HR Nuveen Fund Advisors, LLC 43,095 37,496 -12.99 1,460 1,301 -10.89
2018-02-08 13F-HR Cetera Advisor Networks LLC 6,677 6,352 -4.87 224 217 -3.12
2018-01-26 13F-HR ENTERPRISE FINANCIAL SERVICES CORP 512 512 0.00 17 18 5.88
2018-02-06 13F-HR Community Bank, N.A. 238 8
2018-01-30 N-Q 360 Funds (see advisory)
2018-02-09 13F-HR WEDBUSH SECURITIES INC 11,504 8,625 -25.03 390 299 -23.33
2018-02-12 13F-HR CITIGROUP INC Put 489,000 319,700 -34.62 16,567 11,094 -33.04
2018-02-08 13F-HR LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 998 998 0.00 34 35 2.94
2018-02-12 13F-HR Capital Analysts, Inc. 17,171 1,226
2017-09-27 N-Q Russell Investment Co (see advisory)
2018-02-12 13F-HR First City Capital Management, Inc. 19,230 19,230 0.00 652 667 2.30
2018-02-14 13F-HR BLAIR WILLIAM & CO/IL 183,009 239,192 30.70 6,200 8,300 33.87
2017-11-29 N-Q Mutual Fund & Variable Insurance Trust (see advisory)
2018-02-05 13F-HR Parkside Financial Bank & Trust 7,457 7,687 3.08 253 267 5.53
2017-11-14 13F-HR COWEN GROUP, INC. 2,500 0 -100.00 85 0 -100.00
2018-02-13 13F-HR 180 Wealth Advisors, Llc 46,177 1,602
2018-02-16 13F-HR We Are One Seven, Llc 17,885 621
2018-02-14 13F-HR DODGE & COX 56,200,178 56,530,979 0.59 1,904,062 1,961,625 3.02
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 3,079 0 -100.00 104 0 -100.00
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC Put 93,700 357,900 281.96 3,175 12,419 291.15
2018-02-15 13F-HR/A-1 Sabby Management, LLC Call 4,489 14,946 232.95 15,209 51,863 241.00
2018-02-12 13F-HR NINE MASTS CAPITAL Ltd Put 184 13
2018-02-07 13F-HR CAPITAL ONE, NATIONAL ASSOCIATION 5,983 6,853 14.54 203 238 17.24
2017-11-13 13F-HR ENVESTNET ASSET MANAGEMENT INC 656,339 647,829 -1.30 22,375 21,948 -1.91
2018-01-19 13F-HR Winslow, Evans & Crocker, Inc. 622 622 0.00 21,074 21,584 2.42
2018-02-07 13F-HR Texas Yale Capital Corp. 13,000 17,580 35.23 440 610 38.64
2018-02-14 13F-HR CREDIT SUISSE AG/ 26,715 33,095 23.88 905 1,148 26.85
2018-02-13 13F-HR FCA CORP /TX 8,000 8,000 0.00 271 278 2.58
2017-09-29 N-Q Goldman Sachs Trust Ii (see advisory)
2018-02-14 13F-HR Alyeska Investment Group, L.P. 2,357,230 81,796
2018-02-13 13F-HR Buckingham Capital Management, Inc. 24,231 25,287 4.36 821 877 6.82
2018-02-13 13F-HR RELIANCE TRUST CO OF DELAWARE 8,332 8,414 0.98 282 292 3.55
2018-02-09 13F-HR HAP Trading, LLC Call 106,100 104,100 -1.89 116 51 -56.03
2018-02-14 13F-HR Integral Derivatives, LLC Call 16,600 23,500 41.57 562 815 45.02
2017-11-14 13F-HR Liberty Mutual Group Asset Management Inc. 28,567 0 -100.00 974 0 -100.00
2018-02-02 13F-HR Ariel Capital Advisors, LLC 10,500 10,500 0.00 356 364 2.25
2018-01-22 13F-HR FIRST MANHATTAN CO 9,600 8,400 -12.50 325 291 -10.46
2018-01-17 13F-HR CITY HOLDING CO 323 323 0.00 11 11 0.00
2018-01-12 13F-HR BREMER TRUST NATIONAL ASSOCIATION 0 8,142 0 283
2018-02-14 13F-HR Janney Capital Management LLC 653,211 652,766 -0.07 22,130 22,651 2.35
2018-01-23 13F-HR HENNESSY ADVISORS INC 177,600 177,600 0.00 6,017 6,163 2.43
2017-10-27 N-Q Fidelity Commonwealth Trust (see advisory)
2017-09-28 N-Q CAPITAL INCOME BUILDER (see advisory)
