| Andeavor |
| CA Inc. |
| CBRE Group Inc |
| Cboe Global Markets, Inc. |
| Carnival Corp |
| Csra Inc |
| Dr Pepper Snapple Group Inc |
| Envision Healthcare Holdings |
| Ggp Inc |
| Welltower Inc |
| Leucadia National Corp |
| Monsanto Company |
| The Priceline Group Inc. |
| Scripps Networks Interactive, Inc |
| Time Warner Inc |
| Wyndham Worldwide Corp |
| XL Company Switzerland Gmbh |
| Roche Holding AG |
| LafargeHolcim |
| Bayerische Motoren Werke AG |
| Hennes & Mauritz AB |
| Imperial Brands PLC |
| Reckitt Benckiser Group Plc |
| Nordea Bank AB |
| Swedbank AB |
| Elekta AB |
| Babcock International Group PLC |
| GEA Group AG |
| Infineon Technologies AG |
| SSE PLC |
| United Utilities Plc |
| Ahold N.V. |
| Akzo Nobel N.V. |
| Koninklijke DSM NV |
| Gemalto N.V. |
| Heineken NV |
| Koninklijke KPN NV |
| NN Group N.V. |
| Randstad Holding NV |
| RELX N.V. |
| Unibail-Rodamco |
| Wolters Kluwer NV |
| Koninklijke Vopak NV |
| Arcadis |
| YASKAWA Electric Corporation |
| Geely Automobile Holdings Ltd. |
| A V Homes, Inc. |
| Pharming Group NV |
| Adidas AG |
| Michelin |
| Delphi Technologies PLC |
| Airbus Group |
| Allianz SE |
| The AXA Group |
| Volkswagen |
| BASF SE |
| Nabtesco |
| Bioverativ Inc. |
| Renault |
| Peugeot S.A. |
| Daimler AG |
| Nissan Motor Company |
| Suzuki Motor Corporation |
| Mazda Motor Corporation |
| 8point3 Energy Partners LP |
| A. Schulman, Inc. |
| ABAXIS, Inc. |
| Abeona Therapeutics Inc. |
| Ablynx NV |
| Acer Therapeutics Inc. |
| ACM Research, Inc. |
| Active Alts Contrarian ETF |
| Actua Corporation |
| Acxiom Corporation |
| Advanced Accelerator Applications S.A. |
| Advaxis, Inc. |
| AdvisorShares Vice ETF |
| AGNC Investment Corp. |
| AGNC Investment Corp. |
| AgroFresh Solutions, Inc. |
| Allena Pharmaceuticals, Inc. |
| Alliance Holdings GP, L.P. |
| Almost Family Inc |
| AlphaMark Actively Managed Small Cap ETF |
| ALPS/Dorsey Wright Sector Momentum ETF |
| Altaba Inc. |
| Altair Engineering Inc. |
| Ambac Financial Group, Inc. |
| Ameri Holdings, Inc. |
| American Capital Senior Floating, Ltd. |
| AmeriServ Financial Inc. |
| Amplify Online Retail ETF |
| Analogic Corporation |
| Andina Acquisition Corp. II |
| Andina Acquisition Corp. II |
| Andina Acquisition Corp. II |
| Andina Acquisition Corp. II |
| Anthera Pharmaceuticals, Inc. |
| Apellis Pharmaceuticals, Inc. |
| Apollo Investment Corporation |
| Applied DNA Sciences Inc |
| Aralez Pharmaceuticals Inc. |
| Arch Capital Group Ltd. |
| Arch Capital Group Ltd. |
| Archrock Partners, L.P. |
| Argo Group International Holdings, Ltd. |
| Argo Group International Holdings, Ltd. |
| Argos Therapeutics, Inc. |
| Arrow DWA Country Rotation ETF |
| Arrow DWA Tactical ETF |
| Arsanis, Inc. |
| Atlantic Acquisition Corp. |
| Atlantic Acquisition Corp. |
| Atlantic Acquisition Corp. |
| Atlantic Coast Financial Corporation |
| Atlas Financial Holdings, Inc. |
| AveXis, Inc. |
| Avid Bioservices, Inc. |
| Aviragen Therapeutics, Inc. |
| Avista Healthcare Public Acquisition Corp. |
| Avista Healthcare Public Acquisition Corp. |
| B. Riley Financial, Inc. |
| B. Riley Financial, Inc. |
| B. Riley Financial, Inc. |
| Baldwin & Lyons, Inc. |
| Baldwin & Lyons, Inc. |
| BancFirst Corporation |
| Bandwidth Inc. |
| Bank Mutual Corporation |
| Bank of the Ozarks |
| Barclays Inverse US Treasury Composite ETN |
| Barington/Hilco Acquisition Corp. |
| Barington/Hilco Acquisition Corp. |
| Barington/Hilco Acquisition Corp. |
| Bay Bancorp, Inc. |
| Bazaarvoice, Inc. |
| Bear State Financial, Inc. |
| Benitec Biopharma Limited |
| Big Rock Partners Acquisition Corp. |
| Big Rock Partners Acquisition Corp. |
| Big Rock Partners Acquisition Corp. |
| Big Rock Partners Acquisition Corp. |
| BiondVax Pharmaceuticals Ltd. |
| Biostar Pharmaceuticals, Inc. |
| Bison Capital Acquisition Corp. |
| Bison Capital Acquisition Corp. |
| Bison Capital Acquisition Corp. |
| Black Ridge Acquisition Corp. |
| Black Ridge Acquisition Corp. |
| Black Ridge Acquisition Corp. |
| Blackhawk Network Holdings, Inc. |
| Blue Buffalo Pet Products, Inc. |
| Blueknight Energy Partners L.P., L.L.C. |
| BMO Elkhorn DWA MLP Select Index ETN |
| BofI Holding, Inc. |
| BofI Holding, Inc. |
| BOK Financial Corporation |
| Boston Private Financial Holdings, Inc. |
| Boston Private Financial Holdings, Inc. |
| Boxlight Corporation |
| Bravo Brio Restaurant Group, Inc. |
| BroadSoft, Inc. |
| Buffalo Wild Wings, Inc. |
| Burcon NutraScience Corp |
| Calamos Convertible and High Income Fund |
| Calamos Convertible Opportunities and Income Fund |
| Calamos Dynamic Convertible & Income Fund |
| Calamos Global Dynamic Income Fund |
| Calamos Global Total Return Fund |
| Calamos Strategic Total Return Fund |
| Callidus Software, Inc. |
| Calvert Management Series |
| Capella Education Company |
| Capital Southwest Corporation |
| Capitala Finance Corp. |
| Capitala Finance Corp. |
| Cardiome Pharma Corporation |
| Casa Systems, Inc. |
| Cascadian Therapeutics, Inc. |
| Cathay General Bancorp |
| Cavium, Inc. |
| CBTX, Inc. |
| CCUR Holdings, Inc. |
| Celgene Corporation |
| Cellect Biotechnology Ltd. |
| Cellectar Biosciences, Inc. |
| Cellectar Biosciences, Inc. |
| Cemtrex Inc. |
| Cemtrex Inc. |
| Cenveo Inc |
| Cerecor Inc. |
| Charter Financial Corp. |
| Check-Cap Ltd. |
| China Auto Logistics Inc. |
| China Commercial Credit, Inc. |
| China Information Technology, Inc. |
| CHS Inc |
| CHS Inc |
| CHS Inc |
| CHS Inc |
| CHS Inc |
| CIM Commercial Trust Corporation |
| Citius Pharmaceuticals, Inc. |
| Civista Bancshares, Inc. |
| ClearBridge All Cap Growth ETF |
| ClearBridge Dividend Strategy ESG ETF |
| ClearBridge Large Cap Growth ESG ETF |
| ClearSign Combustion Corporation |
| Clifton Bancorp Inc. |
| CM Finance Inc |
| CM Seven Star Acquisition Corporation |
| CM Seven Star Acquisition Corporation |
| CM Seven Star Acquisition Corporation |
| CM Seven Star Acquisition Corporation |
| Coastway Bancorp, Inc. |
| CoBiz Financial Inc. |
| Cogentix Medical, Inc. |
| Cogint, Inc. |
| Commerce Bancshares, Inc. |
| CommerceHub, Inc. |
| CommerceHub, Inc. |
| Community Health Systems, Inc. |
| Concordia International Corp. |
| Constellation Alpha Capital Corp. |
| Constellation Alpha Capital Corp. |
| Constellation Alpha Capital Corp. |
| Cowen Inc. |
| CryoPort, Inc. |
| Cue Biopharma, Inc. |
| Cyclacel Pharmaceuticals, Inc. |
| Cytori Therapeutics Inc |
| DarioHealth Corp. |
| Daseke, Inc. |
| Davis Select Financial ETF |
| Davis Select U.S. Equity ETF |
| Davis Select Worldwide ETF |
| Del Taco Restaurants, Inc. |
| Denali Therapeutics Inc. |
| Depomed, Inc. |
| Differential Brands Group Inc. |
| Dogness (International) Corporation |
| Dolphin Entertainment, Inc. |
| Draper Oakwood Technology Acquisition, Inc. |
| Draper Oakwood Technology Acquisition, Inc. |
| Draper Oakwood Technology Acquisition, Inc. |
| Easterly Acquisition Corp. |
| Easterly Acquisition Corp. |
| Eastside Distilling, Inc. |
| Eaton Vance Global Income Builder NextShares |
| Eaton Vance NextShares Trust II |
| Eaton Vance NextShares Trust II |
| Eaton Vance Stock NextShares |
| Eaton Vance TABS 5-to-15 Year Laddered Municipal Bond NextShar |
| eBay Inc. |
| Echelon Corporation |
| Edgewater Technology, Inc. |
| Egalet Corporation |
| Electrum Special Acquisition Corporation |
| Electrum Special Acquisition Corporation |
| Electrum Special Acquisition Corporation |
| Eleven Biotherapeutics, Inc. |
| Elkhorn Commodity Rotation Strategy ETF |
| ENDRA Life Sciences Inc. |
| Energy XXI Gulf Coast, Inc. |
| Entellus Medical, Inc. |
| Equitable Financial Corp. |
| Estre Ambiental, Inc. |
| Estre Ambiental, Inc. |
| ETF Managers Trust BlueStar TA-BIGITech Israel Technology ETF |
| EV Energy Partners, L.P. |
| Exactech, Inc. |
