13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2015-09-30, filed 2016-02-08, with 6,698 holding rows worth $270,595,925,000.
- Accession
- 0000895421-16-000495
- Filer
- CIK 895421
- Filed
- 2016-02-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, amendment of type restatement, 24,486 entries on the cover page, a total value of $270,595,925,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $270,595,925,000 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 |
|---|---|---|---|---|---|---|
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 3,612 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 819 | $24,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 2,869 | $24,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,935 | $24,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 22,000 | $24,000 | thousands by filing date | principal |
| ACNB CORP | 000868109 | COMMON STOCK | 1,102 | $23,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 2,145 | $23,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 850 | $23,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 2,650 | $23,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,500 | $23,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 22,000 | $23,000 | thousands by filing date | principal |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,852 | $23,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR EGSHARE EM | 268461621 | DOM | 1,218 | $23,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 3,904 | $23,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 5,840 | $23,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,049 | $23,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 15,174 | $23,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 26,000 | $23,000 | thousands by filing date | principal |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 24,000 | $23,000 | thousands by filing date | principal |
| Carbylan Therapeutics Inc. | 141384107 | COM | 6,356 | $23,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 22,074 | $22,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,035 | $22,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 16,000 | $22,000 | thousands by filing date | principal |
| PROFIRE ENERGY INC | 74316X101 | COM | 23,215 | $22,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,004 | $22,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,365 | $22,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 43,862 | $22,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 7,840 | $22,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 7,202 | $22,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 44,747 | $22,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 996 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y140 | DLY RUSSIA BUL14 | 1,619 | $22,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 2,766 | $22,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 15,700 | $22,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 20,646 | $22,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,332 | $21,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,900 | $21,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,791 | $21,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 52,039 | $21,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 12,731 | $21,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 11,000 | $21,000 | thousands by filing date | principal |
| BANK MUTUAL CORP | 063750103 | COM | 2,713 | $21,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 2,549 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 725 | $21,000 | thousands by filing date | |
| LIVEDEAL INC | 538144304 | COM NEW | 12,036 | $21,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,263 | $21,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 2,100 | $21,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 41,054 | $21,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 12,389 | $20,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,941 | $20,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 3,846 | $20,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,500 | $20,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 24,000 | $20,000 | thousands by filing date | principal |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 11,027 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 836 | $20,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,966 | $20,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 8,720 | $20,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 3,043 | $20,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| ASTRONOVA INC | 04638F108 | COM | 1,317 | $19,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 717 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 31,000 | $19,000 | thousands by filing date | principal |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 9,945 | $19,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 750 | $19,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 11,325 | $19,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 1,401 | $19,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 8,395 | $19,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 6,418 | $19,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 10,359 | $19,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 8,638 | $19,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 4,833 | $19,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 3,814 | $19,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 7,750 | $19,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 15,745 | $19,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 4,400 | $19,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 8,304 | $19,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 2,785 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 411 | $18,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 5,942 | $18,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 9,026 | $18,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 5,135 | $18,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 9,745 | $18,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 4,080 | $18,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 13,760 | $18,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 3,979 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 1,010 | $18,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 862 | $18,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 2,823 | $18,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 19,000 | $18,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 17,000 | $18,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 14,000 | $18,000 | thousands by filing date | principal |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 600 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 228 | $17,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 200 | $17,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 2,437 | $17,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 1,275 | $17,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 12,016 | $17,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 3,883 | $17,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,953 | $17,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 13,632 | $17,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,486 | $17,000 | thousands by filing date | |
| State Investors Bancorp, Inc. | 857030100 | Common Stock | 800 | $17,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 21,510 | $17,000 | thousands by filing date | |
| QC HLDGS INC | 74729T101 | COM | 10,000 | $17,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 19,525 | $17,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 10,500 | $17,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 18,000 | $17,000 | thousands by filing date | principal |
| Ocugen | 43358V109 | Common | 4,364 | $17,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 9,103 | $17,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 373 | $17,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 4,696 | $17,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 4,423 | $17,000 | thousands by filing date | |
| ISHARES TR | 46434VAJ9 | Cmn | 682 | $17,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,467 | $16,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 13,432 | $16,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 15,006 | $16,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 25,344 | $16,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 4,244 | $16,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 16,941 | $16,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 182,058 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,245 | $16,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 1,956 | $16,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 9,730 | $16,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 14,000 | $16,000 | thousands by filing date | principal |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,131 | $16,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 4,000 | $16,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605116 | Cmn | 12,678 | $16,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 921 | $15,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,620 | $15,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 472 | $15,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,004 | $15,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,019 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 200 | $15,000 | thousands by filing date | |
