13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-12, with 6,900 holding rows worth $259,852,357,000.
- Accession
- 0000895421-16-000682
- Filer
- CIK 895421
- Filed
- 2016-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 26,094 entries on the cover page, a total value of $259,852,357,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $259,852,357,000 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 |
|---|---|---|---|---|---|---|
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 30,000 | $16,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $16,000 | thousands by filing date | principal |
| BANRO CORP | 066800103 | COM | 59,255 | $16,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 17,473 | $16,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 800 | $16,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 363 | $16,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 801 | $16,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 6,530 | $16,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 3,508 | $16,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 1,360 | $16,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 14,000 | $16,000 | thousands by filing date | principal |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 5,299 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X820 | Cmn | 3,833 | $16,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P200 | UNIT 99/99/9999T | 1,502 | $16,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 2,068 | $15,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,013 | $15,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 700 | $15,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 3,589 | $15,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 16,449 | $15,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 21,378 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 75 | $15,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 1,092 | $15,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 983 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 752 | $15,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 6,481 | $15,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 24,000 | $15,000 | thousands by filing date | principal |
| MSB FINL CORP NEW | 55352L101 | COM | 1,147 | $15,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 5,619 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 290 | $14,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,013 | $14,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 370 | $14,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,567 | $14,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,634 | $14,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 2,324 | $14,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 8,700 | $14,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 3,177 | $14,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 953 | $14,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,096 | $14,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 559 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 500 | $14,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 13,836 | $14,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,895 | $14,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 5,425 | $14,000 | thousands by filing date | |
| OMNICARE INC | 681904AR9 | DBCV 3.250%12/1 | 18,000 | $14,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 466 | $13,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 2,262 | $13,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 2,350 | $13,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,330 | $13,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 3,354 | $13,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,500 | $13,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 878 | $13,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 672 | $13,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 7,561 | $13,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 7,000 | $13,000 | thousands by filing date | principal |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 8,395 | $13,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 36,660 | $13,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 564 | $13,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,150 | $13,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 17,935 | $13,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,970 | $13,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,011 | $13,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 2,212 | $13,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 17,199 | $13,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 8,540 | $13,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $13,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 3,288 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 2,225 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 571 | $13,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,938 | $13,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 123 | $13,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 6,073 | $13,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 927 | $12,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 1,942 | $12,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 504 | $12,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,816 | $12,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,336 | $12,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,509 | $12,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 9,000 | $12,000 | thousands by filing date | principal |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 884 | $12,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,160 | $12,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 800 | $12,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,500 | $12,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 15,000 | $12,000 | thousands by filing date | principal |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 415 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 400 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,233 | $12,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,674 | $12,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 6,500 | $12,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 1,708 | $12,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,049 | $12,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 10,542 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 625 | $12,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,667 | $12,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 21,000 | $12,000 | thousands by filing date | principal |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 273 | $12,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 3,658 | $12,000 | thousands by filing date | |
| HERCULES OFFSHORE INC. | 427093307 | COM | 4,878 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R296 | OIL REFNERS CRAK | 580 | $12,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 470 | $11,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,059 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 500 | $11,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 9,818 | $11,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 1,208 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 120 | $11,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,454 | $11,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 5,531 | $11,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 8,400 | $11,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 15,057 | $11,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 6,200 | $11,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 7,853 | $11,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 33,681 | $11,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 12,500 | $11,000 | thousands by filing date | principal |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 8,031 | $11,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 13,350 | $11,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 842 | $11,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 600 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 857 | $11,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 1,337 | $11,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 12,000 | $11,000 | thousands by filing date | principal |
| ATYR PHARMA INC | 002120103 | COM | 2,785 | $11,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 2,291 | $11,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 75 | $11,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,200 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 120 | $10,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 2,229 | $10,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 3,000 | $10,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 558 | $10,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,827 | $10,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,650 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 124 | $10,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,815 | $10,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,308 | $10,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 8,387 | $10,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $10,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 5,517 | $10,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 20,501 | $10,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U431 | LATAM AGGR BD | 456 | $10,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 5,000 | $10,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 317 | $10,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 932 | $10,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 344 | $10,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 3,000 | $10,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,000 | $10,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 5,309 | $10,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 2,885 | $10,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 10,550 | $10,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,692 | $10,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,192 | $10,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D203 | UNIT 06/11/2019 | 1,000 | $10,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 4,221 | $9,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 7,440 | $9,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,866 | $9,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 