Stock Institutional Ownership and Shareholders

SecurityMAIN / Main Street Capital Corp. (56035L104)
Chairman and CEOFOSTER VINCENT D
Institutional Owners178
Institutional Shares15,811,734
Institutional Value$ 3,113,604,000 USD
Related MSCA / Main Street Capital Corp., 6.125% Senior Bonds due 4/1/2023

Main Street Capital Corp. (NYSE:MAIN) has 178 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 15,811,734 shares. Largest shareholders include Muzinich & Co., Inc., Burgundy Asset Management Ltd., Macquarie Group Ltd, Price T Rowe Associates Inc /md/, Sanders Morris Harris Inc., Bank Of Montreal /can/, UBS Group AG, M&t Bank Corp, Van Eck Associates Corp, and Usca Ria Llc.



Main Street Capital Corp. (NYSE:MAIN) 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.

File DateFormInvestor Opt Prev Shares Current Shares Change
(Percent)
Prev Value (x$1000) Current Value (x$1000) Change
(Percent)
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 94,882 106,775 12.53 3,649 4,245 16.33
2017-11-13 13F-HR CITIGROUP INC 8,182 9,282 13.44 315 369 17.14
2017-11-08 13F-HR ICON ADVISERS INC/CO 42,400 0 -100.00 1,631 0 -100.00
2017-08-14 13F-HR First Allied Advisory Services, Inc. 6,256 0 -100.00 239 0 -100.00
2017-11-14 13F-HR Magnetar Financial LLC 0 26,561 0 1,056
2017-11-14 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 27,000 1,073
2017-11-13 13F-HR BLAIR WILLIAM & CO/IL 115,839 115,955 0.10 4,455 4,609 3.46
2017-11-15 13F-HR WOLVERINE TRADING, LLC Put 6,300 10,000 58.73 244 398 63.11
2017-10-12 13F-HR V Wealth Management,LLC 3,600 0 -100.00 139 0 -100.00
2017-11-14 13F-HR ROYAL BANK OF CANADA 20,225 22,772 12.59 779 905 16.17
2018-01-16 13F-HR OPTIMUM INVESTMENT ADVISORS 31,605 31,605 0.00 1,256 1,256 0.00
2017-11-14 13F-HR Homrich & Berg 37,432 0 -100.00 1,440 0 -100.00
2017-11-14 13F-HR HighTower Advisors, LLC 101,613 102,495 0.87 3,916 4,090 4.44
2018-01-12 13F-HR NISA INVESTMENT ADVISORS L.L.C. 2,000 2,000 0.00 80 79 -1.25
2017-11-14 13F-HR EP Wealth Advisors, Inc. 7,000 0 -100.00 269 0 -100.00
2017-11-14 13F-HR LPL Financial LLC 127,143 131,226 3.21 4,890 5,216 6.67
2017-11-03 13F-HR Sandy Spring Bank 555 557 0.36 21 22 4.76
2017-11-01 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 145,282 145,282 0.00 5,588 5,775 3.35
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. 307 0 -100.00 12 0 -100.00
2017-11-14 13F-HR AVALON ADVISORS, LLC 15,459 6,259 -59.51 595 249 -58.15
2017-11-13 13F-HR Lido Advisors, LLC 7,061 7,561 7.08 272 303 11.40
2017-11-14 13F-HR Clearbridge Investments, LLC 593 667 12.48 23 27 17.39
2018-01-19 13F-HR Financial Management Professionals, Inc. 26,229 26,249 0.08 1,042 1,042 0.00
2018-01-18 13F-HR REGIONS FINANCIAL CORP 0 1,061 0 42
2017-11-14 13F-HR D. E. Shaw & Co., Inc. 0 36,889 0 1,467
2018-01-20 13F-HR Shamrock Asset Management LLC 2,220 2,220 0.00 88 88 0.00
2017-11-06 13F-HR AllSquare Wealth Management LLC 0 21,050 0 837
2017-11-13 13F-HR STIFEL FINANCIAL CORP 6,010 5,880 -2.16 231 236 2.16
2017-08-11 13F-HR Ironwood Investment Counsel, LLC 6,091 0 -100.00 233 0 -100.00
