13F-HR filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-10, with 5,418 holding rows worth $466,549,718,000.
- Accession
- 0000019617-18-000094
- Filer
- CIK 19617
- Filed
- 2018-05-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A combination report, 20,822 entries on the cover page, a total value of $466,549,718,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $466,549,718,000 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 |
|---|---|---|---|---|---|---|
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 6,986 | $29,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 666 | $29,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,611 | $29,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,138 | $29,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 936 | $29,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 2,557 | $29,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,972 | $29,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,863 | $29,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 787 | $29,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 736 | $29,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 1,384 | $29,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 1,383 | $29,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 1,362 | $29,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,613 | $29,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 985 | $29,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 2,397 | $28,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 4,500 | $28,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 759 | $28,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 2,622 | $28,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 2,920 | $28,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 20,523 | $28,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,486 | $28,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 2,259 | $27,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 3,130 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,291 | $27,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 5,392 | $27,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 1,299 | $27,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 21,646 | $27,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 5,414 | $27,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,560 | $27,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 900 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 410 | $26,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,745 | $26,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,254 | $26,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,478 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 1,040 | $26,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 526 | $26,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,786 | $26,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,450 | $26,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 2,000 | $26,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 1,539 | $26,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 1,393 | $26,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 3,658 | $25,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 465 | $25,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 363 | $25,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,836 | $25,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,341 | $25,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 974 | $25,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 5,125 | $25,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 1,795 | $25,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,383 | $25,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,039 | $25,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 2,912 | $25,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 4,796 | $25,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 3,489 | $25,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 5,384 | $25,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 3,281 | $25,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 4,540 | $25,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 950 | $25,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 656 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 485 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 465 | $24,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 2,636 | $24,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 35,836 | $24,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 5,395 | $24,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 15,988 | $24,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 500 | $24,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,200 | $24,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 6,937 | $24,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,078 | $24,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,540 | $23,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,664 | $23,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 2,975 | $23,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 500 | $23,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,604 | $23,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 8,663 | $23,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 556 | $23,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 900 | $23,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 21,870 | $23,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 1,437 | $23,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,651 | $23,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 7,939 | $22,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 340 | $22,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 250 | $22,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,763 | $22,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $22,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,693 | $22,000 | thousands by filing date | |
| OMEROS CORP | 682143952 | COM | 2,000 | $22,000 | thousands by filing date | put |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 903 | $22,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 5,742 | $22,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,574 | $22,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 1,094 | $22,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 2,153 | $22,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 18,039 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 389 | $22,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 625 | $22,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 3,890 | $21,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 21,250 | $21,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,766 | $21,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 2,295 | $20,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 519 | $20,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $20,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 3,494 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 168 | $20,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 2,049 | $20,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 3,275 | $20,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,864 | $20,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 979 | $20,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,299 | $20,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,000 | $19,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 1,000 | $19,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 1,311 | $19,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 3,874 | $19,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 2,753 | $19,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 730 | $19,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 132 | $19,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,937 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 727 | $18,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,635 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 750 | $18,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,035 | $18,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 1,484 | $18,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 1,218 | $17,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 323 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 300 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 567 | $17,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 1,100 | $17,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 626 | $17,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 1,001 | $17,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,448 | $17,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 215 | $17,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 7,994 | $17,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,100 | $17,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 26,623 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 18,453 | $17,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 561 | $17,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 8,003 | $17,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 1,000 | $16,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 400 | $16,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 1,099 | $16,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,751 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 200 | $16,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,210 | $16,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 363 | $15,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 3,939 | $15,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,000 | $15,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P953 | COM | 500 | $15,000 | thousands by filing date | put |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 595 | $15,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 430 | $15,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,835 | $15,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 5,000 | $15,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 10,148 | $15,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 145 | $15,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 4,081 | $15,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 533 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 75 | $14,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 1,200 | $14,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 2,382 | $14,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 744 | $14,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 10,444 | $14,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,382 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 16,608 | $14,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 311 | $14,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 1,380 | $14,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 1,815 | $13,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 920 | $13,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 11,696 | $13,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 961 | $13,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 7,577 | $13,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 3,645 | $13,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 16,564 | $13,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 763 | $12,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 4,582 | $12,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 4,014 | $12,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 685 | $12,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 95 | $11,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,741 | $11,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 960 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 212 | $11,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 187 | $11,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 7,918 | $11,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 1,178 | $11,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 982 | $11,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 3,617 | $11,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 4,475 | $11,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 465 | $10,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,193 | $10,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 298 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 155 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 150 | $10,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 350 | $10,000 | thousands by filing date | |
