13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-12, with 6,946 holding rows worth $288,503,556,000.
- Accession
- 0000895421-15-000334
- Filer
- CIK 895421
- Filed
- 2015-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 24,396 entries on the cover page, a total value of $288,503,556,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $288,503,556,000 with VALUE read as thousands by filing date, 13F file number 028-03432. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerMorgan Stanley (Switzerland ) AG028-11352
- included managerMORGAN STANLEY & CO INTERNATIONAL PLC028-04312
- included managerMORGAN STANLEY & CO. LLC028-11873
- included managerMorgan Stanley Canada LTD028-13197
- included managerMorgan Stanley Capital Services LLC028-11865
- included managerMorgan Stanley Equity Services INC028-12963
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT CO028-11366
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT INC028-11866
- included managerMorgan Stanley Investment Management LTD028-11867
- included managerMorgan Stanley Private Bank, National Association028-14586
- included managerMORGAN STANLEY SMITH BARNEY LLC028-13935
- included managerMorgan Stanley Strategic Investments, Inc028-12509
- included managerMorgan Stanley Uruguay Ltda.028-11533
- included managerMORGAN STANLEY AIP GP LP028-14710
- included managerFundlogic Sas028-15873
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 |
|---|---|---|---|---|---|---|
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 2,312 | $34,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 962 | $34,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,829 | $33,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 5,626 | $33,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,580 | $33,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 2,819 | $33,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,508 | $33,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 3,883 | $33,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 27,000 | $33,000 | thousands by filing date | principal |
| AUDIOCODES LTD | M15342104 | ORD | 9,714 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 585 | $32,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 21,000 | $32,000 | thousands by filing date | principal |
| CIFC CORP | 12547R105 | COM | 4,069 | $32,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 40,000 | $32,000 | thousands by filing date | principal |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 22,280 | $32,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 7,686 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 1,298 | $32,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,621 | $31,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 44,131 | $31,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 32,713 | $31,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 6,952 | $31,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 12,873 | $31,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 2,832 | $30,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,577 | $30,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 9,400 | $30,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,494 | $30,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,913 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,511 | $30,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,935 | $30,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 1,724 | $30,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 5,586 | $30,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 17,238 | $30,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 790 | $30,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 4,456 | $30,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 1,660 | $29,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 5,746 | $29,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,471 | $29,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 2,708 | $29,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 16,938 | $29,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 13,841 | $29,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 1,430 | $28,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 30,298 | $28,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 24,000 | $28,000 | thousands by filing date | principal |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 24,025 | $28,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 21,644 | $28,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 10,939 | $28,000 | thousands by filing date | |
| MEDICIS PHARMACEUTICAL | 584690AC5 | NOTE 1.375% 6/0 | 26,000 | $28,000 | thousands by filing date | principal |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 32,000 | $28,000 | thousands by filing date | principal |
| CARE COM INC | 141633107 | COM | 4,747 | $28,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 3,970 | $28,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 80,478 | $27,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 2,669 | $27,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 1,432 | $27,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,147 | $27,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 3,879 | $27,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 24,376 | $27,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 565 | $27,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 3,904 | $27,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,800 | $27,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 873 | $27,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 7,028 | $27,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,537 | $26,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,522 | $26,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $26,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 9,897 | $26,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 1,604 | $26,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 17,984 | $26,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 14,647 | $26,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 1,323 | $26,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 16,360 | $26,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 22,000 | $26,000 | thousands by filing date | principal |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 2,539 | $26,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 2,452 | $26,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 7,202 | $26,000 | thousands by filing date | |
| ISHARES TR | 46429B374 | ALCO ASIA INFO | 750 | $26,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 500 | $26,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,381 | $25,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 4,111 | $25,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 3,300 | $25,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,511 | $25,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 2,105 | $25,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 20,000 | $25,000 | thousands by filing date | principal |
| NEONODE INC | 64051M402 | COM NEW | 8,648 | $25,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 24,000 | $25,000 | thousands by filing date | principal |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 4,595 | $25,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,610 | $25,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,727 | $25,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 8,447 | $25,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 21,000 | $25,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 271 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 436 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 289 | $24,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,470 | $24,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 55,039 | $24,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 10,000 | $24,000 | thousands by filing date | principal |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,300 | $24,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 9,237 | $24,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 9,627 | $24,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 9,126 | $24,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 8,081 | $24,000 | thousands by filing date | |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 25,000 | $24,000 | thousands by filing date | principal |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 4,696 | $24,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 1,232 | $24,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,113 | $23,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 852 | $23,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,911 | $23,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,513 | $23,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 10,166 | $23,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 34,650 | $23,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 4,037 | $23,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 2,735 | $23,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 869 | $23,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 556 | $22,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 770 | $22,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,398 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 686 | $22,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,475 | $22,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 8,395 | $22,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 3,995 | $22,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 3,924 | $22,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 10,260 | $22,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 15,768 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,296 | $22,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 420 | $21,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 6,543 | $21,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 4,020 | $21,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 862 | $21,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 6,255 | $21,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 15,652 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 996 | $21,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 6,646 | $21,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 7,192 | $21,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 1,886 | $21,000 | thousands by filing date | |
| Pacific Datavision Inc | 694171307 | COM | 495 | $21,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 3,753 | $21,000 | thousands by filing date | |
| OMNICARE INC | 681904AR9 | DBCV 3.250%12/1 | 17,000 | $21,000 | thousands by filing date | principal |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 723 | $20,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,859 | $20,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 602 | $20,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,844 | $20,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,130 | $20,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 3,050 | $20,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 17,638 | $20,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 3,396 | $20,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,966 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,062 | $20,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 29,901 | $20,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 13,410 | $20,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 4,285 | $19,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,900 | $19,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,330 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 228 | $19,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 8,041 | $19,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,954 | $19,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 58,255 | $19,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 32,576 | $19,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 10,573 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 397 | $19,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $19,000 | thousands by filing date | |
| QC HLDGS INC | 74729T101 | COM | 10,030 | $19,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 5,046 | $19,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 14,151 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K844 | BRZ BL 3X SHS NW | 330 | $19,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 943 | $18,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 333 | $18,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 4,084 | $18,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,636 | $18,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 19,248 | $18,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,518 | $18,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 883 | $18,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,626 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 982 | $18,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 736 | $18,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 19,000 | $18,000 | thousands by filing date | principal |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 8,008 | $18,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 4,015 | $17,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 4,334 | $17,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 9,328 | $17,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 10,559 | $17,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 10,250 | $17,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 8,339 | $17,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,498 | $17,000 | thousands by filing date | |
| State Investors Bancorp, Inc. | 857030100 | Common Stock | 805 | $17,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 150 | $17,000 | thousands by filing date | |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 2,706 | $17,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 15,365 | $17,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 11,349 | $17,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 15,000 | $17,000 | thousands by filing date | principal |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 553 | $16,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 608 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 594 | $16,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,935 | $16,000 | thousands by filing date | |
| BAXALTA INC | 07177M103 | COM | 500 | $16,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 5,467 | $16,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 838 | $16,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,032 | $16,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 785 | $16,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 289 | $16,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 5,000 | $16,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 5,354 | $16,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 5,365 | $16,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 11,299 | $16,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L106 | COM | 5,497 | $16,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,636 | $15,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,013 | $15,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,178 | $15,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 9,000 | $15,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 30,740 | $15,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 12,000 | $15,000 | thousands by filing date | principal |
| PCM INC | 69323K100 | COM | 1,500 | $15,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 316 | $15,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,985 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $15,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,049 | $15,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 863 | $15,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,918 | $15,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 12,000 | $15,000 | thousands by filing date | principal |
| BIOTIE THERAPIES OYJ | 09074D103 | SPONSORED ADR | 735 | $15,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 17,494 | $15,000 | thousands by filing date | |
| DU PONT EI DE NEMOUR-W I COM | 263534117 | COMMON | 252 | $15,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 927 | $14,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,016 | $14,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 926 | $14,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,730 | $14,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 200 | $14,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 639 | $14,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 73,036 | $14,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 492 | $14,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 30,000 | $14,000 | thousands by filing date | principal |