2017-11-13 13F-HR SevenBridge Financial Group, LLC 100 100 0.00 4 4 0.00
2018-01-19 13F-HR Steward Partners Investment Advisory, Llc 316 316 0.00 12 12 0.00
2017-11-14 13F-HR FIFTH THIRD BANCORP 6,550 7,200 9.92 252 286 13.49
2018-01-09 13F-HR KEMPNER CAPITAL MANAGEMENT INC. 5,500 5,500 0.00 219 219 0.00
2017-11-15 13F-HR GROUP ONE TRADING, L.P. Call 0 3,100 0 123
2018-01-08 13F-HR CONFLUENCE INVESTMENT MANAGEMENT LLC 98,998 92,373 -6.69 3,935 3,670 -6.73
2017-11-14 13F-HR Polar Capital LLP 88,800 97,414 9.70 3,416 3,870 13.29
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 25,534 23,434 -8.22 982 932 -5.09
2017-11-13 13F-HR KING LUTHER CAPITAL MANAGEMENT CORP 37,130 37,130 0.00 1,428 1,476 3.36
2018-01-17 13F-HR Creative Planning 17,016 20,580 20.94 676 818 21.01
2017-08-14 13F-HR CLINTON GROUP INC 17,448 0 -100.00 667,735 0 -100.00
2017-11-14 13F-HR UBS Group AG 618,195 522,129 -15.54 23,775 20,755 -12.70
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC 41,116 30,858 -24.95 1,581 1,227 -22.39
2018-01-16 13F-HR BANK OF MONTREAL /CAN/ 613,487 579,487 -5.54 24,387 23,024 -5.59
2017-11-20 13F-HR GSA CAPITAL PARTNERS LLP 0 5,231 0 208
2018-01-10 13F-HR DnB Asset Management AS 62,212 62,212 0.00 2,471,683 2,472,305 0.03
2017-11-08 13F-HR D.A. DAVIDSON & CO. 1,025 0 -100.00 39 0 -100.00
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 0 47,672 0 1,895
2017-11-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 78,524 148,463 89.07 3,019 5,904 95.56
2017-11-13 13F-HR US BANCORP \DE\ 3,707 3,153 -14.94 143 125 -12.59
2017-11-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 107,500 122,673 14.11 4,134 4,876 17.95
2017-10-19 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 522 522 0.00 20 21 5.00
2017-11-13 13F-HR Invictus RG 0 18,054 0 718
2017-11-15 13F-HR/A-1 Parallel Advisors, LLC 1,303 1,321 1.38 50 53 6.00
2017-11-13 13F-HR Burgundy Asset Management Ltd. 1,712,098 1,828,173 6.78 65,847 72,670 10.36
2017-11-16 13F-HR Cetera Advisors LLC 29,433 27,887 -5.25 1,132 1,109 -2.03
2017-11-14 13F-HR IHT Wealth Management, LLC 170 172 1.18 1 7 600.00
2017-11-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 1,048,197 1,027,414 -1.98 40,314 40,840 1.30
2017-11-08 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 200 300 50.00 8 12 50.00
2017-11-13 13F-HR CIBC World Markets Inc. 24,938 23,477 -5.86 959 933 -2.71
2017-11-07 13F-HR USCA RIA LLC 372,302 372,302 0.00 14,319 14,319 0.00
2018-01-17 13F-HR Edge Wealth Management LLC 300 300 0.00 12 11 -8.33
2017-08-14 13F-HR PEAK6 Investments, L.P. Put 100 0 -100.00 4 0 -100.00
2018-01-17 13F-HR Capital Investment Advisors, LLC 31,675 37,618 18.76 1,259 1,495 18.75
2018-01-11 13F-HR Kistler-Tiffany Companies, LLC 160 160 0.00 6 6 0.00
2017-11-13 13F-HR McGowan Group Asset Management, Inc. 299,340 11,899
2017-10-17 13F-HR Founders Capital Management 800 600 -25.00 31 24 -22.58
2017-10-23 13F-HR WHITTIER TRUST CO 970 984 1.44 37 39 5.41
2017-12-21 13F-HR/A-1 Atlantic Trust Group, LLC 62,146 2,470
