13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-09, with 6,980 holding rows worth $276,257,462,000.
- Accession
- 0000895421-16-000501
- Filer
- CIK 895421
- Filed
- 2016-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 25,860 entries on the cover page, a total value of $276,257,462,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $276,257,462,000 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 |
|---|---|---|---|---|---|---|
| MEXCO ENERGY CORP | 592770101 | COM | 6,715 | $22,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 617 | $22,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,326 | $22,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 9,445 | $22,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 12,360 | $22,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 21,000 | $22,000 | thousands by filing date | principal |
| Full Circle Capital Corp. | 359671104 | COM | 8,802 | $22,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 181 | $22,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 2,456 | $22,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 9,153 | $22,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 21,000 | $22,000 | thousands by filing date | principal |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 10,162 | $22,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 6,042 | $22,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,332 | $21,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,730 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 377 | $21,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 963 | $21,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 18,957 | $21,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 76,898 | $21,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 7,253 | $21,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 10,706 | $21,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 29,000 | $21,000 | thousands by filing date | principal |
| Constellation Brands Inc Cl B | 21036P207 | Com | 150 | $21,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,626 | $21,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 2,962 | $21,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,150 | $21,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,667 | $21,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,853 | $21,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D381 | Cmn | 8,404 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 410 | $20,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 4,843 | $20,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,013 | $20,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,600 | $20,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,108 | $20,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,955 | $20,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 10,639 | $20,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 2,160 | $20,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 37,744 | $20,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 121,835 | $20,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 4,160 | $20,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 23,000 | $20,000 | thousands by filing date | principal |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 2,584 | $20,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 9,493 | $20,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 6,500 | $20,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 900 | $20,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 1,400 | $20,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 20,000 | $20,000 | thousands by filing date | principal |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 13,742 | $19,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,349 | $19,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 4,000 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 209 | $19,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 200 | $19,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 485 | $19,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 2,602 | $19,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 8,700 | $19,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 2,743 | $19,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 26,850 | $19,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 29,000 | $19,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 404 | $19,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 2,300 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K562 | DAILY NATURAL GA | 3,117 | $19,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 17,082 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 270 | $18,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 1,000 | $18,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 426 | $18,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 722 | $18,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 607 | $18,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,013 | $18,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 2,218 | $18,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 18,643 | $18,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 6,444 | $18,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 1,150 | $18,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 3,792 | $18,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,887 | $18,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $18,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 18,000 | $18,000 | thousands by filing date | principal |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 10,000 | $18,000 | thousands by filing date | principal |
| Capnia, Inc. | 14066L105 | Common | 9,477 | $18,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 1,516 | $18,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,057 | $17,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 5,000 | $17,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 331 | $17,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,497 | $17,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 738 | $17,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 3,336 | $17,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,011 | $17,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 725 | $17,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 750 | $17,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $17,000 | thousands by filing date | principal |
| MAST THERAPEUTICS INC | 576314108 | COM | 39,266 | $17,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,518 | $17,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 33,649 | $17,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,498 | $17,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 416 | $17,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 3,073 | $17,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 3,243 | $17,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 14,000 | $17,000 | thousands by filing date | principal |
| SCORPIO BULKERS INC | Y7546A122 | COM | 1,705 | $17,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 12,065 | $17,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 302 | $16,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 15,691 | $16,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,178 | $16,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 8,300 | $16,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,860 | $16,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 2,607 | $16,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,032 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 950 | $16,000 | thousands by filing date | |
| OI SA-ADR | 670851401 | Com | 34,471 | $16,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 811 | $16,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 14,000 | $16,000 | thousands by filing date | principal |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 373 | $16,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 1,200 | $16,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 31,050 | $16,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 14,769 | $16,000 | thousands by filing date | |
| CHC GROUP LTD | G07021127 | Cmn | 2,491 | $16,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 1,381 | $15,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 636 | $15,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,015 | $15,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,570 | $15,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,012 | $15,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 681 | $15,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 4,000 | $15,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 8,337 | $15,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 465 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $15,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 829 | $15,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 550 | $15,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 617 | $15,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 20,566 | $15,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,500 | $15,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 756 | $15,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 801 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $15,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 985 | $15,000 | thousands by filing date | |
| QC HLDGS INC | 74729T101 | COM | 10,030 | $15,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 9,321 | $15,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 153 | $15,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 3,664 | $15,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 11,007 | $15,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 9,950 | $15,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 926 | $14,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 1,532 | $14,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,533 | $14,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 505 | $14,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,635 | $14,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,833 | $14,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 2,220 | $14,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 38,298 | $14,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 11,954 | $14,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 17,000 | $14,000 | thousands by filing date | principal |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 3,073 | $14,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 12,862 | $14,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| BEBE STORES INC | 075571109 | COM | 24,430 | $14,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 5,545 | $14,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 8,000 | $14,000 | thousands by filing date | principal |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 2,522 | $14,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $14,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 22,549 | $14,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,985 | $14,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 559 | $14,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 4,740 | $14,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,818 | $14,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,149 | $14,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,647 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 649 | $14,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 5,312 | $14,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 12,000 | $14,000 | thousands by filing date | principal |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 15,517 | $14,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,938 | $14,000 | thousands by filing date | |
