13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-12, with 6,611 holding rows worth $276,854,796,000.
- Accession
- 0000895421-16-000729
- Filer
- CIK 895421
- Filed
- 2016-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 24,731 entries on the cover page, a total value of $276,854,796,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $276,854,796,000 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
- included managerSTRATEGIC INVESTMENTS I, INC.
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 |
|---|---|---|---|---|---|---|
| PEOPLES UTAH BANCORP | 712706209 | COM | 776 | $13,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 592 | $13,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,667 | $13,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 16,648 | $13,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 1,000 | $13,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 921 | $12,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 1,354 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 159 | $12,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 8,128 | $12,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,161 | $12,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 450 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 581 | $12,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,442 | $12,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 5,000 | $12,000 | thousands by filing date | principal |
| CIBER INC | 17163B102 | COM | 7,959 | $12,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 37,543 | $12,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 400 | $12,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 2,115 | $12,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 5,489 | $12,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 10,004 | $12,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $12,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 415 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 2,225 | $12,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,233 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 932 | $12,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 838 | $12,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 700 | $12,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 2,312 | $12,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 6,500 | $12,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 500 | $12,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,045 | $12,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,650 | $12,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 1,339 | $12,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 394 | $12,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 16,467 | $12,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 1,964 | $12,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,200 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 120 | $11,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 550 | $11,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 2,770 | $11,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 10,000 | $11,000 | thousands by filing date | principal |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 975 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 22,000 | $11,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 6,700 | $11,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 3,495 | $11,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,517 | $11,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 5,000 | $11,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 669 | $11,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,899 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 847 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 151 | $11,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,831 | $11,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,845 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 625 | $11,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 75 | $11,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 1,000 | $10,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 378 | $10,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,998 | $10,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,600 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 124 | $10,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,130 | $10,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,883 | $10,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,500 | $10,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 7,000 | $10,000 | thousands by filing date | principal |
| ITERIS INC NEW | 46564T107 | COM | 3,641 | $10,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 17,000 | $10,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $10,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 1,274 | $10,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 6,689 | $10,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 2,565 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 456 | $10,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,563 | $10,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 6,000 | $10,000 | thousands by filing date | principal |
| BIOSTAGE INC | 09074M103 | COM | 8,362 | $10,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 1,002 | $10,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 2,964 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 190 | $9,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 365 | $9,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,801 | $9,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,075 | $9,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 452 | $9,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 18,858 | $9,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 8,000 | $9,000 | thousands by filing date | principal |
| MEI PHARMA INC | 55279B202 | COM NEW | 6,684 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 378 | $9,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 10,000 | $9,000 | thousands by filing date | principal |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,000 | $9,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 7,650 | $9,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,000 | $9,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 700 | $9,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 599 | $9,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 12,000 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $9,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 8,000 | $9,000 | thousands by filing date | principal |
| CORIUM INTL INC | 21887L107 | COM | 2,614 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 267 | $9,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 10,000 | $9,000 | thousands by filing date | principal |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 5,604 | $9,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 862 | $9,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P200 | UNIT 99/99/9999T | 902 | $9,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 164 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 321 | $8,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,100 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 1,059 | $8,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 940 | $8,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,643 | $8,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 28,256 | $8,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 426 | $8,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 6,086 | $8,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 8,000 | $8,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,500 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 12,044 | $8,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 2,043 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 186 | $8,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 5,760 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 189 | $8,000 | thousands by filing date | |
| LAPORTE BANCORP INC MD | 516651106 | COM | 500 | $8,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 4,450 | $8,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 400 | $8,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 203 | $8,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 340 | $8,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 1,058 | $8,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 214 | $8,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 3,288 | $8,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 2,061 | $8,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 4,279 | $8,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 4,967 | $8,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 12,168 | $8,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 1,200 | $8,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22539T316 | COM | 260 | $8,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 3,283 | $8,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,000 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 8,000 | $8,000 | thousands by filing date | principal |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 16,000 | $8,000 | thousands by filing date | principal |