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 16,025 37,600 134.63 543 1,305 140.33
2018-01-17 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 10,931 10,931 0.00 370 379 2.43
2018-01-11 13F-HR LVM CAPITAL MANAGEMENT LTD/MI 8,800 8,800 0.00 298 305 2.35
2018-01-30 13F-HR HIGH POINTE CAPITAL MANAGEMENT LLC 17,060 17,060 0.00 578 592 2.42
2018-02-12 13F-HR COMMERCE BANK 10,068 11,548 14.70 341 400 17.30
2018-01-24 13F-HR IFP Advisors, Inc 15,953 9,236 -42.10 540 320 -40.74
2018-02-14 13F-HR FRANKLIN RESOURCES INC 990,767 990,767 0.00 33,567 34,380 2.42
2018-02-14 13F-HR WOLVERINE ASSET MANAGEMENT LLC Call 26,800 26,800 0.00 907 929 2.43
2017-11-14 13F-HR Connor, Clark & Lunn Investment Management Ltd. 126,100 0 -100.00 4,299 0 -100.00
2018-02-05 13F-HR Saturna Capital CORP 6,000 6,000 0.00 203 208 2.46
2017-10-24 N-Q Federated Investment Series Funds Inc (see advisory)
2018-01-25 13F-HR Hanson & Doremus Investment Management 32,960 32,960 0.00 1,117 1,144 2.42
2018-02-06 13F-HR AE Wealth Management LLC 21,978 21,989 0.05 745 763 2.42
2017-11-01 13F-HR WealthTrust Axiom LLC 5,882 0 -100.00 200 0 -100.00
2018-02-13 13F-HR PIONEER INVESTMENT MANAGEMENT INC 1,194,759 1,170,419 -2.04 40,478 40,614 0.34
2018-02-13 13F-HR FIRST INTERSTATE BANK 5,127 4,720 -7.94 174 164 -5.75
2018-01-09 13F-HR New England Research & Management, Inc. 16,807 7,407 -55.93 569 257 -54.83
2018-02-14 13F-HR NWQ INVESTMENT MANAGEMENT COMPANY, LLC 577,875 595,499 3.05 19,578 20,664 5.55
2018-02-13 13F-HR Yorktown Management & Research Co Inc 10,000 10,000 0.00 339 347 2.36
2018-01-17 13F-HR Creative Planning 36,562 36,414 -0.40 1,239 1,264 2.02
2018-01-29 13F-HR/A-1 BAILARD, INC. 80,000 0 -100.00 4,387 0 -100.00
2017-11-14 13F-HR BALYASNY ASSET MANAGEMENT LLC Put 200,000 0 -100.00 6,818 0 -100.00
2017-08-28 N-Q Vaneck Vectors Etf Trust (see advisory)
2018-01-10 13F-HR Bogart Wealth, Llc 27 27 0.00 1 1 0.00
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN Call 1,400 0 -100.00 1 0 -100.00
2018-02-14 13F-HR Tekla Capital Management LLC 442,600 442,600 0.00 14,995 15,358 2.42
2017-11-22 N-Q General Electric Rsp Income Fund (see advisory)
2017-08-28 N-Q First Trust Exchange-traded Fund Ii (see advisory)
2018-02-13 13F-HR PRIMECAP MANAGEMENT CO/CA/ 43,435,530 46,012,634 5.93 1,471,596 1,596,638 8.50
2018-02-05 13F-HR Columbia Asset Management 17,704 17,304 -2.26 600 600 0.00
2017-11-14 13F-HR Walleye Trading LLC 369,759 13,223 -96.42 12,605 448 -96.45
2018-02-05 13F-HR Jacobi Capital Management LLC 2,275 2,275 0.00 78 81 3.85
2018-02-09 13F-HR WETHERBY ASSET MANAGEMENT INC 35,876 37,809 5.39 1,215 1,312 7.98
2018-01-26 13F-HR Whitnell & Co. 0 146 0 5
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 157,800 170,000 7.73 5,346 5,899 10.34
2018-02-15 13F-HR HighPoint Advisor Group LLC 10,321 10,550 2.22 352 359 1.99
2018-01-11 13F-HR GOFEN & GLOSSBERG LLC /IL/ 56,569 53,569 -5.30 1,917 1,859 -3.03
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 122,880 415,126 237.83 4,164 14,404 245.92
2018-02-13 13F-HR Renaissance Technologies LLC 0 103,900 0 3,605
2017-11-22 N-Q Elfun Diversified Fund (see advisory)