| AXION PWR INTL INC | 05460X307 | COM PAR $0.001 | 14,868 | $14,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 447 | $13,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 765 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 447 | $13,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,398 | $13,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 44,398 | $13,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $13,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 59,913 | $13,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 504 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 379 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 533 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 801 | $13,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 3,000 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,682 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 571 | $13,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,524 | $13,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 1,374 | $13,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 7,144 | $13,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,413 | $12,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 7,000 | $12,000 | thousands by filing date | principal |
| BANRO CORP | 066800103 | COM | 58,255 | $12,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 8,395 | $12,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 1,286 | $12,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,492 | $12,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 6,961 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,059 | $12,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 745 | $12,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $12,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 78,083 | $12,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,709 | $12,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,048 | $12,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,550 | $12,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 378 | $12,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T308 | COMMON | 6,035 | $12,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 391 | $11,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 542 | $11,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 406 | $11,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 640 | $11,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,663 | $11,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 2,138 | $11,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 15,319 | $11,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 1,585 | $11,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 912 | $11,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 6,219 | $11,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,371 | $11,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 911 | $11,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 22,199 | $11,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 3,587 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 14,915 | $11,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 10,656 | $11,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 903 | $11,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,770 | $11,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $11,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 3,000 | $11,000 | thousands by filing date | principal |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,098 | $11,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 415 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 910 | $11,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 736 | $11,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 841 | $11,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 703 | $11,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 706 | $11,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 11,806 | $11,000 | thousands by filing date | |
| HERCULES OFFSHORE INC. | 427093307 | COM | 4,925 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 120 | $10,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,951 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 124 | $10,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 1,012 | $10,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,500 | $10,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,815 | $10,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 240 | $10,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 1,469 | $10,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 7,200 | $10,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 504 | $10,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 2,559 | $10,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 3,422 | $10,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 3,149 | $10,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,650 | $10,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 13,350 | $10,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 4,482 | $10,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 901 | $10,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 6,309 | $10,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 2,973 | $10,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 9,151 | $10,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,291 | $10,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 1,439 | $10,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 4,361 | $10,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 1,000 | $10,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 467 | $9,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 3,000 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,007 | $9,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,540 | $9,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 8,575 | $9,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 1,572 | $9,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 6,000 | $9,000 | thousands by filing date | principal |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 10,000 | $9,000 | thousands by filing date | principal |
| S&W SEED COMPANY COM | 785135104 | COM | 2,212 | $9,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 8,850 | $9,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 72,996 | $9,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 11,267 | $9,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 708 | $9,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 17,275 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 732 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 380 | $9,000 | thousands by filing date | |
| AMERICAN CARESOURCE HLDGS IN | 02505A202 | COM | 22,134 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 600 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $9,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 10,000 | $9,000 | thousands by filing date | principal |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 7,000 | $9,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 6,360 | $9,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,192 | $9,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 364 | $8,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 507 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 200 | $8,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,597 | $8,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 10,000 | $8,000 | thousands by filing date | principal |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 38,856 | $8,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,617 | $8,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 4,142 | $8,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,333 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 10,041 | $8,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,048 | $8,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 4,828 | $8,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 6,789 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 272 | $8,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 422 | $8,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 400 | $8,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,080 | $8,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 2,631 | $8,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 2,889 | $8,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,011 | $8,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 89 | $8,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 42,419 | $8,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 2,660 | $8,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 8,235 | $8,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 8,000 | $8,000 | thousands by filing date | principal |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 3,305 | $8,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 2,203 | $8,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 917 | $7,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 400 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 402 | $7,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 346 | $7,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 5,000 | $7,000 | thousands by filing date | principal |
| ERA GROUP INC | 26885G109 | COM | 657 | $7,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 4,966 | $7,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,000 | $7,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 6,399 | $7,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 24,786 | $7,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 6,443 | $7,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 5,946 | $7,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 1,724 | $7,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 3,541 | $7,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 5,000 | $7,000 | thousands by filing date | principal |