| Eyegate Pharmaceuticals, Inc. |
| Farmers Capital Bank Corporation |
| FC Global Realty Incorporated |
| Federal Street Acquisition Corp. |
| Federal Street Acquisition Corp. |
| Fifth Third Bancorp |
| Financial Engines, Inc. |
| FinTech Acquisition Corp. II |
| FinTech Acquisition Corp. II |
| FinTech Acquisition Corp. II |
| First Connecticut Bancorp, Inc. |
| First Financial Bancorp. |
| First Internet Bancorp |
| First Trust Alternative Absolute Return Strategy ETF |
| First Trust BuyWrite Income ETF |
| First Trust California Municipal High income ETF |
| First Trust CEF Income Opportunity ETF |
| First Trust Developed International Equity Select ETF |
| First Trust Dorsey Wright Dynamic Focus 5 ETF |
| First Trust Dorsey Wright Focus 5 ETF |
| First Trust Dorsey Wright International Focus 5 ETF |
| First Trust Emerging Markets Equity Select ETF |
| First Trust Emerging Markets Local Currency Bond ETF |
| First Trust Enhanced Short Maturity ETF |
| First Trust Eurozone AlphaDEX ETF |
| First Trust Global Tactical Commodity Strategy Fund |
| First Trust Hedged BuyWrite Income ETF |
| First Trust High Yield Long/Short ETF |
| First Trust Hong Kong AlphaDEX Fund |
| First Trust International IPO ETF |
| First Trust International Multi-Asset Diversified Income Index |
| First Trust Large Cap US Equity Select ETF |
| First Trust Low Duration Opportunities ETF |
| First Trust Managed Municipal ETF |
| First Trust Mid Cap US Equity Select ETF |
| First Trust Municipal CEF Income Opportunity ETF |
| First Trust Municipal High Income ETF |
| First Trust Nasdaq Bank ETF |
| First Trust NASDAQ Cybersecurity ETF |
| First Trust Nasdaq Food & Beverage ETF |
| First Trust Nasdaq Oil & Gas ETF |
| First Trust Nasdaq Pharmaceuticals ETF |
| First Trust Nasdaq Retail ETF |
| First Trust Nasdaq Semiconductor ETF |
| First Trust Nasdaq Transportation ETF |
| First Trust RBA American Industrial Renaissance ETF |
| First Trust RBA Quality Income ETF |
| First Trust Rising Dividend Achievers ETF |
| First Trust RiverFront Dynamic Asia Pacific ETF |
| First Trust RiverFront Dynamic Developed International ETF |
| First Trust RiverFront Dynamic Emerging Markets ETF |
| First Trust RiverFront Dynamic Europe ETF |
| First Trust Senior Loan Fund ETF |
| First Trust Small Cap US Equity Select ETF |
| First Trust SMID Cap Rising Dividend Achievers ETF |
| First Trust SSI Strategic Convertible Securities ETF |
| First Trust Strategic Income ETF |
| First Trust Taiwan AlphaDEX Fund |
| First Trust TCW Opportunistic Fixed Income ETF |
| First Trust US Equity Dividend Select ETF |
| Firsthand Technology Value Fund, Inc. |
| FlexShares Credit-Scored US Corporate Bond Index Fund |
| FlexShares Credit-Scored US Long Corporate Bond Index Fund |
| FlexShares Disciplined Duration MBS Index Fund |
| FlexShares Real Assets Allocation Index Fund |
| FlexShares STOXX Global ESG Impact Index Fund |
| FlexShares STOXX US ESG Impact Index Fund |
| FlexShares US Quality Large Cap Index Fund |
| FNB Bancorp |
| Fogo de Chao, Inc. |
| ForeScout Technologies, Inc. |
| Fortress Biotech, Inc. |
| Forum Merger Corporation |
| Forum Merger Corporation |
| Forum Merger Corporation |
| Forum Merger Corporation |
| Foundation Medicine, Inc. |
| Frontier Communications Corporation |
| Funko, Inc. |
| Gabelli NextShares Trust |
| Gabelli NextShares Trust |
| Garrison Capital Inc. |
| General Communication, Inc. |
| General Finance Corporation |
| General Finance Corporation |
| Gladstone Capital Corporation |
| Gladstone Commercial Corporation |
| Gladstone Commercial Corporation |
| Gladstone Commercial Corporation |
| Gladstone Investment Corporation |
| Gladstone Investment Corporation |
| Gladstone Investment Corporation |
| Gladstone Land Corporation |
| Global Indemnity Limited |
| Global Indemnity Limited |
| Global Partner Acquisition Corp. |
| Global Partner Acquisition Corp. |
| Global Partner Acquisition Corp. |
| Global X Conscious Companies ETF |
| Global X FinTech ETF |
| Global X Health & Wellness Thematic ETF |
| Global X Internet of Things ETF |
| Global X Longevity Thematic ETF |
| Global X Millennials Thematic ETF |
| Global X MSCI SuperDividend EAFE ETF |
| Global X Robotics & Artificial Intelligence ETF |
| Global X S&P 500 Catholic Values ETF |
| Global X SuperDividend Alternatives ETF |
| Global X SuperDividend REIT ETF |
| Global X Yieldco Index ETF |
| Golar LNG Partners LP |
| Gores Holdings II, Inc. |
| Gores Holdings II, Inc. |
| Gores Holdings II, Inc. |
| Government Properties Income Trust |
| Great Elm Capital Corp. |
| GTY Technology Holdings, Inc. |
| GTY Technology Holdings, Inc. |
| Hancock Holding Company |
| Hancock Holding Company |
| Hancock Jaffe Laboratories, Inc. |
| Hardinge Inc. |
| Harvest Capital Credit Corporation |
| Harvest Capital Credit Corporation |
| Hawaiian Telcom Holdco, Inc. |
| Haymaker Acquisition Corp. |
| Haymaker Acquisition Corp. |
| Haymaker Acquisition Corp. |
| Hexindai Inc. |
| Horizon Technology Finance Corporation |
| Horizons DAX Germany ETF |
| Horizons NASDAQ-100 Covered Call ETF |
| Hostess Brands, Inc. |
| Hovnanian Enterprises Inc |
| Hunter Maritime Acquisition Corp. |
| Hunter Maritime Acquisition Corp. |
| Huntington Bancshares Incorporated |
| Huntington Bancshares Incorporated |
| Huntington Bancshares Incorporated |
| I-AM Capital Acquisition Company |
| I-AM Capital Acquisition Company |
| IBERIABANK Corporation |
| IBERIABANK Corporation |
| iClick Interactive Asia Group Limited |
| Ignyta, Inc. |
| ILG, Inc |
| Immune Pharmaceuticals Inc. |
| Immuron Limited |
| Impax Laboratories, Inc. |
| Industrea Acquisition Corp. |
| Industrea Acquisition Corp. |
| Industrial Logistics Properties Trust |
| Infinity Property and Casualty Corporation |
| InflaRx N.V. |
| InfoSonics Corp |
| Interactive Brokers Group, Inc. |
| Invuity, Inc. |
| IQ Chaikin U.S. Large Cap ETF |
| IQ Chaikin U.S. Small Cap ETF |
| Iridium Communications Inc |
| iSectors Post-MPT Growth ETF |
| iShares 0-5 Year Investment Grade Corporate Bond ETF |
| iShares Commodities Select Strategy ETF |
| iShares Core Total USD Bond Market ETF |
| iShares Currency Hedged MSCI Germany ETF |
| iShares ESG 1-5 Year USD Corporate Bond ETF |
| iShares ESG USD Corporate Bond ETF |
| iShares Exponential Technologies ETF |
| iShares Fallen Angels USD Bond ETF |
| iShares iBoxx $ High Yield ex Oil & Gas Corporate Bond ETF |
| iShares MSCI EAFE ESG Optimized ETF |
| iShares MSCI EM ESG Optimized ETF |
| iShares MSCI Emerging Markets ex China ETF |
| iShares MSCI Global Gold Miners ETF |
| iShares MSCI Global Impact ETF |
| iShares MSCI Qatar ETF |
| iShares MSCI UAE ETF |
| iShares MSCI USA ESG Optimized ETF |
| iShares Russell 1000 Pure U.S. Revenue ETF |
| ITUS Corporation |
| Ivy NextShares |
| Ivy NextShares |
| Ivy NextShares |
| JA Solar Holdings, Co., Ltd. |
| Jacksonville Bancorp Inc. |
| Jamba, Inc. |
| Janus Henderson SG Global Quality Income ETF |
| Janus Henderson Small Cap Growth Alpha ETF |
| Janus Henderson Small/Mid Cap Growth Alpha ETF |
| Jason Industries, Inc. |
| Jensyn Acquistion Corp. |
| Jensyn Acquistion Corp. |
| Jensyn Acquistion Corp. |
| Jensyn Acquistion Corp. |
| JM Global Holding Company |
| JM Global Holding Company |
| JM Global Holding Company |
| Juniper Pharmaceuticals, Inc. |
| Juno Therapeutics, Inc. |
| Kayne Anderson Acquisition Corp. |
| Kayne Anderson Acquisition Corp. |
| KBL Merger Corp. IV |
| KBL Merger Corp. IV |
| KBL Merger Corp. IV |
| KCAP Financial, Inc. |
| Key Technology, Inc. |
| Kingtone Wirelessinfo Solution Holding Ltd |
| Kitov Pharmaceuticals Holdings Ltd. |
| KLX Inc. |
| KraneShares Trust KraneShares CSI China Internet ETF |
| Landcadia Holdings, Inc. |
| Landcadia Holdings, Inc. |
| Landmark Infrastructure Partners LP |