47,296 | $9,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 800 | $9,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 238 | $9,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 14,850 | $9,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,095 | $9,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 1,000 | $9,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,041 | $9,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 707 | $9,000 | thousands by filing date | |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 441 | $9,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W166 | INDIAN RUP ETF | 400 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 379 | $9,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 735 | $9,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 230 | $9,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 324 | $9,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,550 | $9,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 95 | $9,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 524 | $9,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 10,000 | $9,000 | thousands by filing date | principal |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 16,854 | $9,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 2,241 | $9,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 7,646 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 185 | $8,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 331 | $8,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 5,908 | $8,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 596 | $8,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,000 | $8,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,534 | $8,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 9,007 | $8,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 650 | $8,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 3,433 | $8,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,000 | $8,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 855 | $8,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,852 | $8,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 6,689 | $8,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 4,000 | $8,000 | thousands by filing date | principal |
| Timmins Gold Corp | 88741P103 | COM | 34,700 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 189 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 332 | $8,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 4,542 | $8,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 4,482 | $8,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,077 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D548 | VS 3XINV CRUDE | 50 | $8,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 2,200 | $8,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 581 | $8,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 2,902 | $8,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 12,182 | $8,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 8,235 | $8,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 6,000 | $8,000 | thousands by filing date | principal |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 173 | $8,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 9,624 | $7,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 329 | $7,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 506 | $7,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 832 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 402 | $7,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,103 | $7,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 577 | $7,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 5,500 | $7,000 | thousands by filing date | principal |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 426 | $7,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,617 | $7,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 4,464 | $7,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 854 | $7,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 500 | $7,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,510 | $7,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 6,391 | $7,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,250 | $7,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 3,804 | $7,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 1,724 | $7,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 11,500 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 525 | $7,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229201 | CLB | 185 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 670 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 55 | $7,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 517 | $7,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,009 | $7,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 6,000 | $7,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 4,822 | $7,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,881 | $7,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 5,112 | $7,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 9,960 | $7,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668502 | COM PAR | 4,420 | $7,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 917 | $6,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 18,930 | $6,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 2,155 | $6,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 114 | $6,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,128 | $6,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 204 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 326 | $6,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 5,000 | $6,000 | thousands by filing date | principal |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 794 | $6,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 1,338 | $6,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $6,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 3,000 | $6,000 | thousands by filing date | principal |
| EMAGIN CORP | 29076N206 | COM | 3,270 | $6,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 3,000 | $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 |
| INTERMOLECULAR INC | 45882D109 | COM | 2,559 | $6,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 15 | $6,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 534 | $6,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 254 | $6,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 24,717 | $6,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 11,258 | $6,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 1,200 | $6,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 5,434 | $6,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 203 | $6,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 5,000 | $6,000 | thousands by filing date | principal |
| DATAWATCH CORP | 237917208 | COM NEW | 1,232 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U779 | GULF STS ETF | 251 | $6,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,711 | $6,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,530 | $6,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 7,858 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 180 | $6,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 3,802 | $6,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,000 | $6,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 720 | $6,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,500 | $6,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22539T316 | COM | 260 | $6,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 2,705 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 284 | $5,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 2,600 | $5,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 490 | $5,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,000 | $5,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,649 | $5,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 996 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 146 | $5,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 813 | $5,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 4,379 | $5,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,000 | $5,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 3,000 | $5,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 1,851 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,015 | $5,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 2,060 | $5,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 16,495 | $5,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 26,139 | $5,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,536 | $5,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 8,313 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 5,800 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 12,000 | $5,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $5,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $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 | |
| NATIONAL COMM CORP | 63546L102 | COM | 212 | $5,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 7,000 | $5,000 | thousands by filing date | principal |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 5,000 | $5,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 6,000 | $5,000 | thousands by filing date | principal |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 964 | $5,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 4,000 | $5,000 | thousands by filing date | principal |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 892 | $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 | 3,501 | $5,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 89 | $4,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 206 | $4,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 3,033 | $4,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 65 | $4,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,003 | $4,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,100 | $4,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,548 | $4,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,697 | $4,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 470 | $4,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 1,523 | $4,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 101 | $4,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 5,000 | $4,000 | thousands by filing date | principal |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 4,377 | $4,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 816 | $4,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 2,008 | $4,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $4,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 945 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 190 | $4,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 7,200 | $4,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 2,000 | $4,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 185 | $4,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,978 | $4,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 716 | $4,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 19,000 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 784 | $4,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 1,000 | $4,000 | thousands by filing date | principal |