| DATAWATCH CORP | 237917208 | COM NEW | 1,232 | $7,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,011 | $7,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229201 | CLB | 189 | $7,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 3,305 | $7,000 | thousands by filing date | |
| UBS ETRACS M PY 2XLVG WF MLP EX-ENGY ETN | 90273A207 | ETF | 531 | $7,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 6,454 | $7,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 2,478 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 300 | $7,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 2,362 | $7,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 5,000 | $7,000 | thousands by filing date | principal |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 877 | $7,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 6,271 | $7,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 114 | $6,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,916 | $6,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 717 | $6,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $6,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 273 | $6,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 626 | $6,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 7,361 | $6,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 5,000 | $6,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 12,000 | $6,000 | thousands by filing date | principal |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 4,000 | $6,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 16,495 | $6,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,537 | $6,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 1,670 | $6,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 4,783 | $6,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 344 | $6,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 11,500 | $6,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 307 | $6,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 4,033 | $6,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 3,031 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 215 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 180 | $6,000 | thousands by filing date | |
| COLUMBIA LG CAP GROWTH ETF | 19761R307 | COM | 130 | $6,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 3,950 | $6,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 1,800 | $6,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 1,885 | $6,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 620 | $6,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,500 | $6,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 4,000 | $6,000 | thousands by filing date | principal |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,888 | $6,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 93 | $5,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 500 | $5,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 313 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 284 | $5,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 893 | $5,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 207 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 197 | $5,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 531 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 195 | $5,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 206 | $5,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 941 | $5,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 199 | $5,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 2,009 | $5,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 324 | $5,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 15,100 | $5,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,858 | $5,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 33,680 | $5,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 200 | $5,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 717 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 5,800 | $5,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 3,000 | $5,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 34,200 | $5,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $5,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 5,281 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 535 | $5,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 251 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 103 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 400 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 30 | $5,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 238 | $5,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 518 | $5,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 2,495 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 272 | $5,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 3,979 | $5,000 | thousands by filing date | |
| CHINA HOUSING & LAND DEV INC | 16939V202 | COM NEW | 1,831 | $5,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 2,013 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 139 | $4,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 403 | $4,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 75 | $4,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 1,522 | $4,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,304 | $4,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,304 | $4,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $4,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 42,925 | $4,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 3,654 | $4,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $4,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 100 | $4,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,394 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 190 | $4,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $4,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $4,000 | thousands by filing date | principal |
| WI-LAN INC | 928972108 | COM | 2,766 | $4,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,500 | $4,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 15 | $4,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 6,309 | $4,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 19,539 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 15,500 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 784 | $4,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 719 | $4,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 1,257 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 16,300 | $4,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 1,000 | $4,000 | thousands by filing date | principal |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 217 | $4,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 205 | $4,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 2,330 | $4,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $4,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 3,125 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 299 | $4,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 3,000 | $4,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 480 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 203 | $4,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 932 | $4,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 801 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 400 | $4,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 204 | $4,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 4,000 | $4,000 | thousands by filing date | principal |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 1,166 | $4,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 7,000 | $4,000 | thousands by filing date | principal |
| AVALANCHE BIOT | 05337G107 | Common Stock | 462 | $4,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 4,069 | $4,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 2,731 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K844 | BRZ BL 3X SHS NW | 330 | $4,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 459 | $3,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 450 | $3,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 772 | $3,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 115 | $3,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 123 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 255 | $3,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 2,000 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 63 | $3,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 75 | $3,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,649 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 104 | $3,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 595 | $3,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 1,000 | $3,000 | thousands by filing date | principal |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 10,540 | $3,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 708 | $3,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 1,165 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 6,500 | $3,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 2,760 | $3,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 8,599 | $3,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 417 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 3,437 | $3,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,007 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 269 | $3,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,071 | $3,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 2,960 | $3,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 3,005 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 739 | $3,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 751 | $3,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 1,122 | $3,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 131 | $3,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,891 | $3,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 500 | $3,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 491 | $3,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 801 | $3,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 205 | $3,000 | thousands by filing date | |
| VBI VACCINES INC CDA | 91790E102 | Stock | 1,470 | $3,000 | thousands by filing date | |
| Emerald Oil Inc | 29101U407 | Common Stock | 2,654 | $3,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 13,712 | $3,000 | thousands by filing date | |
| NEPHROGENEX INC | 640667101 | Cmn | 2,000 | $3,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 218 | $3,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 17,495 | $3,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,055 | $2,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 31 | $2,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 663 | $2,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 1,000 | $2,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 539 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-16-000501 | this filing | 2016-02-09 | acceptance time not in the bulk data set |