2018-02-14 13F-HR Nuveen Asset Management, LLC 6,927 7,068 2.04 235 245 4.26
2018-02-01 13F-HR BNP PARIBAS ARBITRAGE, SA Call 332 33,200 9,900.00 92,106 1,152,040 1,150.78
2018-02-01 13F-HR Asset Planning Services, Ltd. 300 300 0.00 10 10 0.00
2018-02-15 13F-HR Sterling Capital Management LLC 7,315 7,420 1.44 248 257 3.63
2018-02-14 13F-HR Telemetry Investments, L.L.C. Call 30,000 25,000 -16.67 1,016 868 -14.57
2018-02-05 13F-HR GRIMES & COMPANY, INC. 8,848 8,848 0.00 300 307 2.33
2018-02-14 13F-HR Capital Bank & Trust Co 2,730,208 1,711,101 -37.33 92,499 59,375 -35.81
2018-02-14 13F-HR TWO SIGMA INVESTMENTS LLC 0 886,691 0 30,768
2018-02-13 13F-HR SIGNATUREFD, LLC 9,166 9,603 4.77 311 333 7.07
2018-02-14 13F-HR Advisor Group, Inc. 75,121 77,304 2.91 2,546 2,682 5.34
2018-02-02 13F-HR Seacrest Wealth Management, Llc 11,931 414
2018-02-14 13F-HR FIFTH THIRD BANCORP 49,028 49,155 0.26 1,661 1,706 2.71
2018-02-06 13F-HR Russell Investments Group, Ltd. 1,856,140 657,385 -64.58 62,883 22,410 -64.36
2017-11-13 13F-HR FT Options LLC Call 60,100 47,400 -21.13 87 9 -89.66
2018-01-12 13F-HR Advocacy Wealth Management Services, LLC 1,800 1,000 -44.44 61 35 -42.62
2018-02-13 13F-HR Delpha Capital Management, Llc 4,372 152
2017-09-06 N-Q Professionally Managed Portfolios (see advisory)
2018-02-13 13F-HR Massey, Quick & Co., LLC 150 5
2017-11-06 13F-HR LOCKHEED MARTIN INVESTMENT MANAGEMENT CO 147,800 0 -100.00 5,039 0 -100.00
2017-11-13 13F-HR Citizens Financial Group Inc/RI 97 0 -100.00 3 0 -100.00
2018-02-13 13F-HR BLUESTEIN R H & CO 15,100 16,400 8.61 512 569 11.13
2018-02-14 13F-HR UBS Group AG 3,166,458 2,901,237 -8.38 107,279 100,672 -6.16
2017-11-09 13F-HR Private Ocean, LLC 242 0 -100.00 16 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 361,300 144,200 -60.09 12,241 5,004 -59.12
2018-01-30 13F-HR WRIGHT INVESTORS SERVICE INC 14,999 0 -100.00 508 0 -100.00
2017-11-22 N-Q Blackrock Enhanced Global Dividend Trust (see advisory)
2018-02-14 13F-HR ROYAL BANK OF CANADA 2,761,219 2,938,669 6.43 93,551 101,971 9.00
2018-02-12 13F-HR NINE MASTS CAPITAL Ltd Call 184 47
2018-02-02 13F-HR Patten Group, Inc. 1,378 1,378 0.00 47 48 2.13
2018-01-26 N-Q Short-term Bond Fund Of America (see advisory)
2018-02-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 513,055 602,932 17.52 17,382 20,922 20.37
2017-10-26 13F-HR HONEYWELL INTERNATIONAL INC 300,000 0 -100.00 10,227 0 -100.00
2018-01-11 13F-HR COUNTRY TRUST BANK 200 200 0.00 7 7 0.00
2017-11-14 13F-HR BancorpSouth Inc 0 6,204 0 210
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 33,983 37,904 11.54 1,152 1,318 14.41
2018-02-14 13F-HR Capital World Investors 4,478,580 4,478,584 0.00 151,734 155,407 2.42
2017-11-22 N-Q Blackrock Enhanced International Dividend Trust (see advisory)
2017-11-28 N-Q Putnam Variable Trust (see advisory)
2018-01-30 13F-HR Hudock Capital Group, LLC 6,715 6,715 0.00 227 233 2.64
2018-02-14 13F-HR SAMLYN CAPITAL, LLC 439,954 15,266
2018-02-09 13F-HR COMERICA SECURITIES INC 17,306 18,853 8.94 586 654 11.60
2018-02-02 13F-HR TRUST CO OF VERMONT 2,370 2,370 0.00 81 82 1.23
2018-01-29 N-Q Ishares Trust (see advisory)
2017-11-28 N-Q Variable Insurance Products Fund Iv (see advisory)