| Landmark Infrastructure Partners LP |
| Layne Christensen Company |
| Leading Brands Inc |
| Legacy Reserves LP |
| Legacy Reserves LP |
| Legg Mason Developed EX-US Diversified Core ETF |
| Legg Mason Emerging Markets Diversified Core ETF |
| Legg Mason Global Infrastructure ETF |
| Legg Mason Low Volatility High Dividend ETF |
| Legg Mason Small-Cap Quality Value ETF |
| Legg Mason US Diversified Core ETF |
| Leisure Acquisition Corp. |
| Leisure Acquisition Corp. |
| Leisure Acquisition Corp. |
| LexinFintech Holdings Ltd. |
| Liberty Interactive Corporation |
| Liberty Interactive Corporation |
| Liberty Interactive Corporation |
| Liberty Interactive Corporation |
| Liberty Latin America Ltd. |
| Liberty Latin America Ltd. |
| Liberty Tax, Inc. |
| Lindblad Expeditions Holdings Inc. |
| LiNiu Technology Group |
| LM Funding America, Inc. |
| Loncar Cancer Immunotherapy ETF |
| Long Blockchain Corp. |
| LongFin Corp |
| Luther Burbank Corporation |
| M I Acquisitions, Inc. |
| M I Acquisitions, Inc. |
| M I Acquisitions, Inc. |
| M III Acquisition Corp. |
| M III Acquisition Corp. |
| M III Acquisition Corp. |
| MabVax Therapeutics Holdings, Inc. |
| MainSource Financial Group, Inc. |
| Matlin & Partners Acquisition Corporation |
| Matlin & Partners Acquisition Corporation |
| Mattersight Corporation |
| MB Financial Inc. |
| MB Financial Inc. |
| Medallion Financial Corp. |
| Medical Transcription Billing, Corp. |
| Meridian Bank |
| Meridian Waste Solutions, Inc |
| Meridian Waste Solutions, Inc |
| Micronet Enertec Technologies, Inc. |
| Microsemi Corporation |
| Mitcham Industries, Inc. |
| Modern Media Acquisition Corp. |
| Modern Media Acquisition Corp. |
| Modern Media Acquisition Corp. |
| ModusLink Global Solutions, Inc |
| Monster Digital, Inc. |
| Monster Digital, Inc. |
| Motif Bio plc |
| MTGE Investment Corp. |
| MTGE Investment Corp. |
| MYnd Analytics, Inc. |
| National Energy Services Reunited Corp. |
| National General Holdings Corp |
| National General Holdings Corp |
| National General Holdings Corp |
| National General Holdings Corp |
| National Holdings Corporation |
| National Research Corporation |
| National Research Corporation |
| Navient Corporation |
| Nebula Acquisition Corporation |
| Netlist, Inc. |
| NeuroMetrix, Inc. |
| New York Mortgage Trust, Inc. |
| New York Mortgage Trust, Inc. |
| New York Mortgage Trust, Inc. |
| Newmark Group, Inc. |
| Newtek Business Services Corp. |
| Newtek Business Services Corp. |
| Nexeo Solutions, Inc. |
| Nexeo Solutions, Inc. |
| NextDecade Corporation |
| Northern Trust Corporation |
| Nuveen NASDAQ 100 Dynamic Overwrite Fund |
| NXT-ID Inc. |
| Oaktree Specialty Lending Corporation |
| Oaktree Strategic Income Corporation |
| Odonate Therapeutics, Inc. |
| Old Second Bancorp, Inc. |
| Ominto, Inc. |
| Oncobiologics, Inc. |
| Oncobiologics, Inc. |
| Onconova Therapeutics, Inc. |
| OpGen, Inc. |
| Orexigen Therapeutics, Inc. |
| Origo Acquisition Corporation |
| Origo Acquisition Corporation |
| Origo Acquisition Corporation |
| Origo Acquisition Corporation |
| Osprey Energy Acquisition Corp. |
| Osprey Energy Acquisition Corp. |
| Osprey Energy Acquisition Corp. |
| Oxbridge Re Holdings Limited |
| Oxford Lane Capital Corp. |
| Oxford Lane Capital Corp. |
| Oxford Lane Capital Corp. |
| Paragon Commercial Corporation |
| ParkerVision, Inc. |
| PAVmed Inc. |
| Pensare Acquisition Corp. |
| Pensare Acquisition Corp. |
| Pensare Acquisition Corp. |
| People's United Financial, Inc. |
| Perry Ellis International Inc. |
| PhaseRx, Inc. |
| Pinnacle Entertainment, Inc. |
| Platinum Eagle Acquisition Corp. |
| PolarityTE, Inc. |
| Popular, Inc. |
| Popular, Inc. |
| Porter Bancorp, Inc. |
| PowerShares DWA Momentum & Low Volatility Rotation Portfolio |
| PowerShares DWA SmallCap Momentum Portfolio |
| PowerShares DWA Tactical Multi-Asset Income Portfolio |
| PowerShares DWA Tactical Sector Rotation Portfolio |
| PowerShares FTSE International Low Beta Equal Weight Portfolio |
| PowerShares International BuyBack Achievers Portfolio |
| PowerShares KBW Bank Portfolio |
| PowerShares LadderRite 0-5 Year Corporate Bond Portfolio |
| PowerShares Multi-Strategy Alternative Portfolio |
| PowerShares Optimum Yield Diversified Commodity Strategy No K- |
| PowerShares Russell 1000 Low Beta Equal Weight Portfolio |
| PowerShares Variable Rate Investment Grade Portfolio |
| Principal Contrarian Value Index ETF |
| Principal Healthcare Innovators Index ETF |
| Principal International Multi-Factor Index ETF |
| Principal Millennials Index ETF |
| Principal Price Setters Index ETF |
| Principal Shareholder Yield Index ETF |
| Principal Sustainable Momentum Index ETF |
| Principal U.S. Mega-Cap Multi-Factor Index ETF |
| Principal U.S. Small-Cap Multi-Factor Index ETF |
| ProShares Equities for Rising Rates ETF |
| Proshares UltraPro Nasdaq Biotechnology |
| ProShares UltraPro Short NASDAQ Biotechnology |
| pSivida Corp. |
| Quality Systems, Inc. |
| Quanterix Corporation |
| Reality Shares Nasdaq NextGen Economy ETF |
| Reis, Inc |
| Repros Therapeutics Inc. |
| ReTo Eco-Solutions, Inc. |
| Rex Energy Corporation |
| RiceBran Technologies |
| RLJ Entertainment, Inc. |
| RMG Networks Holding Corporation |
| ROBO Global Robotics and Automation Index ETF |
| Rosehill Resources Inc. |
| Rosehill Resources Inc. |
| Rosetta Genomics Ltd. |
| RPX Corporation |
| RXi Pharmaceuticals Corporation |
| Saban Capital Acquisition Corp. |
| Saban Capital Acquisition Corp. |
| Sabra Health Care REIT, Inc. |
| Sanofi |
| SB Financial Group, Inc. |
| scPharmaceuticals Inc. |
| Seanergy Maritime Holdings Corp |
| Sears Holdings Corporation |
| Sears Holdings Corporation |
| Second Sight Medical Products, Inc. |
| Senior Housing Properties Trust |
| Senior Housing Properties Trust |
| Sensus Healthcare, Inc. |
| Sentinel Energy Services Inc. |
| Sentinel Energy Services Inc. |
| Sentinel Energy Services Inc. |
| Sigma Designs, Inc. |
| Sigma Labs, Inc. |
| Siliconware Precision Industries Company, Ltd. |
| Silver Run Acquisition Corporation II |
| Silver Run Acquisition Corporation II |
| Silver Run Acquisition Corporation II |
| Skyline Medical Inc. |
| SLM Corporation |
| Snyder's-Lance, Inc. |
| Soleno Therapeutics, Inc. |
| Soligenix, Inc. |
| Sonoma Pharmaceuticals, Inc. |
| Sotherly Hotels Inc. |
| Sotherly Hotels Inc. |
| Spark Energy, Inc. |
| SPDR Dorsey Wright Fixed Income Allocation ETF |
| Spero Therapeutics, Inc. |
| Sprott Focus Trust, Inc. |
| Stanley Furniture Company, Inc. |
| Star Bulk Carriers Corp. |
| Star Bulk Carriers Corp. |
| SteadyMed Ltd. |
| Stellar Acquisition III Inc. |
| Stellar Acquisition III Inc. |
| Stericycle, Inc. |
| Sterling Bancorp, Inc. |
| Stitch Fix, Inc. |
| StoneCastle Financial Corp |
| Strategy Shares Nasdaq 7HANDL Index ETF |
| Student Transportation Inc |
| Sucampo Pharmaceuticals, Inc. |
| Sun Bancorp, Inc. |
| Super Micro Computer, Inc. |
| Syntel, Inc. |
| TapImmune Inc. |
| Texas Capital Bancshares, Inc. |
| Texas Capital Bancshares, Inc. |
| Texas Capital Bancshares, Inc. |
| The Carlyle Group L.P. |
| The Finish Line, Inc. |
| The Herzfeld Caribbean Basin Fund, Inc. |
| The Long-Term Care ETF |
| The Obesity ETF |
| The Organics ETF |
| The Simply Good Foods Company |
| TICC Capital Corp. |
| TICC Capital Corp. |
| TiGenix |
| Till Capital Ltd. |
| Tintri, Inc. |
| TOR Minerals International Inc |
| TORM plc |
| TravelCenters of America LLC |
| TravelCenters of America LLC |
| TravelCenters of America LLC |
| tronc, Inc. |
| United Community Bancorp |
| USA Technologies, Inc. |
| Validea Market Legends ETF |
| VanEck Vectors Generic Drugs ETF |
| Vanguard Emerging Markets Government Bond ETF |
| Vanguard International Dividend Appreciation ETF |
| Vanguard International High Dividend Yield ETF |