| Carbylan Therapeutics Inc. | 141384107 | COM | 12,415 | $8,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 8,124 | $7,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 400 | $7,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 105 | $7,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 165 | $7,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,330 | $7,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,500 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 153 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 178 | $7,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 250 | $7,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 323 | $7,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 4,679 | $7,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 3,000 | $7,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 6,594 | $7,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 500 | $7,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 868 | $7,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 3,826 | $7,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,000 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 214 | $7,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $7,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,232 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 670 | $7,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 2,500 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 180 | $7,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 488 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 55 | $7,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 873 | $7,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 3,001 | $7,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,550 | $7,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 1,501 | $7,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 4,000 | $7,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 176 | $7,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 4,801 | $7,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 9,734 | $7,000 | 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 | 2,099 | $6,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 400 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 289 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 192 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 217 | $6,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 1,995 | $6,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 200 | $6,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 65 | $6,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,690 | $6,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 740 | $6,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 548 | $6,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 1,500 | $6,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $6,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 2,100 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,000 | $6,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 3,095 | $6,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 200 | $6,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 900 | $6,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 1,573 | $6,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 5,000 | $6,000 | thousands by filing date | principal |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 103 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 215 | $6,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 1,787 | $6,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 2,188 | $6,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 7,000 | $6,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 6,000 | $6,000 | thousands by filing date | principal |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,000 | $6,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 475 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 500 | $6,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 6,000 | $6,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 5,000 | $6,000 | thousands by filing date | principal |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 17,000 | $6,000 | thousands by filing date | principal |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 9,451 | $6,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 6,400 | $6,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 917 | $5,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 87 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 172 | $5,000 | thousands by filing date | |
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| GREEN BRICK PARTNERS INC | 392709101 | COM | 677 | $5,000 | thousands by filing date | |
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| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 2,842 | $5,000 | thousands by filing date | |
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| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,600 | $5,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 2,300 | $5,000 | thousands by filing date | |
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| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,100 | $5,000 | thousands by filing date | |
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| MOOG INC | 615394301 | CL B | 100 | $5,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 3,966 | $5,000 | thousands by filing date | |
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| DURECT CORP | 266605104 | COM | 3,840 | $5,000 | thousands by filing date | |
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| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| VERSAR INC | 925297103 | COM | 5,000 | $5,000 | thousands by filing date | |
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| VOLTARI CORP NEW | 92870X309 | COM | 1,376 | $5,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 5,000 | $5,000 | thousands by filing date | principal |
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| Tandem Diabetes Care, Inc. | 875372104 | COM | 719 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 400 | $5,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 368 | $5,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 212 | $5,000 | thousands by filing date | |
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| CIM COML TR CORP | 125525105 | COM | 307 | $5,000 | thousands by filing date | |
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| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 2,782 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 272 | $5,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F858 | Cmn | 251 | $5,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 89 | $4,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 1,600 | $4,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 417 | $4,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 247 | $4,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
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| TOWERSTREAM CORP | 892000100 | COM | 18,088 | $4,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 2,445 | $4,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,000 | $4,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 2,399 | $4,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 2,850 | $4,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 14,874 | $4,000 | thousands by filing date | |
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| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $4,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,644 | $4,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 5,800 | $4,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 2,500 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $4,000 | thousands by filing date | |
| ISHARES TR | 46429B382 | MSCI EMKT LATN | 140 | $4,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 2,500 | $4,000 | thousands by filing date | |
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| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 203 | $4,000 | thousands by filing date | |
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| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,000 | $4,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,255 | $4,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 300 | $4,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 857 | $4,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,556 | $4,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 80 | $4,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,131 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 13,712 | $4,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 500 | $4,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 483 | $4,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 133 | $3,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 115 | $3,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 300 | $3,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 42 | $3,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 350 | $3,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 200 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $3,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $3,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 407 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 100 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 178 | $3,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $3,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 152 | $3,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,625 | $3,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 331 | $3,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 2,000 | $3,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,000 | $3,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 100 | $3,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 99 | $3,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 457 | $3,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 1,600 | $3,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 8,816 | $3,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 1,061 | $3,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $3,000 | thousands by filing date | principal |