2017-10-25 N-Q Federated World Investment Series Inc (see advisory)
2017-11-13 13F-HR Oz Management LP Put 583,800 0 -100.00 19,902 0 -100.00
2018-02-13 13F-HR Moors & Cabot, Inc. 14,755 12,376 -16.12 501 427 -14.77
2017-11-14 13F-HR BROOKSIDE CAPITAL MANAGEMENT LLC Put 10,000 0 -100.00 875 0 -100.00
2018-02-13 13F-HR Intellectus Partners, LLC 200 200 0.00 7 7 0.00
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. Call 290,100 298,000 2.72 9,829 10,341 5.21
2018-02-02 13F-HR Opus Capital Group, LLC 11,150 11,150 0.00 378 387 2.38
2018-02-14 13F-HR Wealthcare Advisory Partners LLC 5,425 5,607 3.35 184 195 5.98
2018-02-12 13F-HR PINNACLE ASSOCIATES LTD 12,985 12,226 -5.85 440 424 -3.64
2018-01-16 13F-HR Oliver Luxxe Assets LLC 116,512 110,859 -4.85 3,947 3,847 -2.53
2018-01-29 N-Q Saratoga Advantage Trust (see advisory)
2018-01-19 13F-HR NAPLES GLOBAL ADVISORS, LLC 28,381 30,133 6.17 962 1,046 8.73
2018-02-01 13F-HR HOWLAND CAPITAL MANAGEMENT LLC 22,000 22,000 0.00 745 763 2.42
2017-12-28 N-Q Putnam Funds Trust (see advisory)
2018-02-14 13F-HR FRED ALGER MANAGEMENT INC 24,000 27,000 12.50 813 937 15.25
2018-01-26 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-13 13F-HR Risk Paradigm Group, LLC 2,200 2,200 0.00 74,536 76,340 2.42
2018-02-13 13F-HR BECKER CAPITAL MANAGEMENT INC 1,499,012 1,524,917 1.73 50,787 52,915 4.19
2018-02-12 13F-HR Winfield Associates, Inc. 780 790 1.28 26 28 7.69
2017-10-18 13F-HR EXANE DERIVATIVES 23,154 0 -100.00 789,212 0 -100.00
2018-02-02 13F-HR Aperio Group, LLC 733,759 816,590 11.29 24,860 28,336 13.98
2018-02-12 13F-HR KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC 409,246 412,535 0.80 13,865 14,315 3.25
2017-11-14 13F-HR Iguana Healthcare Management, LLC Put 100,000 0 -100.00 3,410 0 -100.00
2017-11-22 N-Q Blackrock Health Sciences Trust (see advisory)
2017-09-29 N-Q American Beacon Funds (see advisory)
2018-01-31 13F-HR CYPRESS ASSET MANAGEMENT INC/TX 6,625 6,175 -6.79 224 214 -4.46
2018-02-09 13F-HR Nicholas Hoffman & Company, LLC. 29,399 29,399 0.00 996 1,020 2.41
2018-02-15 13F-HR Kazazian Asset Management, LLC 11,663 13,012 11.57 395 452 14.43
2018-02-12 13F-HR Kiley Juergens Wealth Management, Llc 876 30
2018-02-09 13F-HR Virtu Financial LLC 0 7,084 0 246
2018-02-02 13F-HR BEACON INVESTMENT ADVISORY SERVICES, INC. 28,262 21,348 -24.46 957 741 -22.57
2018-02-13 13F-HR Parisi Gray Wealth Management 308 11
2018-02-15 13F-HR National Asset Management, Inc. 11,382 13,030 14.48 386 453 17.36
2017-10-16 13F-HR BANK OF MONTREAL /CAN/ Call 100,800 0 -100.00 3,436 0 -100.00
2018-02-01 13F-HR Quantitative Systematic Strategies LLC 54,047 50,590 -6.40 1,831 1,755 -4.15
2017-11-29 N-Q Janus Investment Fund (see advisory)
2018-02-13 13F-HR RPg Family Wealth Advisory, LLC 1,280 1,280 0.00 43,366 44,416 2.42
2017-12-29 N-Q Nushares Etf Trust (see advisory)
2018-02-07 13F-HR Candriam Luxembourg S.C.A. 34,876 21,200 -39.21 1,182 736 -37.73
2017-08-25 N-Q Manager Directed Portfolios (see advisory)
2018-02-02 13F-HR Cribstone Capital Management, LLC 350 350 0.00 12 12 0.00
2018-02-13 13F-HR CRAWFORD INVESTMENT COUNSEL INC 591,653 601,862 1.73 20,045 20,885 4.19