| Vanguard Total Corporate Bond ETF |
| Vanguard Total International Bond ETF |
| Vantage Energy Acquisition Corp. |
| Vantage Energy Acquisition Corp. |
| VASCO Data Security International, Inc. |
| VelocityShares 3x Inverse Gold ETN |
| VelocityShares 3x Inverse Silver ETN |
| VelocityShares 3x Long Gold ETN |
| VelocityShares 3x Long Silver ETN |
| VelocityShares Daily 2x VIX Medium-Term ETN |
| VelocityShares Daily 2x VIX Short-Term ETN |
| VelocityShares Daily Inverse VIX Short-Term ETN |
| VelocityShares VIX Short-Term ETN |
| Versartis, Inc. |
| VictoryShares Developed Enhanced Volatility Wtd ETF |
| VictoryShares Dividend Accelerator ETF |
| VictoryShares Emerging Market High Div Volatility Wtd ETF |
| VictoryShares Emerging Market Volatility Wtd ETF |
| VictoryShares International High Div Volatility Wtd ETF |
| VictoryShares International Volatility Wtd ETF |
| VictoryShares US 500 Enhanced Volatility Wtd ETF |
| VictoryShares US 500 Volatility Wtd ETF |
| VictoryShares US Discovery Enhanced Volatility Wtd ETF |
| VictoryShares US EQ Income Enhanced Volatility Wtd ETF |
| VictoryShares US Large Cap High Div Volatility Wtd ETF |
| VictoryShares US Multi-Factor Minimum Volatility ETF |
| VictoryShares US Small Cap High Div Volatility Wtd ETF |
| VictoryShares US Small Cap Volatility Wtd ETF |
| Vident Core U.S. Bond Strategy Fund |
| Vident Core US Equity ETF |
| Vident International Equity Fund |
| Videocon d2h Limited |
| Viking Therapeutics, Inc. |
| Virtus Investment Partners, Inc. |
| Virtus LifeSci Biotech Clinical Trials ETF |
| Virtus LifeSci Biotech Products ETF |
| Washington Federal, Inc. |
| WeatherStorm Forensic Accounting Long Short ETF |
| Web.com Group, Inc. |
| Westmoreland Coal Company |
| Wheeler Real Estate Investment Trust, Inc. |
| Wheeler Real Estate Investment Trust, Inc. |
| Wheeler Real Estate Investment Trust, Inc. |
| WhiteHorse Finance, Inc. |
| Willamette Valley Vineyards, Inc. |
| WillScot Corporation |
| Wintrust Financial Corporation |
| Wintrust Financial Corporation |
| WisdomTree Barclays Interest Rate Hedged U.S. Aggregate Bond F |
| WisdomTree Barclays Negative Duration U.S. Aggregate Bond Fund |
| WisdomTree Emerging Markets Consumer Growth Fund |
| WisdomTree Emerging Markets Quality Dividend Growth Fund |
| WisdomTree Germany Hedged Equity Fund |
| WisdomTree Interest Rate Hedged High Yield Bond Fund |
| WisdomTree Japan Hedged SmallCap Equity Fund |
| WisdomTree Negative Duration High Yield Bond Fund |
| WisdomTree U.S. Quality Dividend Growth Fund |
| WisdomTree U.S. SmallCap Quality Dividend Growth Fund |
| WisdomTree United Kingdom Hedged Equity Fund |
| WMIH Corp. |
| WPCS International Incorporated |
| Wright Medical Group N.V. |
| Xcerra Corporation |
| XG Technology, Inc |
| X-Links Crude Oil Shares Covered Call ETN |
| X-Links Gold Shares Covered Call ETN |
| X-Links Silver Shares Covered Call ETN |
| Xplore Technologies Corp |
| Yangtze River Development Limited |
| ZAIS Group Holdings, Inc. |
| Zion Oil & Gas Inc |
| Zions Bancorporation |
| Zions Bancorporation |
| Anhui Conch Cement |
| Alliance One International, Inc. (AOI) |
| Ply Gem Holdings, Inc. (PGEM) |
| Erin Energy Corp. (ERN) |
| U.S. Geothermal Inc. (HTM) |
| Validus Holdings, Ltd. (VR) |
| Morgan Stanley Income Securities Fund: (ICB) |
| Terra Nitrogen Company, L.P. (TNH) |
| DST Systems, Inc. (DST) |
| Regal Entertainment Group (RGC) |
| CGG (CGG) |
| Xerium Technologies, Inc. (XRM) |
| OCI Partners LP (OCIP) |
| Deutsche Lufthansa AG |
| Millicom International Cellular SA (MIICF) |
| Mulesoft Inc. (MULE) |
| Statoil ASA (STO) |
| Mitsubishi UFJ Financial Group, Inc. (MTU) |
| Nexa Resources S.A. (NEXA) |
| Angang Steel Co. (ANGGY) |
| Calpine Corporation (CPN) |
| Valeant Pharmaceuticals International, Inc. (VRX) |
| Straight Path Communications Inc. (STRP) |
| General Cable Corporation (BGC) |
| PHH Corp (PHH) |
| Calgon Carbon Corporation (CCC) |
| NTT DOCOMO, Inc (DCM) |
| Quality Care Properties Inc. (QCP) |
| BIOXCEL THERA (BTAI) |
| Advantage Oil & Gas Ltd |
| Aberdeen Emerging Markets Company Oppotunities Fund Inc. |
| Aberdeen Income Credit Strategies Fund |
| AllianzGI Diversified Income & Convertible Fund of Beneficial Interest |
| ADT Inc. |
| Adams Diversified Equity Fund Inc. |
| AllianceBernstein National Municipal Income Fund Inc |
| Apollo Senior Floating Rate Fund Inc. |
| Advent Claymore Convertible Securities and Income Fund of Beneficial Interest |
| Alpine Global Dynamic Dividend Fund Shares of Beneficial Interest |
| PlayAGS Inc. |
| Ashford Hospitality Prime Inc. |
| Apollo Tactical Income Fund Inc. |
| Alliance California Municipal Income Fund Inc |
| American Lorain Corporation |
| Alpine Total Dynamic Dividend Fund |
| Asia Pacific Fund Inc. (The) |
| Morgan Stanley Asia-Pacific Fund Inc. |
| Evoqua Water Technologies Corp. |
| Ares Dynamic Credit Allocation Fund Inc. |
| ARMO BioSciences Inc. |
| ASA Gold and Precious Metals Limited |
| Liberty All-Star Growth Fund Inc. |
| Advent Claymore Convertible Securities and Income Fund |
| Avaya Holdings Corp. |
| Alliancebernstein Global High Income Fund |
| Alpine Global Premier Properties Fund of Beneficial Interest |
| BlackRock Municipal Income Investment Quality Trust |
| BlackRock Municipal Income Investment Trust |
| Bill Barrett Corporation |
| Blackrock Municipal Bond Trust |
| BlackRock Taxable Municipal Bond Trust of Beneficial Interest |
| Bancroft Fund Ltd. |
| BlackRock Resources of Beneficial Interest |
| Blackrock Enhanced Equity Dividend Trust |
| BlackRock Municipal Income Trust |
| Blackrock Florida Municipal 2020 Term Trust |
| Biofrontera AG |
| BlackRock New York Municipal Income Trust II |
| BlackRock California Municipal Income Trust |
| Blackstone / GSO Strategic Credit Fund |
| Barings Global Short Duration High Yield Fund of Beneficial Interests |
| BlackRock 2022 Global Income Opportunity Trust of Beneficial Interest |
| BlackRock Energy and Resources Trust |
| BlackRock Floating Rate Income Trust |
| Blackstone GSO Long Short Credit Income Fund |
| Blackrock Enhanced International Dividend Trust |
| Blackrock Core Bond Trust |
| BlackRock Virginia Municipal Bond Trust |
| Boulder Growth & Income Fund Inc. |
| BlackRock Multi-Sector Income Trust of Beneficial Interest |
| Blackrock California Municipal 2018 Term Trust |
| Blackrock Municipal 2020 Term Trust |
| BlackRock Investment Quality Municipal Trust Inc. (The) |
| BlackRock Income Trust Inc. (The) |
| BlackRock Municipal Income Trust II |
| Blackrock New York Municipal 2018 Term Trust |
| Blackrock New Jersey Municipal Bond Trust |
| Blackrock Limited Duration Income Trust |
| Blackrock Health Sciences Trust |
| BlackRock New Jersey Municipal Income Trust |
| BlackRock New York Municipal Income Trust |
| Blackrock Enhanced Global Dividend Trust of Beneficial Interest |
| Blackrock Municipal 2018 Term Trust |
| Blackrock New York Municipal Bond Trust of Beneficial Interest |
| BlackRock Strategic Municipal Trust Inc. (The) |
| Blackrock New York Municipal Income Quality Trust of Beneficial Interest |
| Blackstone GSO Senior Floating Rate Term Fund of Beneficial Interest |
| BlackRock Science and Technology Trust of Beneficial Interest |
| BlackRock Long-Term Municipal Advantage Trust of Beneficial Interest |
| John Hancock Financial Opportunities Fund |
| BlackRock Municipal 2030 Target Term Trust |
| BlackRock Credit Allocation Income Trust |
| BlackRock Utility Infrastructure & Power Opportunities Trust |
| Bridgewater Bancshares Inc. |
| BrandywineGLOBAL Global Income Opportunities Fund Inc. |
| Boardwalk Pipeline Partners LP |
| Bluegreen Vacations Corporation |
| Nuveen S&P 500 Buy-Write Income Fund of Beneficial Interest |
| Blackrock Municipal Income Quality Trust of Beneficial Interest |