| INTERMOLECULAR INC | 45882D109 | COM | 7,289 | $14,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,608 | $14,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 536 | $14,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 14,783 | $14,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 802 | $14,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 42,466 | $14,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 985 | $14,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,008 | $14,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 3,631 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 200 | $14,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 6,400 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 557 | $14,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 4,080 | $13,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,815 | $13,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 667 | $13,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 9,000 | $13,000 | thousands by filing date | principal |
| EMAGIN CORP | 29076N206 | COM | 4,791 | $13,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 1,135 | $13,000 | thousands by filing date | |
| MSB FINANCIAL CORPORATION | 55352P102 | COM | 1,010 | $13,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 4,228 | $13,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,610 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $13,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 4,366 | $13,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 3,514 | $13,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 11,000 | $13,000 | thousands by filing date | principal |
| CORIUM INTL INC | 21887L107 | COM | 953 | $13,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 6,753 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434VAJ9 | Cmn | 504 | $13,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,539 | $12,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 879 | $12,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,570 | $12,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 423 | $12,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,012 | $12,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 3,700 | $12,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 2,017 | $12,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 5,320 | $12,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,020 | $12,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 727 | $12,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $12,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 5,925 | $12,000 | thousands by filing date | |
| STARZ | 85571Q201 | COM | 265 | $12,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 3,026 | $12,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 2,761 | $12,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,400 | $12,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 12,000 | $12,000 | thousands by filing date | principal |
| ISHARES TR | 46429B481 | MSCI AUSTRL ETF | 735 | $12,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 10,300 | $11,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 483 | $11,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 5,475 | $11,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,446 | $11,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 4,376 | $11,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $11,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 9,550 | $11,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 21,700 | $11,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 3,648 | $11,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 4,000 | $11,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 8,532 | $11,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 840 | $11,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 374 | $11,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 2,516 | $11,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 1,750 | $11,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 1,816 | $11,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 13,115 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 275 | $11,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 1,000 | $11,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 500 | $10,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 559 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 330 | $10,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,812 | $10,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 921 | $10,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 1,672 | $10,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 9,000 | $10,000 | thousands by filing date | principal |
| PARKERVISION INC | 701354102 | COM | 27,702 | $10,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 11,000 | $10,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 7,509 | $10,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 806 | $10,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 1,863 | $10,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 5,148 | $10,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 12,529 | $10,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 2,789 | $10,000 | thousands by filing date | |
| CERES INC | 156773400 | COM NEW | 5,325 | $10,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 9,000 | $10,000 | thousands by filing date | principal |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 3,632 | $10,000 | thousands by filing date | |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 9,000 | $10,000 | thousands by filing date | principal |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,292 | $10,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 11,443 | $9,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,057 | $9,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 900 | $9,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 1,418 | $9,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 1,101 | $9,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 509 | $9,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,696 | $9,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 300 | $9,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 5,070 | $9,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $9,000 | thousands by filing date | principal |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 885 | $9,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 4,482 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 627 | $9,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 1,089 | $9,000 | thousands by filing date | |
| ISHARES TR | 46429B432 | MSCI SING SMCP | 387 | $9,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 10,662 | $9,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 1,661 | $9,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 9,000 | $9,000 | thousands by filing date | principal |
| PREMIER EXHIBITIONS INC COM NEW | 74051E201 | Stock | 2,061 | $9,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 8,216 | $9,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y149 | SHS NEW 2014 | 8,674 | $9,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 1,957 | $9,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,263 | $8,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 593 | $8,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 507 | $8,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 409 | $8,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,432 | $8,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 892 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 16,000 | $8,000 | thousands by filing date | principal |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 12,737 | $8,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 16,495 | $8,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 5,746 | $8,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 709 | $8,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,411 | $8,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 1,258 | $8,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 14,700 | $8,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 70 | $8,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,314 | $8,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 379 | $8,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 2,518 | $8,000 | thousands by filing date | |
| ACCURAY INC | 004397AB1 | CNV | 8,000 | $8,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 7,000 | $8,000 | thousands by filing date | principal |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,157 | $8,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 1,836 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 320 | $8,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 940 | $8,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 8,000 | $8,000 | thousands by filing date | principal |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 7,174 | $8,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 7,000 | $8,000 | thousands by filing date | principal |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 8,000 | $8,000 | thousands by filing date | principal |