2018-01-30 13F-HR Garrison Financial Corp 18,188 18,569 2.09 616 644 4.55
2018-01-25 13F-HR Moloney Securities Asset Management, LLC 6,351 0 -100.00 215 0 -100.00
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 7,367 3,729 -49.38 250 129 -48.40
2018-01-24 13F-HR SG Americas Securities, LLC 17,909 0 -100.00 607 0 -100.00
2018-01-26 N-Q Voya International High Dividend Equity Income Fund (see advisory)
2018-01-31 13F-HR HUSSMAN STRATEGIC ADVISORS, INC. 2,000 0 -100.00 68 0 -100.00
2017-11-08 13F-HR PINNACLE FINANCIAL PARTNERS INC 9,233 0 -100.00 314 0 -100.00
2018-02-14 13F-HR National Planning Corp 10,527 0 -100.00 357 0 -100.00
2018-02-13 13F-HR ETRADE Capital Management LLC 116,073 119,183 2.68 3,933 4,136 5.16
2018-02-07 13F-HR Sigma Planning Corp 8,844 8,305 -6.09 300 288 -4.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 496,500 275,500 -44.51 16,821 9,560 -43.17
2018-02-09 13F-HR Legacy Financial Advisors, Inc. 1,146 39
2018-01-16 13F-HR CWM, LLC 1,572 1,114 -29.13 53 39 -26.42
2018-01-29 13F-HR Cowen Prime Services LLC 53,520 1,857
2017-09-28 N-Q Fidelity Investment Trust (see advisory)
2018-02-13 13F-HR Corient Capital Partners, LLC 150,994 157,435 4.27 5,116 5,463 6.78
2018-01-11 13F-HR First PREMIER Bank 1,180 1,180 0.00 40 41 2.50
2018-02-12 13F-HR FMR LLC / Fidelity 8,347,058 12,688,839 52.02 282,798 440,301 55.69
2017-11-06 13F-HR Spot Trading L.l.c. Put 110,300 123,000 11.51 3,760 4,167 10.82
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 4,116,331 4,290,362 4.23 139,461 148,875 6.75
2018-01-26 13F-HR JOHNSTON ASSET MANAGEMENT CORP 1,012,255 35,125
2017-10-27 N-Q Ab Global Risk Allocation Fund, Inc. (see advisory)
2018-01-11 13F-HR Kistler-Tiffany Companies, LLC 304 100 -67.11 10 3 -70.00
2018-02-08 13F-HR Trexquant Investment LP 19,057 0 -100.00 646 0 -100.00
2017-11-13 13F-HR Laurion Capital Management LP 702,400 0 -100.00 23,945 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 0 26,583 0 922
2017-12-29 N-Q Sunamerica Series Trust (see advisory)
2018-01-12 13F-HR Country Club Trust Company, n.a. 6,158 5,920 -3.86 209 206 -1.44
2017-08-29 N-Q Causeway Capital Management Trust (see advisory)
2018-01-25 13F-HR First Personal Financial Services 3,403 4,103 20.57 115 142 23.48
2017-09-28 N-Q American Mutual Fund (see advisory)
2018-02-12 13F-HR LOGAN CAPITAL MANAGEMENT INC 24,330 26,040 7.03 824 904 9.71
2017-09-27 N-Q Blackrock Long-horizon Equity Fund (see advisory)
2017-11-28 N-Q Fidelity Hastings Street Trust (see advisory)
2018-02-12 13F-HR Stockman Asset Management 111,663 113,570 1.71 3,783 3,941 4.18
2018-01-29 13F-HR Tiaa, Fsb 25,395 27,087 6.66 860 940 9.30
2018-02-02 13F-HR ROCKEFELLER FINANCIAL SERVICES INC 500 910 82.00 17 32 88.24
2017-11-13 13F-HR Laurion Capital Management LP Put 25,000 0 -100.00 852 0 -100.00
2018-01-17 13F-HR Cascade Investment Advisors, Inc. 778 26,996
2018-02-15 13F-HR Argent Trust Co 15,797 15,967 1.08 535 554 3.55
2018-02-13 13F-HR CREDIT AGRICOLE S A 4,000 0 -100.00 136 0 -100.00
2018-02-09 13F-HR Gryphon Financial Partners Llc 707 25
2018-01-17 13F-HR Cutler Group LP Call 57,100 64,200 12.43 108 104 -3.70