2017-11-14 13F-HR Muzinich & Co., Inc. 2,313,404 2,259,601 -2.33 88,974 89,819 0.95
2017-11-28 13F-HR/A-1 Wellington Shields Capital Management, LLC 34,700 59,700 72.05 1,335 2,373 77.75
2017-11-13 13F-HR Frontier Wealth Management LLC 11,000 11,000 0.00 423 437 3.31
2017-11-14 13F-HR BANK OF NOVA SCOTIA 194,000 194,000 0.00 7,461 7,712 3.36
2017-10-26 13F-HR Segment Wealth Management, LLC 34,944 34,944 0.00 1,344 1,389 3.35
2017-10-26 13F-HR Texan Capital Management 146 140,953 96,443.15 5,631 5,603 -0.50
2018-01-10 13F-HR SIMPLEX TRADING, LLC 4,532 1,181 -73.94 180 46 -74.44
2017-11-14 13F-HR TUDOR INVESTMENT CORP ET AL 7,104 8,065 13.53 273 321 17.58
2018-01-03 13F-HR Washington Trust Bank 500 0 -100.00 20 0 -100.00
2017-11-07 13F-HR Harfst & Associates, Inc. 1,753 0 -100.00 67 0 -100.00
2017-11-14 13F-HR SALIENT TRUST CO LTA 7,004 0 -100.00 269 0 -100.00
2017-10-18 13F-HR HOWE & RUSLING INC 18 99 450.00 1 4 300.00
2017-11-09 13F-HR CITADEL ADVISORS LLC Put 8,300 5,400 -34.94 318 215 -32.39
2017-11-07 13F-HR Stratos Wealth Partners, LTD. 75,234 74,854 -0.51 2,894 2,975 2.80
2017-11-14 13F-HR CLEARBRIDGE, LLC 213,530 235,775 10.42 8,212 9,372 14.13
2017-08-15 13F-HR Krilogy Financial LLC 1 0 -100.00 0 0
2017-11-15 13F-HR Janney Montgomery Scott LLC 12,912 13,631 5.57 497 542 9.05
2017-11-08 13F-HR Texas Yale Capital Corp. 64,423 70,423 9.31 2,478 2,799 12.95
2017-11-14 13F-HR Baird Financial Group, Inc. 35,261 32,340 -8.28 1,356 1,286 -5.16
2017-11-07 13F-HR AMERIPRISE FINANCIAL INC 28,182 25,934 -7.98 1,084 1,031 -4.89
2017-08-14 13F-HR TWO SIGMA ADVISERS, LP 12,620 0 -100.00 483 0 -100.00
2017-11-13 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 12,131 12,162 0.26 466 483 3.65
2017-12-05 13F-HR Perigon Wealth Management, LLC 1,911 0 -100.00 74 0 -100.00
2017-11-13 13F-HR PineBridge Investments, L.P. 14,100 24,962 77.04 542 992 83.03
2018-01-11 13F-HR Gierl Augustine Investment Management Inc 100,136 96,642 -3.49 3,980 3,840 -3.52
2017-11-15 13F-HR/A-1 Valeo Financial Advisors, Llc 520 21
2017-11-14 13F-HR BARCLAYS PLC Put 1,200 48
2017-11-13 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 1,700 1,700 0.00 65 68 4.62
2017-11-01 13F-HR Good Life Advisors, LLC 0 5,055 0 203
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 0 14,000 0 557
2018-01-08 13F-HR Carlson Capital Management 65,380 65,380 0.00 2,599 2,598 -0.04
2017-11-09 13F-HR CITADEL ADVISORS LLC 0 10,906 0 434
2017-11-13 13F-HR SII INVESTMENTS INC/WI 5,612 6,456 15.04 204 246 20.59
2017-11-07 13F-HR Commonwealth Equity Services, Inc 97,856 103,122 5.38 3,763 4,099 8.93
2017-11-14 13F-HR GLENMEDE TRUST CO NA 1,320 1,320 0.00 50 52 4.00
2017-11-15 13F-HR COLDSTREAM CAPITAL MANAGEMENT INC 16,818 16,858 0.24 647 670 3.55
2017-11-13 13F-HR Hamilton Point Investment Advisors, LLC 48,329 48,759 0.89 1,859 1,947 4.73
2017-11-09 13F-HR JP Morgan Chase & Co 2,921 4,648 59.12 113 184 62.83
2017-10-12 13F-HR WEBSTER BANK, N. A. 750 750 0.00 29 30 3.45
2017-11-13 13F-HR Pacad Investment Ltd. 1,400 56
2017-11-09 13F-HR CITADEL ADVISORS LLC Call 13,800 23,000 66.67 531 914 72.13
