13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-13, with 5,474 holding rows worth $474,638,020,000.
- Accession
- 0000019617-18-000013
- Filer
- CIK 19617
- Filed
- 2018-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A combination report, 20,409 entries on the cover page, a total value of $474,638,020,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $474,638,020,000 with VALUE read as thousands by filing date, 13F file number 028-00694. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRussell Investments Group, Ltd.028-17598
- included managerJ.P. Morgan Trust Co of Delaware028-12125
- included managerJPMorgan Chase Bank, N.A.028-00123
- included managerJ.P. Morgan Investment Management Inc.028-11937
- included managerJ.P. Morgan Securities LLC028-11925
- included managerJ.P. Morgan Securities plc028-12006
- included managerJ.P. Morgan Whitefriars LLC028-12007
- included managerJPMorgan Asset Management (UK) Ltd028-11947
- included managerJPMorgan Asset Management (Canada) Inc.028-14957
- included managerJ.P. Morgan Private Investments Inc.028-16931
- included managerIsolieren Holding Corp028-17024
- included managerJ.P. Morgan (Suisse) SA028-17025
- included managerJ.P. Morgan GT Corp028-17027
- included managerJF Asset Management Ltd028-17029
- included managerJPMorgan Asset Management (Japan) Ltd028-14958
- included managerJPMorgan Asset Management (Singapore) Ltd028-17030
- included managerJPMorgan Asset Management (Taiwan) Ltd028-17031
- included managerJPMorgan Funds (Asia) Ltd028-17032
- included managerMLP Investment Holdings, Inc.028-17033
- included managerJ.P. Morgan International Bank Ltd028-17034
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 2,234 | $39,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,560 | $38,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,053 | $38,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 4,340 | $38,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 4,808 | $38,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,283 | $38,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 5,913 | $38,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 3,342 | $38,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 4,631 | $38,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 1,496 | $38,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 14,354 | $38,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,463 | $37,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,176 | $37,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,958 | $37,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,071 | $37,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 6,996 | $37,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 32,241 | $37,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,355 | $37,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 1,108 | $37,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 883 | $36,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 2,600 | $36,000 | thousands by filing date | |
| FREEPORT MCMORAN INC | 35671D907 | CALL | 1,900 | $36,000 | thousands by filing date | call |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,028 | $36,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,301 | $36,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 5,137 | $36,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 41,888 | $36,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,424 | $36,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,390 | $36,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,980 | $36,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 2,274 | $36,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 1,591 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 628 | $35,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 1,000 | $35,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,369 | $35,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,128 | $35,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 79 | $35,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,500 | $35,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 4,767 | $35,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,586 | $35,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,500 | $34,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 1,546 | $34,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,585 | $34,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 10,650 | $34,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 3,398 | $34,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,114 | $34,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 4,374 | $34,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 6,099 | $34,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 5,467 | $34,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 599 | $34,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 5,140 | $34,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 10,080 | $34,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 5,110 | $33,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 1,452 | $33,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 777 | $33,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,669 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 578 | $33,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 816 | $33,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 4,435 | $33,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 6,050 | $33,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 856 | $33,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 3,928 | $32,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 5,410 | $32,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,876 | $32,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,603 | $32,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 19,481 | $32,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $32,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,254 | $32,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 22,679 | $32,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,333 | $32,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,177 | $32,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 2,516 | $32,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 789 | $32,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 8,944 | $32,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 4,328 | $32,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 2,259 | $31,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 1,566 | $31,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,704 | $31,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 3,692 | $31,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,006 | $31,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,204 | $31,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 3,036 | $31,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 2,817 | $31,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 11,665 | $31,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 2,200 | $31,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 10,369 | $31,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,700 | $31,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 28,825 | $31,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 4,461 | $31,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 9,061 | $31,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 1,930 | $30,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 2,482 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,291 | $30,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,920 | $30,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 1,200 | $30,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 22,419 | $30,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 9,880 | $30,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 990 | $29,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 6,994 | $29,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,378 | $29,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,754 | $29,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 22,133 | $29,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 30,951 | $29,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 2,000 | $29,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 5,768 | $29,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 3,000 | $28,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $28,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 7,717 | $28,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,296 | $28,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 7,109 | $28,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,559 | $28,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 22,658 | $28,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 3,737 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051473 | XTRCK BRCLY TRSY | 578 | $28,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 850 | $27,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,823 | $27,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 1,040 | $27,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,828 | $27,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,915 | $27,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 566 | $27,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 7,849 | $27,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 20,817 | $27,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 18,200 | $27,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,788 | $27,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 8,050 | $26,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,250 | $26,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 3,000 | $26,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 7,650 | $26,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 3,121 | $26,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 2,000 | $26,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 1,500 | $26,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,626 | $26,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 5,672 | $26,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 