2017-10-12 13F-HR Hanson McClain, Inc. 100 100 0.00 3 3 0.00
2018-02-14 13F-HR Avestar Capital, Llc 1,405 46
2017-11-03 13F-HR Sterling Investment Advisors, Ltd. 150 0 -100.00 5 0 -100.00
2018-02-14 13F-HR/A-1 Taylor Hoffman Wealth Management 2,445 85
2018-02-05 13F-HR Calton & Associates, Inc. 5,025 181
2018-01-26 13F-HR ADVISOR PARTNERS LLC 0 6,236 0 221
2018-01-18 13F-HR Carroll Financial Associates, Inc. 573 573 0.00 19 19 0.00
2018-02-12 13F-HR Azimuth Capital Management LLC 105,320 111,715 6.07 3,568 3,877 8.66
2017-10-27 13F-HR Cable Hill Partners, LLC 295 6,739 2,184.41 10 228 2,180.00
2018-02-14 13F-HR ROYAL BANK OF CANADA Call 16,000 0 -100.00 542 0 -100.00
2018-02-14 13F-HR Integral Derivatives, LLC Put 7,500 0 -100.00 254 0 -100.00
2018-02-12 13F-HR VAN ECK ASSOCIATES CORP 452,826 419,190 -7.43 15,342 14,546 -5.19
2018-02-13 13F-HR Allianz Asset Management AG 78,098 96,395 23.43 2,646 3,345 26.42
2018-02-14 13F-HR Adage Capital Partners GP LLC 1,450,000 2,100,000 44.83 49,126 72,870 48.33
2018-02-02 13F-HR RAYMOND JAMES TRUST N.A. 59,975 64,387 7.36 2,032 2,234 9.94
2018-02-14 13F-HR venBio Select Advisor LLC 750,300 26,035
2017-10-30 N-Q John Hancock Strategic Series (see advisory)
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 46,433,725 43,188,262 -6.99 1,573,175 1,498,634 -4.74
2017-11-14 13F-HR PEAK6 Investments, L.P. 257,848 0 -100.00 8,790 0 -100.00
2017-11-28 N-Q Franklin Templeton Variable Insurance Products Trust (see advisory)
2017-09-28 N-Q Washington Mutual Investors Fund (see advisory)
2018-02-02 13F-HR Omnia Family Wealth, LLC 1,740 1,740 0.00 59 60 1.69
2018-02-09 13F-HR MONTAG A & ASSOCIATES INC 9,400 9,400 0.00 318 326 2.52
2017-09-18 N-Q Series Portfolios Trust (see advisory)
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 432 671 55.32 14,636 23,284 59.09
2017-08-25 N-Q Tekla Healthcare Opportunities Fund (see advisory)
2018-02-05 13F-HR Mascoma Wealth Management LLC 8,000 0 -100.00 271 0 -100.00
2018-02-14 13F-HR NORTHERN TRUST CORP 2,233,281 2,276,113 1.92 75,665 78,981 4.38
2017-11-09 13F-HR TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 155,000 0 -100.00 5,284 0 -100.00
2017-08-29 N-Q Rivernorth Funds (see advisory)
2017-08-24 N-Q Spdr Index Shares Funds (formerly Streettracks Index Shares Funds) (see advisory)
2018-01-18 13F-HR FOX RUN MANAGEMENT, L.L.C. 28,100 0 -100.00 952 0 -100.00
2018-02-14 13F-HR Grantham, Mayo, Van Otterloo & Co. LLC 18,800 33,000 75.53 637 1,145 79.75
2018-02-08 13F-HR First Allied Advisory Services, Inc. 22,151 23,845 7.65 750 825 10.00
2018-01-31 13F-HR Resources Investment Advisors, Inc. 0 273 0 9
2018-01-19 13F-HR INGALLS & SNYDER LLC 0 24,921 0 865
2018-01-25 13F-HR Lourd Capital, LLC 22,793 791
2018-01-29 13F-HR Lenox Wealth Advisors, Inc. 0 987 0 34
2017-08-22 N-Q Steben Alternative Investment Funds (see advisory)
2017-11-20 N-Q Ohio National Fund Inc (see advisory)
2017-11-14 13F-HR/A-1 AFFINITY WEALTH MANAGEMENT 6,000 6,000 0.00 204 203 -0.49
2017-11-07 13F-HR Quantbot Technologies LP 127,287 0 -100.00 4,339 0 -100.00
2018-02-07 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 424,389 424,389 0.00 14,378 14,378 0.00