2017-11-07 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 2,318 2,318 0.00 89 92 3.37
2017-11-07 13F-HR Advisors Asset Management, Inc. 24,833 24,454 -1.53 955 972 1.78
2017-10-26 13F-HR Penserra Capital Management LLC 766 684 -10.70 29 27 -6.90
2017-11-13 13F-HR Partnervest Advisory Services LLC 18,087 17,696 -2.16 696 703 1.01
2017-11-13 13F-HR Private Advisor Group, LLC 17,126 17,683 3.25 658 707 7.45
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 84 19 -77.38 4 1 -75.00
2017-10-20 13F-HR JFS WEALTH ADVISORS, LLC 400 16
2017-10-19 13F-HR MYCIO WEALTH PARTNERS, LLC 11,500 457
2018-01-09 13F-HR Oak Point Wealth Management 200 8
2017-10-23 13F-HR SANDERS MORRIS HARRIS INC. 663,573 600,214 -9.55 25,521 23,859 -6.51
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 9 12 33.33 0 0
2017-11-13 13F-HR EAGLE GLOBAL ADVISORS LLC 12,529 14,229 13.57 482 566 17.43
2017-11-13 13F-HR CAPITAL FUND MANAGEMENT S.A. 18,500 25,600 38.38 712 1,018 42.98
2017-08-11 13F-HR Feltz WealthPLAN Inc. 98 0 -100.00 3,717 0 -100.00
2017-11-16 13F-HR Cetera Advisor Networks LLC 7,634 7,504 -1.70 293 296 1.02
2017-11-14 13F-HR GROUP ONE TRADING, L.P. Put 100 0 -100.00 4 0 -100.00
2017-11-14 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,217 3,278 47.86 86 130 51.16
2017-11-08 13F-HR Yorktown Management & Research Co Inc 0 8,800 0 350
2017-11-14 13F-HR BOKF, NA 28,776 26,665 -7.34 1,106 1,060 -4.16
2017-11-14 13F-HR ADVISORY RESEARCH INC 177,569 185,510 4.47 6,829 7,374 7.98
2017-11-14 13F-HR Focused Wealth Management, Inc 17,477 19,210 9.92 672 764 13.69
2017-08-14 13F-HR Walleye Trading LLC Put 300 0 -100.00 11 0
2017-11-13 13F-HR CITIGROUP INC Call 1,000 2,100 110.00 38 83 118.42
2017-10-27 13F-HR Hudock Capital Group, LLC 53 179 237.74 2 7 250.00
2017-11-14 13F-HR Gotham Asset Management, LLC 6,461 6,365 -1.49 248 253 2.02
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 70,900 92,100 29.90 2,727 3,661 34.25
2017-11-13 13F-HR M&T BANK CORP 355,682 470,617 32.31 13,680 18,707 36.75
2017-10-26 13F-HR Patriot Financial Group Insurance Agency, LLC 150 0 -100.00 6 0 -100.00
2017-11-03 13F-HR Global X Management CO LLC 3,657 4,838 32.29 141 192 36.17
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 98,153 98,344 0.19 3,775 3,908 3.52
2017-11-14 13F-HR PEAK6 Investments, L.P. Call 34,200 17,400 -49.12 1,315 692 -47.38
2017-10-26 13F-HR IFC Holdings Incorporated/FL 8,048 7,981 -0.83 311 314 0.96
2017-08-08 13F-HR Bellwether Investment Group, LLC 75 0 -100.00 3 0 -100.00
2017-11-13 13F-HR Sheaff Brock Investment Advisors, LLC 22,369 22,957 2.63 860 913 6.16
2017-10-18 13F-HR Shell Asset Management Co 0 73,677 0 2,257
2017-10-31 13F-HR First City Capital Management, Inc. 12,225 12,200 -0.20 470 485 3.19
2017-10-03 13F-HR Eqis Capital Management, Inc. 5,974 237
2017-11-06 13F-HR Spot Trading L.l.c. Call 13,600 0 -100.00 523 0 -100.00
2017-11-09 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 19,400 19,400 0.00 753 769 2.12
2017-11-17 13F-HR/A-1 Virtu Financial LLC 6,320 251
2017-11-14 13F-HR BARCLAYS PLC 0 6,338 0 252