| BlackRock Maryland Municipal Bond Trust of beneficial interest |
| Corporacion America Airports SA |
| Morgan Stanley China A Share Fund Inc. |
| ClearBridge American Energy MLP Fund Inc. |
| AllianzGI Convertible & Income 2024 Target Term Fund of Beneficial Interest |
| Chicago Bridge & Iron Company N.V. |
| MFS California Municipal Fund of Beneficial Interest |
| Corporate Capital Trust Inc. |
| Cardlytics Inc. |
| The Central and Eastern Europe Fund Inc. (The) |
| Sprott Physical Gold and Silver Trust Units |
| CONSOL Energy Inc. |
| ClearBridge Energy MLP Fund Inc. |
| Center Coast Brookfield MLP & Energy Infrastructure Fund |
| Central Puerto S.A. American Depositary Shares (each represents ten) |
| Central Securities Corporation |
| Eaton Vance California Municipal Income Trust Shares of Beneficial Interest |
| Celadon Group Inc. |
| Aberdeen Chile Fund Inc. (The) |
| China Fund Inc. (The) |
| MFS Intermediate High Income Fund |
| Blackrock Capital and Income Fund Inc. |
| Credit Suisse Asset Management Income Fund Inc. |
| Cornerstone Strategic Value Fund Inc. |
| Colony NorthStar Credit Real Estate Inc. Class A |
| Colony NorthStar Inc. |
| MFS Municipal Income Trust |
| VanEck Vectors ChinaAMC SME-ChNext |
| Americold Realty Trust |
| Cotiviti Holdings Inc. |
| Cheniere Energy Partners LP Holdings LLC |
| Cornerstone Total Return Fund Inc. (The) |
| Crystal Rock Holdings Inc. Class A |
| ClearBridge Energy MLP Total Return Fund Inc. |
| Qwest Corporation 7.00% Notes due 2052 |
| CURO Group Holdings Corp. |
| Convergys Corporation |
| MFS High Income Municipal Trust |
| MFS Investment Grade Municipal Trust |
| CYS Investments Inc. |
| DoubleLine Opportunistic Credit Fund of Beneficial Interest |
| DCT Industrial Trust Inc |
| Delaware Investments Dividend & Income Fund Inc. |
| DDR Corp. |
| Delaware Enhanced Global Dividend of Beneficial Interest |
| Flaherty & Crumrine Dynamic Preferred and Income Fund Inc. |
| Dreyfus High Yield Strategies Fund |
| Credit Suisse High Yield Bond Fund |
| Nuveen Dow 30SM Dynamic Overwrite Fund of Beneficial Interest |
| Dreyfus Municipal Bond Infrastructure Fund Inc. |
| Dreyfus Municipal Income Inc. |
| Western Asset Mortgage Defined Opportunity Fund Inc |
| Dividend and Income Fund |
| DNP Select Income Fund Inc. |
| Duff & Phelps Global Utility Income Fund Inc. |
| Duff & Phelps Select Energy MLP Fund Inc. |
| DoubleLine Income Solutions Fund of Beneficial Interests |
| Dreyfus Strategic Municipal Bond Fund Inc. |
| Blackrock Debt Strategies Fund Inc. |
| DTF Tax-Free Income Inc. |
| Duff & Phelps Utility & Corporate Bond Trust Inc. |
| Dynegy Inc. |
| Wells Fargo Income Opportunities Fund |
| Platinum Eagle Acquisition Corp. |
| Eagle Point Credit Company Inc. |
| Ellsworth Growth and Income Fund Ltd. |
| Morgan Stanley Emerging Markets Domestic Debt Fund Inc. |
| Stone Harbor Emerging Markets Income Fund of Beneficial Interest |
| Stone Harbor Emerging Markets Total Income Fund of Beneficial Interests |
| Education Realty Trust Inc. |
| The European Equity Fund Inc. |
| Eaton vance Floating-Rate Income Plus Fund of Beneficial Interest |
| Eaton Vance Floating-Rate 2022 Target Term Trust of Beneficial Interest |
| Eaton Vance Senior Floating-Rate Fund of Beneficial Interest |
| Eaton Vance Floating Rate Income Trust of Beneficial Interest |
| Blackrock Enhanced Government Fund Inc. |
| Eagle Growth and Income Opportunities Fund of Beneficial Interest |
| Western Asset Global High Income Fund Inc |
| Eaton Vance High Income 2021 Target Term Trust of Beneficial Interest |
| Eaton Vance California Municipal Bond Fund II of Beneficial Interest $.01 par value |
| Eaton Vance Municipal Bond Fund of Beneficial Interest $.01 par value |
| Eaton Vance Ohio Municipal Bond Fundd of Befeficial Interest $.01 par value |
| Eaton Vance Pennsylvania Municipal Bond Fund of Befeficial Interest $.01 par value |
| Eaton Vance Municipal Bond Fund II of Beneficial Interest $.01 Par Value |
| Western Asset Emerging Markets Debt Fund Inc |
| Templeton Emerging Markets Fund |
| Eaton Vance Michigan Municipal Income Trust Shares of Beneficial Interest |
| Eaton Vance New Jersey Municipal Bond Fund Common Shres of Beneficial Interest $.01 par value |
| ClearBridge Energy MLP Opportunity Fund Inc. |
| EnerJex Resources Inc. (NEW) |
| Eaton Vance New York Municipal Bond Fund of Beneficial Interest $.01 par value |
| Wells Fargo Global Dividend Opportunity Fund |
| Eaton Vance Enhance Equity Income Fundd Equity Income Fund Shares of Beneficial Interest |
| Evolus Inc. |
| Eaton Vance Enhance Equity Income Fund II |
| Eaton Vance Municipal Income Trust EATON VANCE NATIONAL MUNICIPAL OPPORTUNITIES TRUST |
| Equus Total Return Inc. |
| Wells Fargo Multi-Sector Income Fund no par value |
| Wells Fargo Utilities and High Income Fund |
| Barclays PLC iPath EUR/USD Exchange Rate ETN |
| Eaton Vance Tax-Managed Buy-Write Income Fund of Beneficial Interest |
| Energy Transfer Equity L.P. representing Limited Partnership interests |
| Eaton Vance Tax-Advantaged Global Dividend Income Fund of Beneficial Interest |
| Eaton Vance Risk-Managed Diversified Equity Income Fund of Beneficial Interest |
| Eaton Vance Tax-Advantage Global Dividend Opp |
| Energy Transfer Partners L.P. representing limited partner interests |
| Eaton Vance Corporation Tax-Managed Buy-Write Opportunities Fund of Beneficial Interest |
| Eaton Vance Corporation Tax-Managed Global Buy-Write Opportunites Fund of Beneficial Interest |
| Eaton Vance Municipal Income 2028 Term Trust of Beneficial Interest |
| Eaton Vance Tax-Managed Diversified Equity Income Fund of Beneficial Interest |
| Eaton Vance Senior Income Trust |
| Eaton Vance Short Diversified Income Fund Duration Diversified Income Fund of Beneficial Interest |
| Eaton Vance New Jersey Municipal Income Trust Shares of Beneficial Interest |
| Eaton Vance California Municipal Bond Fund of Beneficial Interest $.01 par value |
| Eaton Vance Municipal Income Trust |
| Eaton Vance Ohio Municipal Income Trust Shares of Beneficial Interest |
| Eaton Vance Pennsylvania Municipal Income Trust Shares of Beneficial Interest |
| Eaton Vance Tax Advantaged Dividend Income Fund of Beneficial Interest |
| Eaton Vance Limited Duration Income Fund of Beneficial Interest |
| Eaton Vance New York Municipal Income Trust Shares of Beneficial Interest |
| Eaton Vance Tax-Advantaged Bond of Beneficial Interest |
| Eaton Vance Tax-Managed Global Diversified Equity Income Fund of Beneficial Interest |
| Eyenovia Inc. |
| First Acceptance Corporation |
| First Trust/Aberdeen Global Opportunity Income Fund of Beneficial Interest |
| Farmmi INC. |
| Aberdeen Asia-Pacific Income Fund Inc |
| Aberdeen Global Income Fund Inc. |
| First Trust Senior Floating Rate Income Fund II of Beneficial Interest |
| First Trust Dynamic Europe Equity Income Fund of Beneficial Interest |
| Four Seasons Education (Cayman) Inc. American Depositary Shares each two ADSs representing one |
| First Trust MLP and Energy Income Fund of Beneficial Interest |
| First Trust Energy Income and Growth Fund |
| First Trust/Aberdeen Emerging Opportunity Fund of Beneficial Interest |
| First Trust Enhanced Equity Income Fund |
| Flaherty & Crumrine Preferred Securities Income Fund Incorporated |
| First Trust Specialty Finance and Financial Opportunities Fund |
| First Trust Strategic High Income Fund II of Beneficial Interest |
| First Trust Energy Infrastructure Fund of Beneficial Interest |
| First Trust Senior Floating Rate 2022 Target Term Fund of Beneficial Interest |
| Flaherty & Crumrine Total Return Fund Inc |
| Federated Premier Municipal Income Fund |
| Fiduciary/Claymore MLP Opportunity Fund of Beneficial Interest |
| Fairmount Santrol Holdings Inc. |