2018-02-12 13F-HR DREMAN VALUE MANAGEMENT, L L C 180 180 0.00 6 6 0.00
2018-02-15 13F-HR MEITAV DASH INVESTMENTS LTD 10,000 341
2017-11-14 13F-HR BOOTHBAY FUND MANAGEMENT, LLC Put 42,500 0 -100.00 1,449 0 -100.00
2018-01-22 13F-HR EASTERN BANK 11,700 11,700 0.00 396 406 2.53
2018-02-13 13F-HR SOUTHPORT MANAGEMENT, L.L.C. 20,000 0 -100.00 678 0 -100.00
2017-11-22 N-Q Principal Variable Contracts Funds Inc (see advisory)
2018-01-24 13F-HR Daniel Devine & Co 37,400 37,400 0.00 1,267 1,298 2.45
2018-02-08 SC 13G/A Wellington Management Group LLP 74,620,419 81,428,036 9.12
2018-02-14 13F-HR A.R.T. Advisors, LLC 0 9,800 0 340
2018-02-14 13F-HR Bdo Wealth Advisors, Llc 915 917 0.22 31 32 3.23
2018-01-26 N-Q Monteagle Funds (see advisory)
2018-01-02 N-Q Advisors Series Trust (see advisory)
2018-02-05 13F-HR BANK HAPOALIM BM 29,315 0 -100.00 993 0 -100.00
2018-02-12 13F-HR Santori & Peters, Inc. 116 3
2018-02-02 13F-HR Barnett & Company, Inc. 162 0 -100.00 5 0 -100.00
2018-02-14 13F-HR Bluefin Trading, LLC 6,300 6,300 0.00 213 219 2.82
2018-01-30 13F-HR BESSEMER GROUP INC 7,084 4,254 -39.95 240 148 -38.33
2018-02-14 13F-HR Jefferies Group LLC Call 0 24,000 0 833
2018-01-26 N-Q Fidelity Salem Street Trust (see advisory)
2018-02-09 13F-HR HAP Trading, LLC 0 18,625 0 646
2017-10-25 13F-HR SIMPLEX TRADING, LLC 170,082 0 -100.00 5,798 0 -100.00
2017-11-28 N-Q Pimco Etf Trust (see advisory)
2018-02-13 13F-HR M&R CAPITAL MANAGEMENT INC 687 23
2018-02-14 13F-HR Frontier Wealth Management LLC 34,572 33,972 -1.74 1,171 1,179 0.68
2018-02-14 13F-HR MACQUARIE GROUP LTD 551,500 510,800 -7.38 18,685 17,725 -5.14
2018-02-06 13F-HR Glassman Wealth Services 0 189 0 7
2017-11-29 N-Q Nuveen Diversified Dividend & Income Fund (see advisory)
2017-11-28 N-Q Variable Insurance Products Fund Iii (see advisory)
2018-02-07 13F-HR Harbor Advisors LLC 12,000 12,000 0.00 407 416 2.21
2018-02-14 13F-HR Walleye Trading LLC Call 57,100 133,100 133.10 1,935 4,618 138.66
2017-11-22 N-Q Blackrock Enhanced Equity Dividend Trust (see advisory)
2018-02-09 13F-HR AR ASSET MANAGEMENT INC 8,000 8,000 0.00 271 278 2.58
2018-01-17 13F-HR Cutler Group LP Put 17,300 6,800 -60.69 17 10 -41.18
2018-02-14 13F-HR NEXTHERA CAPITAL LP Call 0 466,600 0 16,191
2018-02-01 13F-HR BNP PARIBAS ARBITRAGE, SA Put 1,176 90,400 7,587.07 73,794 3,136,880 4,150.86
2018-01-25 13F-HR Cornerstone Advisors, Inc. 178 178 0.00 6 6 0.00
2018-02-13 13F-HR BURNEY CO/ 103,352 109,995 6.43 3,460 3,817 10.32
2018-02-06 13F-HR DUBUQUE BANK & TRUST CO 209 209 0.00 7 7 0.00
2018-02-13 13F-HR Truewealth Llc 130 5
2018-01-18 13F-HR CONTRAVISORY INVESTMENT MANAGEMENT, INC. 19 1
2018-01-22 13F-HR Oakworth Capital, Inc. 400 400 0.00 12 13 8.33
2018-02-06 13F-HR/A-2 Lester Murray Antman Dba Simplyrich 16,930 587
2018-02-08 13F-HR INTRUST BANK NA 12,642 13,400 6.00 428 465 8.64
2018-02-12 13F-HR BANK OF HAWAII 95,575 97,709 2.23 3,238 3,391 4.73
2017-11-06 13F-HR Spot Trading L.l.c. 92,250 3,125
2018-02-06 13F-HR GENESEE VALLEY TRUST CO 6,830 6,685 -2.12 231 232 0.43
2018-02-13 13F-HR MACKENZIE FINANCIAL CORP 13,947 21,501 54.16 473 746 57.72