| REACHLOCAL INC | 75525F104 | COM | 623 | $3,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 700 | $3,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 8,000 | $3,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 3,641 | $3,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 442 | $3,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 814 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 1,000 | $3,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 124 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 595 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 269 | $3,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 200 | $3,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 500 | $3,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 400 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 3,125 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 199 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,100 | $3,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 343 | $3,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 721 | $3,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 500 | $3,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 900 | $3,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 970 | $3,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 100 | $3,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,000 | $3,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 491 | $3,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $3,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 1,199 | $3,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 1,000 | $3,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 3,000 | $3,000 | thousands by filing date | principal |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 2,000 | $3,000 | thousands by filing date | principal |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 3,000 | $3,000 | thousands by filing date | principal |
| FORM HLDGS CORP COM | 34634E102 | Stock | 1,843 | $3,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,841 | $3,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 150 | $3,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 48 | $3,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,317 | $3,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 5,079 | $3,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 2,241 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F650 | INDONESIA SMALL | 317 | $3,000 | thousands by filing date | |
| VENAXIS INC | 92262A206 | COM NEW | 738 | $3,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 114 | $2,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 238 | $2,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 128 | $2,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,030 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,115 | $2,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 1,056 | $2,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 448 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 104 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $2,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 703 | $2,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 125 | $2,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 105 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 114 | $2,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 100 | $2,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 1,228 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,500 | $2,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 222 | $2,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 2,052 | $2,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 550 | $2,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 4,435 | $2,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 100 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 250 | $2,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 50 | $2,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $2,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 4,576 | $2,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 87 | $2,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 26,900 | $2,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,000 | $2,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 658 | $2,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 200 | $2,000 | thousands by filing date | |
| ELEMENTS LKD TO S&P CMDTY TR | 4042EP602 | CMN | 356 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 50 | $2,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 100 | $2,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 489 | $2,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 740 | $2,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 3,962 | $2,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,000 | $2,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 123 | $2,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,863 | $2,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 200 | $2,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 100 | $2,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 121 | $2,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 801 | $2,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 1,503 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 583 | $2,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 5,088 | $2,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 500 | $2,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 5,830 | $2,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 484 | $2,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 5,830 | $2,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 1,000 | $2,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 2,000 | $2,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 445 | $2,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 183 | $1,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 150 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 220 | $1,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 595 | $1,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 101 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 400 | $1,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 246 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 400 | $1,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 697 | $1,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 40 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 432 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 200 | $1,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 303 | $1,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 300 | $1,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 222 | $1,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,041 | $1,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 2,355 | $1,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 4,443 | $1,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,093 | $1,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 3,242 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 1,100 | $1,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 40 | $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 | 1,265 | $1,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 4,948 | $1,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 1,590 | $1,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 5,000 | $1,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 100 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 4,000 | $1,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 4,508 | $1,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 1,983 | $1,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $1,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 801 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 20 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 384 | $1,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 130 | $1,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 2,300 | $1,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 79 | $1,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 350 | $1,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,165 | $1,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 500 | $1,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 7,795 | $1,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 331 | $1,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 1,100 | $1,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 600 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 1,000 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 610 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 300 | $1,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 438 | $1,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 1,200 | $1,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 483 | $1,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 1,881 | $1,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 200 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 550 | $1,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 500 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 400 | $1,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 229 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 200 | $1,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 50 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 2,208 | $1,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,015 | $1,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 138 | $1,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 5,898 | $1,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 1,000 | $1,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 200 | $1,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 250 | $1,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 264 | $1,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 306 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 278 | $1,000 | thousands by filing date | |
| CROSSROADS SYS INC COM PAR | 22765D407 | Stock | 317 | $1,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 688 | $1,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195124 | COM | 79 | $1,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 500 | $1,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247107 | COM | 101 | $1,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M106 | COMMON STOCK | 60 | $1,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 2,445 | $1,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 2,321 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A507 | Cmn | 2,451 | $1,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAR TECHNOLOGY CORP | 698884103 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-16-000729 | this filing | 2016-08-12 | acceptance time not in the bulk data set |