| First Trust Motgage Income Fund of Beneficial Interest |
| Cohen & Steers Closed-End Opportunity Fund Inc. |
| First Trust Intermediate Duration Preferred & Income Fund of Beneficial Interest |
| Farmland Partners Inc. Series B Participating Preferred Stock |
| First Trust New Opportunities MLP & Energy Fund of Beneficial Interest |
| Blackrock Floating Rate Income Strategies Fund Inc |
| First Trust High Income Long Short Fund of Beneficial Interest |
| Franklin Universal Trust |
| Franklin Limited Duration Income Trust of Beneficial Interest |
| FTS International Inc. |
| Gabelli Equity Trust Inc. (The) |
| General American Investors Inc. |
| Guggenheim Taxable Municipal Managed Duration Trust of Beneficial Interest |
| Aberdeen Greater China Fund Inc. |
| Gabelli Convertible and Income Securities Fund Inc. (The) |
| GDL Fund The of Beneficial Interest |
| Western Asset Global Corporate Defined Opportunity Fund Inc. |
| Gabelli Dividend & Income Trust of Beneficial Interest |
| Goldman Sachs MLP Energy Renaissance Fund |
| New Germany Fund Inc. (The) |
| Western Asset Variable Rate Strategic Fund Inc. |
| Guggenheim Credit Allocation Fund of Beneficial Interest |
| GAMCO Global Gold Natural Resources & Income Trust |
| The Gabelli Go Anywhere Trust of Beneficial Interest |
| Gabelli Multi-Media Trust Inc. (The) |
| Gabelli Global Small and Mid Cap Value Trust (The) of Beneficial Interest |
| Prudential Global Short Duration High Yield Fund Inc. |
| GigCapital Inc. |
| Templeton Global Income Fund Inc. |
| GulfMark Offshore Inc. |
| GCI Liberty Inc. Class A Common Stock |
| Clough Global Opportunities Fund |
| Clough Global Equity Fund of Beneficial Interest |
| Gabelli Global Utility of Beneficial Ownership |
| Clough Global Dividend and Income Fund of beneficial interest |
| General Motors Company Warrant (Expires 07/10/2019) |
| Goldman Sachs MLP Income Opportunities Fund |
| SPDR S&P Global Natural Resources |
| Gener8 Maritime Inc. |
| GAMCO Natural Resources Gold & Income Trust |
| Guggenheim Strategic Opportunities Fund of Beneficial Interest |
| Gordon Pointe Acquisition Corp. |
| Guggenheim Enhanced Equity Income Fund |
| Gramercy Property Trust |
| Eagle Capital Growth Fund Inc. |
| Granite Real Estate Inc. Stapled Units each consisting of one unit of Trust and one common share of Granite REIT Inc. |
| Asia Tigers Fund Inc. (The) |
| The Gabelli Healthcare & Wellness Trust of Beneficial Interest |
| Gastar Exploration Inc |
| Gates Industrial Corporation plc |
| Gabelli Utility Trust (The) |
| Great Plains Energy Incorporated |
| Hennessy Capital Acquisition Corp. III |
| John Hancock Hedged Equity & Income Fund of Beneficial Interest |
| Hugoton Royalty Trust |
| Miller/Howard High Income Equity Fund of Beneficial Interest |
| Western Asset High Income Opportunity Fund Inc. |
| Western Asset High Income Fund II Inc. |
| Huami Corporation American Depositary Shares each representing four Class A |
| Pioneer Diversified High Income Trust of Beneficial Interest |
| John Hancock Pfd Income Fund II Pfd Income Fund II |
| John Hancock Preferred Income Fund of Beneficial Interest |
| John Hancock Preferred Income Fund III Preferred Income Fund III |
| Tekla Healthcare Investors |
| TeklaLife Sciences Investors |
| HRG Group Inc. |
| John Hancock Tax Advantaged Dividend Income Fund of Beneficial Interest |
| John Hancock Tax-Advantaged Global Shareholder Yield Fund of Beneficial Interest |
| Hudson Ltd. Class A |
| New America High Income Fund Inc. (The) |
| Halyard Health Inc. |
| Western Asset High Yield Defined Opportunity Fund Inc. |
| Blackrock Corporate High Yield Fund Inc. |
| Voya Asia Pacific High Dividend Equity Income Fund ING Asia Pacific High Dividend Equity Income Fund of Beneficial Interest |
| Aberdeen Australia Equity Fund Inc |
| Voya Infrastructure Industrials and Materials Fund of Beneficial Interest |
| Aberdeen Indonesia Fund Inc. (Common Stock |
| India Fund Inc. (The) |
| Voya Global Advantage and Premium Opportunity Fund of Beneficial Interest |
| Voya Global Equity Dividend and Premium Opportunity Fund |
| Western Asset Investment Grade Defined Opportunity Trust Inc. |
| CBRE Clarion Global Real Estate Income Fund |
| Voya Emerging Markets High Income Dividend Equity Fund |
| Invesco High Income 2023 Target Term Fund of Beneficial Interest |
| Voya International High Dividend Equity Income Fund of Beneficial Interest |
| Morgan Stanley India Investment Fund Inc. |
| Invesco Value Municipal Income Trust |
| ImmunoCellular Therapeutics Ltd. |
| Cohen & Steers Global Income Builder Inc. of Beneficial Interest |
| Brookfield Global Listed Infrastructure Income Fund Closed End Fund |
| Insight Select Income Fund |
| iPic Entertainment Inc. |
| Invesco Quality Municipal Income Trust |
| New Ireland Fund Inc (The) |
| Voya Natural Resources Equity Income Fund of Beneficial Interest |
| Prudential Short Duration High Yield Fund Inc. |
| Aberdeen Israel Fund Inc. (The) |
| Ivy High Income Opportunities Fund of Beneficial Interest |
| Nuveen Core Equity Alpha Fund of Beneficial Interest |
| Nuveen Credit Opportunities 2022 Target Term Fund of Beneficial Interest |
| Nuveen Diversified Dividend and Income Fund Shares of Beneficial Interest |
| Nuveen Emerging Markets Debt 2022 Target Term Fund of Beneficial Interest $0.01 par value per share |
| Aberdeen Japan Equity Fund Inc. |
| Nuveen Floating Rate Income Fund |
| Nuveen Global High Income Fund of Beneficial Interest |
| Nuveen High Income December 2018 Target Term Fund |
| Nuveen High Income November 2021 Target Term Fund |
| Nuveen High Income December 2019 Target Term Fund of Beneficial Interest |
| John Hancock Investors Trust |
| John Hancock Income Securities Trust |
| Nuveen High Income 2020 Target Term Fund of Beneficial Interest |
| Nuveen Mortgage Opportunity Term Fund |
| Nuveen Energy MLP Total Return Fund of Beneficial Interest |
| Nuveen All Cap Energy MLP Opportunities Fund of Beneficial Interest |
| Nuveen Multi-Market Income Fund (MA) |
| Nuveen Mortgage Opportunity Term Fund 2 of Beneficial Interest |
| Japan Smaller Capitalization Fund Inc |
| Nuveen Preferred & Income Opportunities Fund |
| Nuveen Preferred and Income Term Fund of Beneficial Interest |
| Nuveen Preferred & Income Securities Fund |
| Nuveen Preferred and Income 2022 Term Fund of Beneficial Interest |
| Nuveen Credit Strategies Income Fund Shares of Beneficial Interest |
| Nuveen Real Asset Income and Growth Fund of Beneficial Interest |
| JRjr33 Inc. |
| Nuveen Floating Rate Income Opportuntiy Fund Shares of Beneficial Interest |
| Nuveen Real Estate Income Fund of Beneficial Interest |
| Nuveen Short Duration Credit Opportunities Fund of Beneficial Interest |
| Jianpu Technology Inc. American depositary shares each two representing five Class A |
| Nuveen Tax-Advantaged Total Return Strategy Fund of Beneficial Interest |
| Nuveen Tax-Advantaged Dividend Growth Fund of Beneficial Interest |
| Kayne Anderson Energy Development Company |
| Korea Fund Inc. (The) |
| KKR Income Opportunities Fund |
| Klondex Mines Ltd. |
| Kayne Anderson Midstream Energy Fund Inc |
| Deutsche Multi-Market Income Trust Common Sshares of Beneficial Interest |
| Kindred Healthcare Inc. |
| Deutsche Strategic Municiple Income Trust of Beneficial Interest |
| Deutsche Strategic Income Trust Shares of Beneficial Interest |
| Deutsche Municiple Income Trust |
| Kayne Anderson Total Energy Return Fund Inc. |
| Kayne Anderson MLP Investment Company |
| Kyocera Corporation |
| Aberdeen Latin America Equity Fund Inc. |
| Liberty Oilfield Services Inc. Class A |
| Advent/Claymore Enhanced Growth & Income Fund of Beneficial Interest |
| Latin American Discovery Fund Inc. (The) |
| Cohen & Steers Limited Duration Preferred and Income Fund Inc. |