| DEALERTRACK TECHNOLOGIES INC | 242309AB8 | NOTE 1.500% 3/1 | 9,000 | $15,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC | 231082108 | CL A | 20,420 | $15,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 3,760 | $15,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 10,250 | $15,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 110,690 | $15,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 32,539 | $15,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 15,559 | $15,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 756 | $15,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,400 | $15,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $15,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 15,604 | $15,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 5,000 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $15,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 6,500 | $15,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,150 | $15,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 4,211 | $15,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 153 | $15,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 3,220 | $14,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,000 | $14,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,555 | $14,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,627 | $14,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,690 | $14,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,712 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,399 | $14,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 36,022 | $14,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,373 | $14,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 16,440 | $14,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 15,287 | $14,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,500 | $14,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,026 | $14,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 798 | $14,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 977 | $14,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 12,762 | $14,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 2,512 | $14,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,807 | $14,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 1,000 | $14,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,731 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 625 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 13,000 | $14,000 | thousands by filing date | principal |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 23,614 | $14,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 863 | $14,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 3,035 | $13,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,271 | $13,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 1,100 | $13,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 964 | $13,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,500 | $13,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 6,256 | $13,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 8,308 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,000 | $13,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,985 | $13,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 574 | $13,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 4,765 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $13,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,045 | $13,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,020 | $13,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 4,153 | $13,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,139 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 556 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 436 | $12,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 476 | $12,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,498 | $12,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 5,608 | $12,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 2,800 | $12,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 7,483 | $12,000 | thousands by filing date | |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 2,500 | $12,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 7,889 | $12,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 721 | $12,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 836 | $12,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $12,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 29,873 | $12,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $12,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,780 | $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 |
| VERICEL CORP | 92346J108 | COM | 4,280 | $11,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 700 | $11,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 640 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 317 | $11,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 6,000 | $11,000 | thousands by filing date | principal |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 405 | $11,000 | thousands by filing date | |
| AMBASSADORS GROUP INC | 023177108 | COM | 3,999 | $11,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 55,402 | $11,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 1,400 | $11,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $11,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 7,470 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 291 | $11,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 12,104 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 558 | $11,000 | thousands by filing date | |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 11,593 | $11,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 13,706 | $11,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 669 | $11,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 6,400 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 524 | $11,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 3,500 | $11,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 1,000 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 390 | $10,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 4,016 | $10,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 200 | $10,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,900 | $10,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,998 | $10,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 435 | $10,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 500 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 5,280 | $10,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 4,770 | $10,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 780 | $10,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 7,000 | $10,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 31,740 | $10,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,946 | $10,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,200 | $10,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 21,582 | $10,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 12,584 | $10,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $10,000 | thousands by filing date | principal |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 3,861 | $10,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 316 | $10,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 14,000 | $10,000 | thousands by filing date | principal |
| IBIO INC | 451033104 | COM | 14,783 | $10,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 803 | $10,000 | thousands by filing date | |
| STARZ | 85571Q201 | COM | 267 | $10,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,528 | $10,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 2,125 | $10,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 11,000 | $10,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 9,000 | $10,000 | thousands by filing date | principal |
| MACROCURE LTD | M67872107 | SHS | 3,014 | $10,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 519 | $9,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 3,000 | $9,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,345 | $9,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,700 | $9,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 4,050 | $9,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,801 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 189 | $9,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,147 | $9,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 43,863 | $9,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 9,000 | $9,000 | thousands by filing date | principal |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 1,629 | $9,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 492 | $9,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,630 | $9,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 8,000 | $9,000 | thousands by filing date | principal |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,995 | $9,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 700 | $9,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,045 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 375 | $9,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 4,000 | $9,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 6,139 | $9,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 2,600 | $9,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 373 | $9,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 11,000 | $9,000 | thousands by filing date | principal |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 385 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R803 | RBA QUALIN ETF | 448 | $9,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 10,637 | $9,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 9,000 | $9,000 | thousands by filing date | principal |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,292 | $9,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 17,425 | $9,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 606 | $8,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 370 | $8,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 450 | $8,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,432 | $8,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 705 | $8,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 865 | $8,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 383 | $8,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 14,100 | $8,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 921 | $8,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,045 | $8,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,537 | $8,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 639 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 296 | $8,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 4,196 | $8,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 58,255 | $8,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 20,558 | $8,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 4,498 | $8,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 7,586 | $8,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,000 | $8,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 1,400 | $8,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 34,200 | $8,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 4,450 | $8,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 42,413 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 599 | $8,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 2,500 | $8,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 300 | $8,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 4,349 | $8,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 2,078 | $8,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 11,000 | $8,000 | thousands by filing date | principal |
| ROKA BIOSCIENCE INC | 775431109 | COM | 4,000 | $8,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 9,145 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K752 | Cmn | 500 | $8,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y149 | SHS NEW 2014 | 8,710 | $8,000 | thousands by filing date | |