2018-01-18 13F-HR ACADIAN ASSET MANAGEMENT LLC 1,328,177 607,664 -54.25 44,998 21,083 -53.15
2018-02-16 13F-HR/A-1 Compagnie Odier SCA 140 313 123.57 5 11 120.00
2018-01-16 13F-HR Hartford Financial Management Inc. 70 70 0.00 2 2 0.00
2018-02-14 13F-HR THRIVENT FINANCIAL FOR LUTHERANS 548 0 -100.00 18 0 -100.00
2018-02-14 13F-HR MONETARY MANAGEMENT GROUP INC 5,500 5,500 0.00 186 191 2.69
2018-01-16 13F-HR Clean Yield Group 0 5,900 0 205
2018-02-14 13F-HR DEUTSCHE BANK AG\ 392,114 419,390 6.96 13,281 14,551 9.56
2018-02-15 13F-HR SANDERS MORRIS HARRIS INC. 9,000 9,000 0.00 305 312 2.30
2018-02-05 13F-HR QCI ASSET MANAGEMENT INC/NY 1,155 1,155 0.00 39 40 2.56
2018-02-14 13F-HR Meadow Creek Investment Management LLC 11,814 11,814 0.00 400 410 2.50
2018-02-16 13F-HR/A-1 WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC 146,527 146,734 0.14 4,964 5,092 2.58
2018-02-12 13F-HR Mirae Asset Global Investments Co., Ltd. 221,475 226,257 2.16 7,503 7,851 4.64
2018-01-11 13F-HR INVESTORS ASSET MANAGEMENT OF GEORGIA INC /GA/ /ADV 20,290 20,015 -1.36 687 695 1.16
2018-01-25 13F-HR COURIER CAPITAL CORP 9,937 9,937 0.00 337 345 2.37
2018-02-14 13F-HR ELLINGTON MANAGEMENT GROUP LLC 16,900 0 -100.00 573 0 -100.00
2018-02-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 2,000,000 2,000,000 0.00 1,983 1,976 -0.35
2017-09-29 N-Q Chartwell Funds (see advisory)
2018-01-16 13F-HR BLB&B Advisors, LLC 23,461 54,849 133.79 795 1,903 139.37
2018-02-14 13F-HR D. E. Shaw & Co., Inc. 0 13,218 0 459
2018-01-23 13F-HR Moisand Fitzgerald Tamayo, LLC 436 436 0.00 15 15 0.00
2018-02-08 13F-HR TORONTO DOMINION BANK 13,545 13,394 -1.11 460 465 1.09
2018-01-30 SC 13G/A BlackRock Inc. 116,372,226 105,284,966 -9.53
2018-01-04 13F-HR Fulton Bank, N.A. 42,916 79,666 85.63 1,454 2,764 90.10
2018-01-26 N-Q Fidelity Commonwealth Trust Ii (see advisory)
2018-02-05 13F-HR BOSTON FINANCIAL MANGEMENT INC /MA 122,467 114,802 -6.26 4,149 3,984 -3.98
2018-02-14 13F-HR PROFUND ADVISORS LLC 62,088 55,600 -10.45 2,104 1,929 -8.32
2018-02-14 13F-HR FARALLON CAPITAL MANAGEMENT LLC 3,180,000 3,765,000 18.40 107,738 130,646 21.26
2017-11-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC Put 1,200 0 -100.00 41 0 -100.00
2017-11-28 N-Q Advisors Preferred Trust (see advisory)
2017-11-13 13F-HR Goss Wealth Management LLC 727 0 -100.00 24,449 0 -100.00
2018-01-23 N-Q Schwab Investments (see advisory)
2018-02-14 13F-HR Cubist Systematic Strategies, LLC 6,757 7,083 4.82 229 246 7.42
2017-09-26 N-Q Legg Mason Etf Investment Trust (see advisory)
2017-09-29 N-Q Putnam Global Equity Fund (see advisory)
2018-01-25 N-Q Putnam Investment Funds (see advisory)
2018-02-02 13F-HR Checchi Capital Advisers, LLC 17,399 16,022 -7.91 589 556 -5.60
2017-09-29 N-Q John Hancock Tax-advantaged Global Shareholder Yield Fund (see advisory)
2017-11-29 N-Q Brown Advisory Funds (see advisory)
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. 48,128 0 -100.00 1,641 0 -100.00
2018-01-24 13F-HR FLAGSHIP HARBOR ADVISORS, LLC 6,379 227

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( AZN / AstraZeneca Plc ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

CUSIP: 046353108