| Dreyfus Strategic Municipals Inc. |
| Level Brands Inc. |
| Leaf Group Ltd. |
| Legacy Acquisition Corp. Class A par value $0.0001 per share |
| Lazard Global Total Return and Income Fund |
| Loma Negra Compania Industrial Argentina Sociedad Anonima ADS |
| Lazard World Dividend & Income Fund Inc. |
| La Quinta Holdings Inc. |
| ProLung Inc - Ordinary Shares |
| Eaton Vance Massachusetts Municipal Bond Fund of Beneficial Interest $.01 par value |
| Pioneer Municipal High Income Advantage Trust of Beneficial Interest |
| Blackrock MuniYield California Quality Fund Inc. |
| Metropolitan Bank Holding Corp. |
| Medley Capital Corporation |
| Barings Corporate Investors |
| Madison Covered Call & Equity Strategy Fund |
| MFS Charter Income Trust |
| Blackrock MuniEnhanced Fund Inc |
| Macquarie First Trust Global |
| Blackrock MuniHoldings Investment Quality Fund of Beneficial Interest |
| MFS Municipal Income Trust |
| Blackrock MuniYield Investment Quality Fund of Beneficial Interest |
| MFS Special Value Trust |
| MFS Government Markets Income Trust |
| Macquarie Global Infrastructure Total Return Fund Inc. |
| Blackrock MuniHoldings Fund Inc. |
| BlackRock Massachusetts Tax-Exempt Trust |
| Western Asset Municipal High Income Fund Inc. |
| Pioneer Municipal High Income Trust of Beneficial Interest |
| Blackrock MuniHoldings New York Quality Fund Inc. |
| Cohen & Steers MLP Income and Energy Opportunity Fund Inc. |
| MFS Intermediate Income Trust |
| Eaton Vance Michigan Municipal Bond Fund of Beneficial Interest $.01 par value |
| Blackrock MuniYield Michigan Quality Fund Inc. |
| MainStay MacKay DefinedTerm Municipal Opportunities Fund |
| MFS Multimarket Income Trust |
| Western Asset Managed Municipals Fund Inc. |
| Eaton Vance Massachusetts Municipal Income Trust Shares of Beneficial Interest |
| Blackrock Muni New York Intermediate Duration Fund Inc |
| Menlo Therapeutics Inc. |
| Western Asset Municipal Partners Fund Inc. |
| Mosaic Acquisition Corp. Class A |
| Motus GI Holdings Inc. |
| Blackrock MuniYield Pennsylvania Quality Fund |
| Barings Participation Investors |
| Blackrock MuniYield Quality Fund II Inc. |
| Blackrock MuniYield Quality Fund Inc. |
| Morgan Stanley Emerging Markets Debt Fund Inc. |
| Morgan Stanley Emerging Markets Fund Inc. |
| Madison Strategic Sector Premium Fund of Beneficial Interest |
| MTech Acquisition Corp. |
| Western Asset Municipal Defined Opportunity Trust Inc |
| Blackrock MuniAssets Fund Inc |
| Blackrock MuniHoldings California Quality Fund Inc. |
| Mudrick Capital Acquisition Corporation |
| Blackrock MuniHoldings Quality Fund II Inc. |
| Blackrock MuniHoldings Fund II Inc. |
| Blackrock Muni Intermediate Duration Fund Inc |
| Blackrock MuniHoldings New Jersey Quality Fund Inc. |
| Blackrock MuniHoldings Quality Fund Inc |
| Blackrock MuniVest Fund Inc. |
| MV Oil Trust |
| Blackrock MuniVest Fund II Inc. |
| Mexico Equity and Income Fund Inc. (The) |
| Mexico Fund Inc. (The) |
| Blackrock MuniYield California Fund Inc. |
| Blackrock MuniYield Fund Inc. |
| Blackrock MuniYield Investment Fund |
| Blackrock MuniYield Quality Fund III Inc |
| Blackrock MuniYield New Jersey Fund Inc |
| Blackrock MuniYield New York Quality Fund Inc.Common Stock |
| Blackrock MuniYield Arizona Fund Inc. |
| Managed Duration Investment Grade Municipal Fund |
| Nuveen California Quality Municipal Income Fund |
| Nuveen Quality Municipal Income Fund |
| Nuveen New York Quality Municipal Income Fund |
| Nuveen Arizona Quality Municipal Income Fund |
| Nuveen Build America Bond Fund of Beneficial Interest |
| Nuveen Build America Bond Opportunity Fund of Beneficial Interest |
| Neuberger Berman Intermediate Municipal Fund Inc. |
| Neuberger Berman New York Intermediate Municipal Fund Inc. |
| Neuberger Berman California Intermediate Municipal Fund Inc. |
| Nuveen California Municipal Value Fund Inc. |
| Nuveen California Municipal Value Fund 2 of Beneficial Interest |
| AllianzGI Convertible & Income Fund |
| AllianzGI Convertible & Income Fund II of Beneficial Interest |
| Tortoise Energy Independence Fund Inc. |
| Enduro Royalty Trust Trust Units representing beneficial interest in the trust |
| Nuveen AMT-Free Quality Municipal Income Fund of Beneficial Interest Par Value $.01 |
| Nebula Acquisition Corporation |
| Nuveen Enhanced Municipal Value Fund of Beneficial Interest |
| AllianzGI NFJ Dividend Interest & Premium Strategy Fund |
| Nuveen Municipal 2021 Target Term Fund Fund |
| NexPoint Credit Strategies Fund |
| Neuberger Berman High Yield Strategies Fund |
| Nuveen Intermediate Duration Municipal Term Fund of Beneficial Interest |
| AllianzGI Equity & Convertible Income Fund |
| Nuveen Select Maturities Municipal Fund |
| Nine Energy Service Inc. |
| Nuveenn Intermediate Duration Quality Municipal Term Fund of Beneficial Interest |
| Nuveen New Jersey Municipal Value Fund of Beneficial Interest |
| Nuveen Georgia Quality Municipal Income Fund |
| Nuveen California AMT-Free Quality Municipal Income Fund |
| Nuveen Municipal Income Fund Inc. |
| Neuberger Berman MLP Income Fund Inc. |
| Nuveen Minnesota Quality Municipal Income Fund |
| Nuveen Massachusetts Quality Municipal Income Fund |
| Nuveen Maryland Quality Municipal Income Fund |
| Nuveen Municipal High Income Opportunity Fund $0.01 par value per share |
| Nuveen North Carolina Quality Municipal Income Fund |
| Nuveen New York Municipal Value Fund Inc. |
| ProShares S&P 500 Dividend Aristocrats |
| Nuveen Missouri Quality Municipal Income Fund |
| Nuveen Pennsylvania Municipal Value Fund of Beneficial Interest |
| Nuveen Virginia Quality Municipal Income Fund |
| Nuveen Pennsylvania Quality Municipal Income Fund |
| Nuveen New York AMT-Free Quality Municipal Income Fund |
| Neuberger Berman Real Estate Securities Income Fund Inc. |
| Nustar GP Holdings LLC Units |
| Nuveen Senior Income Fund |
| Nationstar Mortgage Holdings Inc. |
| Nuveen Connecticut Quality Municipal Income Fund |
| Tortoise MLP Fund Inc. |
| Nutrien Ltd. |
| Nuveen Texas Quality Municipal Income Fund |
| Nuveen Michigan Quality Municipal Income Fund |
| Nuveen Ohio Quality Municipal Income Fund |
| Nuveen Municipal Value Fund Inc. |
| Nuveen AMT-Free Municipal Value Fund |
| Nuveen AMT-Free Municipal Credit Income Fund |
| Nuveen California Select Tax-Free Income Portfolio |
| Nuveen New Jersey Qualified Municipal Fund |
| Nuveen New York Select Tax-Free Income Portfolio |
| Nuveen Select Tax Free Income Portfolio |
| Nuveen Select Tax Free Income Portfolio II |
| Nuveen Select Tax Free Income Portfolio III |
| Eaton Vance New York Municipal Bond Fund II of Beneficial Interest $.01 par value |
| NRG Yield Inc. Class C |
| NRG Yield Inc. Class A |
| Nuveen New York Municipal Value Fund 2 of Beneficial Interest |
| Nuveen Municipal Credit Income Fund |
| Orbital ATK Inc. |
| Five Oaks Investment Corp. |
| Invesco Municipal Income Opportunities Trust |
| One Madison Corporation Class A |
| OM Asset Management plc |
| Orient Paper Inc. |
| RiverNorth/DoubleLine Strategic Opportunity Fund Inc. |
| One Stop Systems Inc. |
| PagSeguro Digital Ltd. Class A |
| Western Asset Income Fund |
| Verifone Systems Inc. |
| Putnam High Income Securities Fund |
| PIMCO Dynamic Credit and Mortgage Income Fund of Beneficial Interest |
| Pimco California Municipal Income Fund II of Beneficial Interest |
| PCM Fund Inc. |
| Pimco Corporate & Income Strategy Fund |
| PIMCO California Municipal Income Fund |
| PIMCO Dynamic Income Fund |
| John Hancock Premium Dividend Fund |
| Adams Natural Resources Fund Inc. |
| Pinnacle Foods Inc. |
| Flaherty & Crumrine Preferred Income Fund Incorporated |
| PIMCO Income Strategy Fund Shares of Beneficial Interest |
| PIMCO Income Strategy Fund II |