2018-01-17 13F-HR Cutler Group LP Put 15,200 200 -98.68 3 0 -100.00
2017-11-08 13F-HR MACQUARIE GROUP LTD 1,029,670 1,105,132 7.33 39,601 43,929 10.93
2017-11-16 13F-HR Cetera Investment Advisers 29,433 0 -100.00 1,132 0 -100.00
2017-10-17 13F-HR Robeco Institutional Asset Management B.V. 64,591 64,591 0.00 2,484 2,568 3.38
2017-11-14 13F-HR Global Financial Private Capital, LLC 10,936 435
2017-11-06 13F-HR Sigma Planning Corp 27,296 36,989 35.51 1,050 1,470 40.00
2017-10-12 13F-HR Advisory Services Network, LLC 37,562 47,719 27.04 1,445 1,897 31.28
2017-11-14 13F-HR MML INVESTORS SERVICES, LLC 37,969 40,186 5.84 1,460 1,597 9.38
2017-11-13 13F-HR Evercore Wealth Management, LLC 700 28
2017-10-19 13F-HR Winslow, Evans & Crocker, Inc. 10,800 0 -100.00 415,140 0 -100.00
2017-11-14 13F-HR Concert Wealth Management Inc. 8,356 0 -100.00 322 0 -100.00
2017-11-13 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 114,801 114,511 -0.25 4,415 4,552 3.10
2017-11-08 13F-HR Dynamic Technology Lab Private Ltd 6,421 12,435 93.66 206 494 139.81
2017-11-09 13F-HR Bridgeworth, LLC 20,622 6,000 -70.90 796 239 -69.97
2017-11-13 13F-HR Resources Investment Advisors, Inc. 3,831 6,130 60.01 147 244 65.99
2017-11-13 13F-HR BB&T SECURITIES, LLC 16,385 16,560 1.07 630 658 4.44
2017-11-13 13F-HR Employees Retirement System of Texas 232 0 -100.00 9 0 -100.00
2017-11-08 13F-HR Regal Investment Advisors LLC 7,468 7,486 0.24 287 298 3.83
2017-11-13 13F-HR Westside Investment Management, Inc. 34 34 0.00 1,306 1,358 3.98
2017-11-06 13F-HR SILVER CAPITAL MANAGEMENT LLC 21,910 21,810 -0.46 843 868 2.97
2017-11-15 13F-HR GREEN SQUARE CAPITAL LLC 5,326 5,326 0.00 205 212 3.41
2017-10-27 13F-HR Sumitomo Mitsui Asset Management Company, LTD 169,538 177,844 4.90 6,520 7,069 8.42
2017-11-03 13F-HR HL FINANCIAL SERVICES LLC 35,252 31,291 -11.24 1,356 1,244 -8.26
2017-10-26 13F-HR Callahan Advisors, LLC 10,601 10,720 1.12 408 426 4.41
2017-10-31 13F-HR Capital Investment Advisory Services, LLC 10,000 259
2017-11-13 13F-HR NORTHERN TRUST CORP 25,642 25,042 -2.34 986 996 1.01
2017-11-07 13F-HR Quantbot Technologies LP 484 0 -100.00 18 0 -100.00
2017-10-19 13F-HR SeaBridge Investment Advisors LLC 560 0 -100.00 22 0 -100.00
2018-01-17 13F-HR Cutler Group LP Call 1,000 0 -100.00 0 0
2017-11-09 13F-HR Verity Asset Management, Inc. 6,400 6,395 -0.08 247 254 2.83
2017-11-17 13F-HR Archford Capital Strategies, LLC 40,948 40,893 -0.13 257 1,625 532.30
2017-11-06 13F-HR Advisor Group, Inc. 50,892 49,106 -3.51 1,957 1,952 -0.26
2017-11-14 13F-HR GUGGENHEIM CAPITAL LLC 78,538 75,606 -3.73 3,021 3,005 -0.53
2017-11-13 13F-HR National Asset Management, Inc. 10,567 9,715 -8.06 407 387 -4.91
2017-11-14 13F-HR DEUTSCHE BANK AG\ 152,728 99,528 -34.83 5,872 3,956 -32.63
2017-08-18 13F-HR WFG Advisors, LP 9,835 18,624 89.36 376 716 90.43
2017-11-07 13F-HR Cambridge Investment Research Advisors, Inc. 94,577 88,465 -6.46 3,637 3,516 -3.33
2017-10-10 13F-HR Baystate Wealth Management LLC 350 350 0.00 14 14 0.00
2017-11-09 13F-HR Legal & General Group Plc 147,826 165,356 11.86 5,690 6,569 15.45