5,295 | $26,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,232 | $26,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 1,984 | $25,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,540 | $25,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,448 | $25,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 9,311 | $25,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 935 | $25,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,968 | $25,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,596 | $25,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 11,043 | $25,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $25,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES LTD | 57778L103 | COM | 387 | $25,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 950 | $25,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 367 | $24,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,896 | $24,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 974 | $24,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 4,339 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 19,775 | $24,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,115 | $24,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 2,082 | $24,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 2,453 | $24,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 1,493 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 500 | $24,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 2,039 | $24,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 981 | $23,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,882 | $23,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 1,727 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 250 | $23,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,574 | $23,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 19,118 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 675 | $23,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 439 | $23,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 671 | $23,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 784 | $23,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 13,465 | $23,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 8,027 | $23,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 2,568 | $22,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 818 | $22,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 8,095 | $22,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,763 | $22,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,477 | $22,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,688 | $22,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 1,171 | $22,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 2,227 | $22,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 21,992 | $22,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,000 | $21,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $21,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 656 | $21,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,100 | $21,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 3,223 | $21,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 3,655 | $21,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 250 | $21,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 8,931 | $21,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 507 | $20,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 672 | $20,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,190 | $20,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 3,100 | $20,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 8,479 | $20,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 14 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 168 | $20,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,401 | $20,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 13,961 | $20,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 735 | $20,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 3,164 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 300 | $19,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 8,307 | $19,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 750 | $19,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,000 | $19,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 12,128 | $19,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,211 | $19,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 17,431 | $19,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 4,380 | $19,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 587 | $18,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,517 | $18,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 6,000 | $18,000 | thousands by filing date | principal |
| CBTX INC | 12481V104 | COM | 601 | $18,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 399 | $17,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 7,279 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 378 | $17,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 5,400 | $17,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 400 | $17,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,353 | $17,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 556 | $17,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 158 | $17,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 1,486 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,000 | $17,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 5,300 | $17,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 448 | $16,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 4,169 | $16,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,625 | $16,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 719 | $16,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 210 | $16,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,482 | $16,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 444 | $15,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 617 | $15,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 255 | $15,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 1,200 | $15,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 744 | $15,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,301 | $15,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,700 | $15,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 651 | $15,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 1,773 | $15,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 489 | $15,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 3,104 | $15,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 250 | $15,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 6,977 | $15,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 956 | $14,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 90 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 422 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 75 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 200 | $14,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 5,987 | $14,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 38,939 | $14,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 16,480 | $14,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,056 | $14,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 9,353 | $14,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 23,868 | $14,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 6,381 | $14,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 4,940 | $14,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 763 | $13,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,943 | $13,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 355 | $13,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 195 | $13,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,186 | $13,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 3,313 | $13,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 1,674 | $13,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 1,122 | $13,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 1,929 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 95 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 253 | $12,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,279 | $12,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 866 | $12,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 512 | $12,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 10,444 | $12,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 500 | $12,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 6,989 | $12,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 3,873 | $12,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 920 | $12,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 3,662 | $12,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 235 | $11,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 601 | $11,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 363 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 150 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 212 | $11,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 350 | $11,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 7,117 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 469 | $11,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,416 | $11,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 7,500 | $11,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 8,099 | $11,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,011 | $11,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 1,401 | $11,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 72 | $10,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 100 | $10,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 310 | $10,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 259 | $10,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,012 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 408 | $10,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 3,018 | $10,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 1,163 | $9,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 591 | $9,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 137 | $9,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 131 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 50 | $9,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 194 | $9,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,569 | $9,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 529 | $9,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 718 | $9,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,312 | $9,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 2,400 | $9,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 700 | $9,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 847 | $9,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 5,002 | $9,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 645 | $9,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 117 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 500 | $8,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 847 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,004 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 400 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 118 | $8,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 200 | $8,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 600 | $8,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 3,635 | $8,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 7,961 | $8,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 269 | $8,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 4,000 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 104 | $8,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 225 | $7,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,630 | $7,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 1,400 | $7,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 1,857 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,075 | $7,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 2,133 | $7,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 11,510 | $7,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 6,131 | $7,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,381 | $6,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 934 | $6,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 1,107 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,429 | $6,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 670 | $6,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 2,202 | $6,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 1,184 | $6,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 6,844 | $6,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 3,239 | $6,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 150 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 744 | $6,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 250 | $6,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 400 | $6,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 900 | $6,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 362 | $6,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,187 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 100 | $5,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 2,187 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 330 | $5,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 237 | $5,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 456 | $5,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,992 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 250 | $5,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 200 | $5,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 870 | $5,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 1,717 | $5,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,050 | $5,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 3,700 | $5,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 627 | $5,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 114 | $5,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 196 | $4,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 256 | $4,000 | thousands by filing date | |
| INTERXION HOLDING N.V | N47279109 | SHS | 66 | $4,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 125 | $4,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 469 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 696 | $4,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 389 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,548 | $4,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 543 | $4,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 200 | $4,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 873 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,000 | $4,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 146 | $4,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 4,245 | $4,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 779 | $4,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 400 | $3,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 400 | $3,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 873 | $3,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 345 | $3,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 300 | $3,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 54 | $3,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 687 | $3,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 514 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 60 | $3,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 145 | $3,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 920 | $3,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 2,200 | $3,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 626 | $3,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 2,100 | $3,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 346 | $3,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 21 | $2,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 18 | $2,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 32 | $2,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 225 | $2,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 69 | $2,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 122 | $2,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 235 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 45 | $2,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 62 | $2,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 867 | $2,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 2,350 | $2,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 188 | $2,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 353 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 30 | $2,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,117 | $2,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 900 | $2,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 509 | $2,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 1,200 | $2,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 230 | $2,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 896 | $2,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 15 | $1,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 147 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 19 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 20 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 215 | $1,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 546 | $1,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 600 | $1,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 744 | $1,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 543 | $1,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 2,500 | $1,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 55 | $1,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 110 | $1,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 103 | $1,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 1,350 | $1,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 794 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 500 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 89,187 | $1,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 500 | $1,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 242 | $1,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 445 | $1,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 136 | $1,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 342 | $1,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 30 | $1,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 144 | $1,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 155 | $1,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 20,201 | $1,000 | thousands by filing date | principal |
| CHECK CAP LTD | M2361E112 | SHS | 1,000 | $1,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CRITEO S A SPONS ADS | 226718104 | ADR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERTEX ENERGY INC | 92534K107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CATASYS INC | 149049504 | COM PAR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 187 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R125 | WARR | 203 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 2 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238309 | COM | 811 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLIGENIX INC | 834223307 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 3,005 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FC GLOBAL RLTY INC | 30258F102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PFENEX INC | 717071104 | COM | 155 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOSAIC ACQUISITION CORP | G62848125 | *W EXP 10/23/202 | 200 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 97 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 1,738 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 25,303 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| GULFMARK OFFSHORE INC | 402629117 | *W EXP 11/14/202 | 325 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 53 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 1,205 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| TARGACEPT INC | 87611RAA6 | NOTE 2/1 | 105 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-18-000013 | this filing | 2018-02-13 | acceptance time not in the bulk data set |