| Flaherty & Crumrine Preferred Income Opportunity Fund Incorporated |
| Pengrowth Energy Corporation |
| Pimco Global Stocksplus & Income Fund StocksPlus & Income Fund of Beneficial Interest |
| Principal Real Estate Income Fund of Beneficial Interest |
| Pioneer Floating Rate Trust Shares of Beneficial Interest |
| Pimco High Income Fund |
| Pioneer High Income Trust of Beneficial Interest |
| Sprott Physical Gold Trust ETV |
| Putnam Master Intermediate Income Trust |
| Pimco Income Opportunity Fund of Beneficial Interest |
| PIMCO Municipal Income Fund |
| Pimco Municipal Income Fund II of Beneficial Interest |
| Putnam Managed Municipal Income Trust |
| Putnam Municipal Opportunities Trust |
| PIMCO Municipal Income Fund III of Beneficial Interest |
| PIMCO New York Municipal Income Fund |
| Pimco New York Municipal Income Fund II of Beneficial Interest |
| PPDAI Group Inc. American Depositary Shares each representing five Class A |
| Voya Prime Rate Trust Shares of Beneficial Interest |
| Putnam Premier Income Trust |
| PetroQuest Energy Inc. |
| Cohen & Steers Select Preferred and Income Fund Inc. |
| Sprott Physical Silver Trust ETV |
| Pimco Corporate & Income Opportunity Fund |
| PIMCO New York Municipal Income Fund III of Beneficial Interest |
| PIMCO California Municipal Income Fund III of Beneficial Interest |
| Petrobras Argentina S.A. ADS |
| Quintana Energy Services Inc. |
| Brookfield Real Assets Income Fund Inc. |
| RAIT Financial Trust of Beneficial Interest |
| RENN Fund Inc |
| PIMCO Strategic Income Fund Inc. |
| Arcus Biosciences Inc. |
| Cohen & Steers Total Return Realty Fund Inc. |
| Royce Global Value Trust Inc. |
| RMR Real Estate Income Fund (MD) |
| RiverNorth Opportunities Fund Inc. |
| Rice Midstream Partners LP representing limited partner interests |
| Royce Micro-Cap Trust Inc. |
| Cohen & Steers Reit and Preferred Income Fund Inc |
| Cohen & Steers Quality Income Realty Fund Inc |
| Resource Capital Corp. |
| RSP Permian Inc. |
| Royce Value Trust Inc. |
| RELM Wireless Corporation |
| Regalwood Global Energy Ltd. Class A |
| SailPoint Technologies Holdings Inc. |
| Western Asset Intermediate Muni Fund Inc |
| LMP Capital and Income Fund Inc. |
| Columbia India Small Cap |
| SandRidge Mississippian Trust II representing Beneficial Interests |
| Seadrill Limited (Bermuda) |
| SendGrid Inc. |
| Sprott Gold Miners |
| Aberdeen Singapore Fund Inc. |
| Stone Energy Corporation |
| Sutherland Asset Management Corporation |
| Solid Biosciences Inc. |
| Sol-Gel Technologies Ltd. |
| Salient Midstream of Beneficial Interest |
| Sogou Inc. American Depositary Shares each representing one Class A |
| Source Capital Inc. |
| Special Opportunities Fund Inc |
| Sprott Physical Platinum and Palladium Trust |
| Nuveen S&P 500 Dynamic Overwrite Fund |
| Cushing Energy Income Fund of Beneficial Interest |
| Cushing MLP & Infrastructure Total Return Fund |
| SSLJ.com Limited |
| Extended Stay America Inc. |
| Columbia Seligman Premium Technology Growth Fund Inc |
| Swiss Helvetia Fund Inc. (The) |
| Cushing Renaissance Fund (The) of Beneficial Interest |
| Triangle Capital Corporation |
| Templeton Dragon Fund Inc. |
| Tallgrass Energy GP LP Class A Shares |
| Templeton Emerging Markets Income Fund Inc. |
| Tallgrass Energy Partners LP representing limited partner interests |
| Tekla Healthcare Opportunies Fund Shares of Beneficial Interest |
| Tekla World Healthcare Fund Shares of Beneficial Interest |
| Western Asset Corporate Loan Fund Inc |
| resTORbio Inc. |
| TPG Pace Energy Holdings Corp. Class A |
| TriplePoint Venture Growth BDC Corp. |
| Tortoise Power and Energy Infrastructure Fund Inc |
| TCW Strategic Income Fund Inc. |
| THL Credit Senior Loan Fund of Beneficial Interest |
| Tortoise Pipeline & Energy Fund Inc. |
| Taiwan Fund Inc. (The) |
| Tri Continental Corporation |
| Tortoise Energy Infrastructure Corporation |
| Liberty All-Star Equity Fund |
| iShares Core U.S. REIT |
| Cohen & Steers Infrastructure Fund Inc |
| Reaves Utility Income Fund of Beneficial Interest |
| Invesco Bond Fund |
| Delaware Investments Colorado Municipal Income Fund Inc |
| Vina Concha Y Toro |
| Victory Capital Holdings Inc. |
| Invesco California Value Municipal Income Trust |
| Delaware Investments National Municipal Income Fund |
| Virtus Global Multi-Sector Income Fund of Beneficial Interest |
| Invesco Trust for Investment Grade Municipals (DE) |
| Vicon Industries Inc |
| Invesco Advantage Municipal Income Trust II of Beneficial Interest (DE) |
| Invesco Municipal Trust |
| Invesco High Income Trust II |
| Delaware Investments Minnesota Municipal Income Fund II Inc. |
| Invesco Municipal Opportunity Trust |
| Invesco Pennsylvania Value Municipal Income Trust (DE) |
| Invesco Credit Opportunities Fund of Beneficial Interest |
| Invesco Trust for Investment Grade New York Municipals |
| Invesco Senior Income Trust (DE) |
| Western Asset Bond Fund Share of Beneficial Interest |
| Willbros Group Inc. (DE) |
| WGL Holdings IncCommon Stock |
| Cactus Inc. Class A |
| Western Asset/Claymore Inflation-Linked Securities & Income Fund of Beneficial Interest |
| Western Asset/Claymore Inflation-Linked Opportunities & Income Fund of Beneficial Interest |
| Westmoreland Resource Partners LP representing Limited Partner Interests |
| Williams Partners L.P. Representing Limited Partner Interests |
| Westar Energy Inc. |
| XAI Octagon Floating Rate & Alternative Income Term Trust of Beneficial Interest |
| Yingli Green Energy Holding Company Limited ADR |
| Virtus Total Return Fund Inc. |
| Virtus Global Dividend & Income Fund Inc. |
| China Zenix Auto International Limited American Depositary Shares each representing four. |
| Ageas SA (AGESY) |
| Energy XXI Gulf Coast, Inc. (EGC) |
| Barratt Developments PLC Unsponsored ADR (BTDPY) |
| Aberdeen Emerging Markets Equity Income Fund Inc. |
| AGM Group Holdings Inc. |
| Senmiao Technology Limited |
| Apergy Corporation |
| ASLAN Pharmaceuticals Limited |
| Business First Bancshares Inc. |
| Biglari Holdings Inc. Class A |
| Bilibili Inc. |
| REX BKCM |
| Carbon Black Inc. |
| Ceridian HCM Holding Inc. |
| Columbia Financial Inc. |
| CLPS Incorporation |
| Dropbox Inc |
| DFB Healthcare Acquisitions Corp. |
| Golden Bull Limited |
| DocuSign Inc. |
| GrafTech International Ltd. |
| AXA Equitable Holdings Inc. |
| Evelo Biosciences Inc. |
| EVO Payments Inc. |
| Homology Medicines Inc. |
| GreenTree Hospitality Group Ltd. American depositary shares each representing one Class A |
| Genprex Inc. |
| Goosehead Insurance Inc. |
| GreenSky Inc. |
| HUYA Inc. American depositary shares each representing one Class A |
| Inspire Medical Systems Inc. |
| iQIYI Inc. |
| Iterum Therapeutics plc |
| Jerash Holdings (US) Inc. |
| Kiniksa Pharmaceuticals Ltd. |
| nLIGHT Inc. |
| Lazydays Holdings Inc. |
| Level One Bancorp Inc. |
| Leo Holdings Corp. Class A |
| Union Acquisition Corp. |
| LiveXLive Media |
| MorphoSys AG |
| nVent Electric plc |
| Origin Bancorp Inc. |
| OneSmart International Education Group Limited ADS |
| Opes Acquisition Corp. |
| Pure Acquisition Corp. |
| PermRock Royalty Trust Trust Units |
| Pluralsight Inc. |
| Pivotal Software Inc. Class A |
| Red Violet Inc. |
| Rafael Holdings Inc. Class B |
| Construction Partners Inc. |
| Smartsheet Inc. Class A |
| Spotify Technology S.A. |
| Scholar Rock Holding Corporation |
| Sunlands Online Education Group American Depositary Shares representing Class A |
| Spirit of Texas Bancshares Inc. |
| Surface Oncology Inc. |
| Tiberius Acquisition Corporation |
| TriState Capital Holdings Inc. Dep Shs Rep 1/40th Int 6.75% Srs A Non-Cum Pfd |
| Unity Biotechnology Inc. |
| Unum Therapeutics Inc. |
| Xspand Products Lab Inc. |
| Zscaler Inc. |
| Zuora Inc. Class A |
| WYNDHAM HOT&RES (WH) |