| GERON CORP | 374163953 | COM | 2,300 | $10,000 | thousands by filing date | put |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,424 | $10,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,416 | $10,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 4,000 | $10,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,198 | $10,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 135 | $10,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 485 | $10,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 234 | $10,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 139 | $9,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 439 | $9,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 555 | $9,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 1,017 | $9,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,019 | $9,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 2,384 | $9,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 194 | $9,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 3,000 | $9,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 641 | $9,000 | thousands by filing date | |
| GENERAL MILLS INC | 370334954 | PUT | 200 | $9,000 | thousands by filing date | put |
| Veru Inc | 92536C103 | Common Stock | 5,000 | $9,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 527 | $9,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 245 | $9,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,220 | $9,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 29,391 | $9,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F903 | CALL | 400 | $9,000 | thousands by filing date | call |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 1,074 | $9,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 5,956 | $9,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 8,000 | $9,000 | thousands by filing date | principal |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 2,514 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 75 | $8,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 798 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 400 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 50 | $8,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 497 | $8,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 9,993 | $8,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 138 | $8,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 2,343 | $8,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 300 | $8,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 300 | $8,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 293 | $8,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 995 | $8,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 5,404 | $8,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 596 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 104 | $8,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 3,048 | $8,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 2,778 | $8,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 700 | $7,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 600 | $7,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 667 | $7,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 329 | $7,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 1,124 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 130 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 167 | $7,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 250 | $7,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 8,000 | $7,000 | thousands by filing date | principal |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 1,138 | $7,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 52 | $6,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 536 | $6,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 131 | $6,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 334 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 314 | $6,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 946 | $6,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,365 | $6,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 1,433 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,584 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 183 | $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 | 2,304 | $6,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 3,908 | $6,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 355 | $6,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,075 | $6,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 3,072 | $6,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 150 | $6,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 250 | $6,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 883 | $6,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 400 | $6,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,104 | $6,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 683 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 43 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 252 | $5,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 200 | $5,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 7,324 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 219 | $5,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 759 | $5,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,800 | $5,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 350 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 275 | $4,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 596 | $4,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 221 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 154 | $4,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 100 | $4,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 605 | $4,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 82 | $4,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 389 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,000 | $4,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 194 | $3,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 486 | $3,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 430 | $3,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 928 | $3,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 1,000 | $3,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 508 | $3,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,000 | $3,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 3,875 | $3,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 21,470 | $3,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 295 | $3,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 3,515 | $3,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 1,418 | $3,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 896 | $3,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 15,303 | $3,000 | thousands by filing date | principal |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 92 | $2,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,000 | $2,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 96 | $2,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 291 | $2,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 110 | $2,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 200 | $2,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 36 | $2,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 146 | $2,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 255 | $2,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 812 | $2,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 407 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 69 | $2,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 225 | $2,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 400 | $2,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 87 | $2,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 164 | $2,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 277 | $2,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 200 | $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 | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 3,000 | $2,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,677 | $2,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 303 | $2,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 744 | $2,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 270 | $2,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 543 | $2,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,000 | $2,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 144 | $2,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 764 | $2,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 1,350 | $2,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,117 | $2,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 300 | $2,000 | thousands by filing date | |
| DITECH HLDG CORP | 25501G105 | COM | 201 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 401 | $2,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 10,201 | $2,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 147 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 24 | $1,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 23 | $1,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 18 | $1,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 71 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 30 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 19 | $1,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 220 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 215 | $1,000 | thousands by filing date | |
| MATTEL INC | 577081952 | PUT | 100 | $1,000 | thousands by filing date | put |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,800 | $1,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 600 | $1,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 358 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 187 | $1,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R125 | WARR | 203 | $1,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 26 | $1,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 2,500 | $1,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 153 | $1,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 10 | $1,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 55 | $1,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 794 | $1,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 408 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 89,187 | $1,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 1,000 | $1,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 500 | $1,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 45 | $1,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 509 | $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 | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 1,200 | $1,000 | thousands by filing date | |
| CHENIERE ENERGY INC | U16344AB6 | DEBT 4.875% 5/2 | 788 | $1,000 | thousands by filing date | principal |
| GULFMARK OFFSHORE INC | 402629505 | COM | 30 | $1,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y114 | W EXP 02/02/202 | 900 | $1,000 | thousands by filing date | principal |
| ALTA MESA RES INC 3 | 02133L117 | COM | 800 | $1,000 | thousands by filing date | principal |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 1,000 | $1,000 | thousands by filing date | principal |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 18 | $1,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 155 | $1,000 | thousands by filing date | principal |
| VanEck Merk Gold Trust | 921078101 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA SHIPPING INC | Y2066G104 | COM | 100 | $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. |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IRIDEX CORP | 462684101 | COM | 69 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 61 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Hugoton Royalty Trust | 444717102 | COM | 546 | $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. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 2 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 46 | $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. |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 89 | $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. |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 1,025 | $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. |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FC GLOBAL RLTY INC | 30258F102 | COM | 161 | $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. |
| INSPIREMD INC | 45779A861 | COM PAR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHIASMA INC | 16706W102 | COM | 144 | $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. |
| Gevo Inc stock | 374396307 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 174 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KAYNE ANDERSON ACQUISITION | 48661U110 | *W EXP 06/30/202 | 500 | $0 | thousands by filing date | principalValue 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. |
| CONSTELLATION ALPHA CAP CORP | G2379F116 | *W EXP 03/23/202 | 16,200 | $0 | thousands by filing date | principalValue 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. |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 739 | $0 | thousands by filing date | Value 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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-18-000094 | this filing | 2018-05-10 | acceptance time not in the bulk data set |