| TCP International Holdings Ltd | H84689100 | COMMON | 1,864 | $8,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 3,011 | $8,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 2,265 | $8,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 172 | $7,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 325 | $7,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 3,008 | $7,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,014 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 100 | $7,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 2,824 | $7,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 250 | $7,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $7,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,568 | $7,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 256 | $7,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 3,226 | $7,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 526 | $7,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 3,365 | $7,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 6,001 | $7,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,419 | $7,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 7,596 | $7,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R734 | FORN CURR STRT | 163 | $7,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 2,000 | $7,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 8,595 | $7,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 4,053 | $7,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 150 | $7,000 | thousands by filing date | |
| CYREN LTD | M26895108 | SHS | 3,550 | $7,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 1,027 | $7,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 274 | $7,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 1,606 | $6,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 2,738 | $6,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,235 | $6,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 637 | $6,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 490 | $6,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,000 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,068 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 100 | $6,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,503 | $6,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 286 | $6,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 4,000 | $6,000 | thousands by filing date | principal |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 100 | $6,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,008 | $6,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 308 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $6,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 1,006 | $6,000 | thousands by filing date | |
| ACORN INTL INC | 004854105 | SPON ADR | 3,900 | $6,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 434 | $6,000 | thousands by filing date | |
| SANCHEZ PRODTN PARTNE | 79971C102 | COMMON | 3,119 | $6,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 93 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 149 | $5,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 208 | $5,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 162 | $5,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 177 | $5,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,295 | $5,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 900 | $5,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $5,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 4,000 | $5,000 | thousands by filing date | principal |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 28,000 | $5,000 | thousands by filing date | principal |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 339 | $5,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| ANADIGICS INC | 032515108 | COM | 6,150 | $5,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 3,042 | $5,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 1,066 | $5,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 725 | $5,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 3,000 | $5,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X120 | ULT MSCIBZL CAPP | 200 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 52 | $5,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 1,571 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 30 | $5,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 10,554 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 100 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 85 | $5,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,000 | $5,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 1,000 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 82 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 179 | $5,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F861 | UNIT 09/01/2016 | 100 | $5,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 519 | $5,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 242 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 120 | $4,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 1,110 | $4,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 354 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 191 | $4,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 3,254 | $4,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $4,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 233 | $4,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 1,011 | $4,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 3,580 | $4,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,000 | $4,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 2,960 | $4,000 | thousands by filing date | |
| SUTRON CORP | 869380105 | COM | 510 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 195 | $4,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 2,766 | $4,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 6,264 | $4,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 312 | $4,000 | thousands by filing date | |
| Swisher Hygiene Inc | 870808300 | Common Stock | 3,788 | $4,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 1,852 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 163 | $4,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 3,000 | $4,000 | thousands by filing date | principal |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 16,000 | $4,000 | thousands by filing date | principal |
| BDCA VENTURE INC | 05543L106 | COM | 801 | $4,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,055 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 96 | $3,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 65 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 254 | $3,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 359 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 135 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 70 | $3,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $3,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 200 | $3,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 196 | $3,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 195 | $3,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 212 | $3,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 3,000 | $3,000 | thousands by filing date | principal |
| IMAGE SENSING SYS INC | 45244C104 | COM | 809 | $3,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 485 | $3,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 899 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN L | 22542D852 | COM | 97 | $3,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 3,800 | $3,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 5,145 | $3,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 2,398 | $3,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 4,263 | $3,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 5,036 | $3,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 500 | $3,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 4,924 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 1,812 | $3,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 6,073 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 38 | $3,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 1,291 | $3,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 265 | $3,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 621 | $3,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 2,273 | $3,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 491 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 206 | $3,000 | thousands by filing date | |
| VBI VACCINES INC CDA | 91790E102 | Stock | 1,035 | $3,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 1,011 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-15-000334 | this filing | 2015-08-12 | acceptance time not in the bulk data set |