| VIGGLE INC | 92672V204 | COM NEW | 9,112 | $8,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 465 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 107 | $7,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 256 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 200 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,383 | $7,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 7,000 | $7,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 1,345 | $7,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 8,000 | $7,000 | thousands by filing date | principal |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 24,150 | $7,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 6,350 | $7,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 5,000 | $7,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 627 | $7,000 | thousands by filing date | |
| SELECTICA INC | 816288203 | COM | 1,761 | $7,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 3,018 | $7,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 4,366 | $7,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 3,879 | $7,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,945 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 320 | $7,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 805 | $7,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 2,362 | $7,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 8,000 | $7,000 | thousands by filing date | principal |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 1,650 | $7,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 2,719 | $7,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 5,007 | $7,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 200 | $7,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 2,175 | $7,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 180 | $6,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 1,957 | $6,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 779 | $6,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 490 | $6,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 238 | $6,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,000 | $6,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 353 | $6,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 150 | $6,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 5,255 | $6,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 3,611 | $6,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 16,495 | $6,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 4,000 | $6,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 1,250 | $6,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 301 | $6,000 | thousands by filing date | |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 1,000 | $6,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 150 | $6,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 5,000 | $6,000 | thousands by filing date | principal |
| VBI VACCINES INC CDA | 91790E102 | Stock | 2,000 | $6,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 6,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 5,000 | $6,000 | thousands by filing date | principal |
| AXION PWR INTL INC | 05460X307 | COM PAR $0.001 | 3,183 | $6,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 93 | $5,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 2,000 | $5,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 1,436 | $5,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,158 | $5,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 200 | $5,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 180 | $5,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 351 | $5,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 210 | $5,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 214 | $5,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $5,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $5,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,568 | $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 |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 200 | $5,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 710 | $5,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 725 | $5,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 2,423 | $5,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 1,000 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229201 | CLB | 118 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 30 | $5,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 100 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 100 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 500 | $5,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 201 | $5,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 500 | $5,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F203 | COM NEW | 2,118 | $5,000 | thousands by filing date | |
| NANOSPHERE INC COM NEW | 63009F204 | Stock | 3,078 | $5,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 3,000 | $5,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 272 | $5,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F861 | UNIT 09/01/2016 | 100 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K844 | BRZ BL 3X SHS NW | 330 | $5,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 500 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 1,606 | $4,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 229 | $4,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 2,099 | $4,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 675 | $4,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 181 | $4,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,150 | $4,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,114 | $4,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,500 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 188 | $4,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,500 | $4,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 233 | $4,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 11,227 | $4,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 1,200 | $4,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 1,315 | $4,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,187 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 784 | $4,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 5,800 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 16,300 | $4,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 200 | $4,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 1,000 | $4,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $4,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 2,960 | $4,000 | thousands by filing date | |
| GENERAL EMPLOYMENT ENTERPRIS | 369730106 | COM | 8,818 | $4,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 10,505 | $4,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 5,132 | $4,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 7,881 | $4,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 167 | $4,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 4,000 | $4,000 | thousands by filing date | principal |
| SESEN BIO, INC. | 286221106 | COM | 1,800 | $4,000 | thousands by filing date | |
| Emerald Oil Inc | 29101U407 | Common Stock | 2,220 | $4,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 2,796 | $4,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 4,387 | $4,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 743 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 13,737 | $4,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 5,503 | $4,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 400 | $4,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 2,000 | $4,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 801 | $4,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,000 | $3,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 60 | $3,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 51 | $3,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,161 | $3,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 500 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $3,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 412 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 100 | $3,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 5,186 | $3,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 7,310 | $3,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $3,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 800 | $3,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 539 | $3,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 7,417 | $3,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 900 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,437 | $3,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 725 | $3,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 5,489 | $3,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 34 | $3,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 2,164 | $3,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 600 | $3,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 1,000 | $3,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R308 | COM NEW | 2,258 | $3,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 131 | $3,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 291 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 162 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 126 | $3,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 1,930 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $3,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 1,199 | $3,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 447 | $3,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 200 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A335 | COM | 85 | $3,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 200 | $3,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 632 | $3,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 74 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 106 | $2,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 572 | $2,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 250 | $2,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 1,100 | $2,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 580 | $2,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 312 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 600 | $2,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 631 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $2,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 200 | $2,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 2,570 | $2,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 196 | $2,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 6,231 | $2,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 1,000 | $2,000 | thousands by filing date | principal |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 2,000 | $2,000 | thousands by filing date | principal |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 600 | $2,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-15-000400 | superseded | 2015-11-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-16-000495 | this filing | 2016-02-08 | acceptance time not in the bulk data set |