2017-11-14 13F-HR Navellier & Associates Inc 6,457 0 -100.00 248 0 -100.00
2017-11-01 13F-HR/A-1 Financial Architects, Inc 700 700 0.00 27 28 3.70
2017-10-26 13F-HR Sequent Asset Management, LLC 29,837 29,637 -0.67 1,148 1,178 2.61
2017-11-03 13F-HR BESSEMER GROUP INC 124 25 -79.84 5 1 -80.00
2017-11-14 13F-HR GROUP ONE TRADING, L.P. 93 0 -100.00 4 0 -100.00
2017-11-22 13F-HR Chicago Partners Investment Group LLC 8,299 13,626 64.19 311 542 74.28
2017-11-14 13F-HR Rikoon Group, LLC 27,535 25,593 -7.05 1,058 1,017 -3.88
2017-11-14 13F-HR MORGAN STANLEY 184,399 204,576 10.94 7,093 8,131 14.63
2017-11-14 13F-HR Voya Financial Advisors, Inc. 11,946 11,679 -2.24 464 463 -0.22
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Put 2,000 0 -100.00 77 0 -100.00
2017-11-09 13F-HR VAN ECK ASSOCIATES CORP 381,415 403,372 5.76 14,669 16,034 9.31
2017-10-30 13F-HR IFP Advisors, Inc 14,883 13,938 -6.35 572 554 -3.15
2017-11-03 13F-HR BNP PARIBAS ARBITRAGE, SA 386 386 0.00 14,846 15,344 3.35
2017-08-07 13F-HR Geneva Advisors, LLC 44,092 56,135 27.31 1,687 2,159 27.98
2017-10-31 13F-HR Sapphire Star Partners LP 5,877 0 -100.00 226 0 -100.00
2018-01-02 13F-HR American Financial Network Advisory Services Llc 12,878 14,531 12.84 512 577 12.70
2017-08-11 13F-HR KCG HOLDINGS, INC. 10,576 29,975 183.42 405 1,153 184.69
2017-11-08 13F-HR Friedberg Investment Management 162,908 23,413 -85.63 6,265 931 -85.14
2017-11-06 13F-HR Spot Trading L.l.c. Put 1,000 0 -100.00 38 0 -100.00
2018-01-16 13F-HR NEXT Financial Group, Inc 2,100 0 -100.00 84 0 -100.00
2017-11-20 13F-HR Barnett & Company, Inc. 52,287 50,357 -3.69 2,011 2,002 -0.45
2017-11-02 13F-HR Nelson Roberts Investment Advisors, LLC 173 173 0.00 7 7 0.00
2017-11-13 13F-HR CITIGROUP INC Put 900 1,400 55.56 35 56 60.00
2017-08-14 13F-HR WOLVERINE TRADING, LLC 7,254 0 -100.00 278 0 -100.00
2017-11-15 13F-HR WOLVERINE TRADING, LLC Call 17 5,700 33,429.41 55,794 227 -99.59
2017-11-14 13F-HR Invesco Ltd. 226,632 253,946 12.05 8,717 10,094 15.80
2017-10-25 13F-HR Aperio Group, LLC 5,311 6,524 22.84 204 259 26.96
2017-11-14 13F-HR CLS Investments, LLC 275 0 -100.00 11 0 -100.00
2017-10-12 13F-HR Hanson McClain, Inc. 705 705 0.00 27 28 3.70
2017-11-13 13F-HR MACKENZIE FINANCIAL CORP 8,437 0 -100.00 324 0 -100.00
2017-11-06 13F-HR SEI INVESTMENTS CO 4 1,031 25,675.00 0 41
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 109,597 50,156 -54.24 4,215 1,994 -52.69
2018-01-17 13F-HR Cutler Group LP 1,200 800 -33.33 47 31 -34.04
2017-11-13 13F-HR RAYMOND JAMES & ASSOCIATES 164,095 160,190 -2.38 6,311 6,367 0.89
2017-11-14 13F-HR BlackRock Inc. 338,499 314,082 -7.21 13,019 12,485 -4.10
2017-10-16 13F-HR Gradient Investments LLC 176 0 -100.00 7 0 -100.00
2017-11-14 13F-HR BARCLAYS PLC Call 200 8
2017-11-14 13F-HR Greenwich Investment Management, Inc. 114,634 108,689 -5.19 4,408 4,320 -2.00
2017-10-30 13F-HR MILLER HOWARD INVESTMENTS INC /NY 131,648 131,648 0.00 5,063 5,233 3.36
2017-11-14 13F-HR Tower Research Capital LLC (TRC) 3,100 51 -98.35 119 2 -98.32
CUSIP: 56035L104