| PHI INC | 69336T106 | COM VTG | 204 | $4,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,011 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 299 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 203 | $4,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 629 | $4,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 1,918 | $4,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 800 | $4,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,319 | $4,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 700 | $4,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 2,321 | $4,000 | thousands by filing date | |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 300 | $4,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 6,324 | $4,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,317 | $4,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 483 | $4,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 2,126 | $4,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 219 | $3,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 582 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 63 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 103 | $3,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 145 | $3,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 30,464 | $3,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 331 | $3,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 11,573 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 27,000 | $3,000 | thousands by filing date | principal |
| EXFO INC | 302046107 | SUB VTG SHS | 733 | $3,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,500 | $3,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 700 | $3,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 5,399 | $3,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 2,061 | $3,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 2,710 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 75 | $3,000 | thousands by filing date | |
| MARKET VECTORS INDONESA | 57060U167 | COMMON | 317 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $3,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 15,900 | $3,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $3,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 7,282 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 269 | $3,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 1,005 | $3,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 409 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 3,125 | $3,000 | thousands by filing date | |
| PACIFIC BOOKER MINERALS INC | 69403R108 | COM | 3,000 | $3,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 751 | $3,000 | thousands by filing date | |
| OI SA-ADR | 670851401 | Com | 9,137 | $3,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 500 | $3,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 332 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 204 | $3,000 | thousands by filing date | |
| VBI VACCINES INC CDA | 91790E102 | Stock | 1,427 | $3,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 2,000 | $3,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 2,142 | $3,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 13,712 | $3,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 5,786 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 75 | $2,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 200 | $2,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 1,000 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 600 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $2,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 189 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 606 | $2,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 1,325 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 114 | $2,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 4,600 | $2,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 800 | $2,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| TOWERSTREAM CORP | 892000100 | COM | 15,101 | $2,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 4,893 | $2,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 1,615 | $2,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 524 | $2,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,674 | $2,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 3,698 | $2,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 377 | $2,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 4,000 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 1,000 | $2,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 150 | $2,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 55 | $2,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 4,576 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 1,681 | $2,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 2,815 | $2,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 87 | $2,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,006 | $2,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 209 | $2,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 120 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 595 | $2,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 356 | $2,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 2,331 | $2,000 | thousands by filing date | |
| Saexploration Holdings Inc. | 78636X105 | COM | 3,375 | $2,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 100 | $2,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 503 | $2,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 720 | $2,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 1,140 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 99 | $2,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 96 | $2,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 2,205 | $2,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,891 | $2,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 200 | $2,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 109 | $2,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 129 | $2,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 801 | $2,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 1,023 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 45 | $2,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 673 | $2,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 2,000 | $2,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 100 | $2,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 2,000 | $2,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 169 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 101 | $2,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 484 | $2,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 1,015 | $2,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 2,000 | $2,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 4,082 | $2,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 2,321 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K729 | Cmn | 177 | $2,000 | thousands by filing date | |
| GREAT BASIN SCIENTIFIC INC | 39013L502 | Cmn | 245 | $2,000 | thousands by filing date | |
| VRINGO INC | 92911N302 | Cmn | 759 | $2,000 | thousands by filing date | |
| VENAXIS INC | 92262A206 | COM NEW | 744 | $2,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 183 | $1,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 100 | $1,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 150 | $1,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 115 | $1,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 626 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 27 | $1,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 100 | $1,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 77 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 400 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,360 | $1,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 100 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 432 | $1,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 400 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 200 | $1,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 2,700 | $1,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 91 | $1,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 2,667 | $1,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 303 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 2,535 | $1,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 17 | $1,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,041 | $1,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 25 | $1,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,200 | $1,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| IMAGE SENSING SYS INC | 45244C104 | COM | 507 | $1,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 1,243 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 1,100 | $1,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 1,888 | $1,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 3,639 | $1,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 466 | $1,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 40 | $1,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 7,846 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 7,000 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,053 | $1,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 250 | $1,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 3,023 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 250 | $1,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 1,086 | $1,000 | thousands by filing date | |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 6,438 | $1,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 4,513 | $1,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 257 | $1,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-16-000682 | this filing | 2016-05-12 | acceptance time not in the bulk data set |