13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-10, with 6,580 holding rows worth $292,794,602,000.
- Accession
- 0000895421-16-000768
- Filer
- CIK 895421
- Filed
- 2016-11-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 24,966 entries on the cover page, a total value of $292,794,602,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $292,794,602,000 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.028-17497
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 |
|---|---|---|---|---|---|---|
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 34,966 | $208,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 5,611 | $208,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 220,000 | $208,000 | thousands by filing date | principal |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 36,541 | $208,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 43,500 | $208,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 8,813 | $207,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 20,148 | $207,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 142,499 | $207,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 8,019 | $206,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 15,457 | $206,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 10,774 | $205,000 | thousands by filing date | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 4,637 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 6,347 | $204,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 82,967 | $203,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 7,143 | $203,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 29,909 | $203,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 272,000 | $203,000 | thousands by filing date | principal |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 115,624 | $202,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 15,345 | $202,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 13,411 | $202,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 68,867 | $202,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 6,996 | $201,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 13,880 | $201,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 10,770 | $201,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 12,290 | $201,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P200 | UNIT 99/99/9999T | 11,166 | $201,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 4,627 | $200,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 6,010 | $200,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 11,407 | $200,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 14,036 | $199,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 51,730 | $198,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 21,109 | $198,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 15,358 | $197,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 8,282 | $196,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 4,052 | $195,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 28,451 | $195,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 3,515 | $195,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 26,786 | $193,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 51,943 | $193,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,769 | $191,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 8,156 | $190,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 10,225 | $190,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 6,862 | $190,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 3,874 | $190,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 16,761 | $189,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 11,530 | $189,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 44,154 | $189,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F510 | PRE REFUNDED MUN | 7,659 | $188,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 37,462 | $187,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 26,180 | $187,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 13,035 | $187,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 11,813 | $186,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 11,754 | $186,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 7,775 | $185,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 15,170 | $185,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 18,894 | $185,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 1,300 | $183,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 33,865 | $182,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 113,253 | $182,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 3,720 | $182,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 250,000 | $182,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 15,474 | $182,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 14,486 | $181,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 5,176 | $181,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 49,232 | $181,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 15,962 | $181,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 178,000 | $181,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 160,000 | $180,000 | thousands by filing date | principal |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 57,507 | $180,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 11,626 | $180,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 4,694 | $180,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 13,271 | $178,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 8,484 | $176,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 6,638 | $176,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 7,103 | $175,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 17,877 | $175,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 6,489 | $175,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,641 | $173,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 21,831 | $172,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 16,543 | $172,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 9,200 | $171,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 13,027 | $171,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 1,694 | $170,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 18,747 | $169,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 47,702 | $169,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 12,715 | $169,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 1,704 | $168,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 3,494 | $168,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 5,867 | $168,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 10,622 | $168,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 4,278 | $168,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 9,191 | $167,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 6,995 | $167,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 21,050 | $166,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 7,169 | $166,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 3,668 | $165,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 7,672 | $164,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 52,044 | $163,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 8,970 | $163,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 4,815 | $163,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 4,062 | $161,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 92,340 | $161,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 7,115 | $161,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 9,267 | $161,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 94,500 | $159,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 14,660 | $159,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 4,337 | $158,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 2,626 | $158,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 9,956 | $157,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 31,244 | $157,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 27,558 | $157,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 3,114 | $156,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 19,359 | $156,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 12,081 | $156,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 7,943 | $155,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 5,947 | $155,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 14,026 | $155,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 6,707 | $154,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 9,109 | $154,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 168,101 | $154,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 212,940 | $154,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 5,639 | $153,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 12,152 | $153,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 16,176 | $153,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 12,446 | $152,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 22,481 | $152,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 155,000 | $152,000 | thousands by filing date | principal |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 16,088 | $151,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 85,700 | $151,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 8,259 | $151,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 19,486 | $151,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 7,724 | $150,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 7,552 | $150,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 813 | $150,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 88,651 | $150,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 79,982 | $149,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 8,146 | $149,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 12,498 | $149,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 3,846 | $149,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 6,053 | $148,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 45,268 | $148,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 28,653 | $148,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 9,292 | $148,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 6,435 | $148,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 1,497 | $147,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 13,938 | $146,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 6,912 | $146,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 14,293 | $146,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 22,583 | $146,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 15,967 | $145,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 135,000 | $145,000 | thousands by filing date | principal |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 2,599 | $144,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 42,971 | $144,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 80,805 | $144,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 30,267 | $144,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 7,148 | $143,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 19,802 | $143,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 6,096 | $143,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 6,009 | $143,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 8,750 | $143,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 8,121 | $142,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 8,171 | $141,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 6,322 | $141,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 3,867 | $141,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 1,385 | $140,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 5,252 | $140,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 9,732 | $140,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 2,600 | $140,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 10,811 | $140,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 17,414 | $140,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 7,683 | $140,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 14,254 | $139,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 1,902 | $138,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 2,102 | $138,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 50,834 | $138,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 51,038 | $138,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 5,297 | $137,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 17,686 | $137,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 54,030 | $137,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 8,462 | $136,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 5,871 | $136,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 12,846 | $136,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 17,645 | $136,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 10,152 | $136,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 6,596 | $136,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 74,330 | $136,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 9,352 | $136,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 5,841 | $136,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 167,000 | $136,000 | thousands by filing date | principal |
| GERON CORP | 374163103 | COM | 59,967 | $135,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 116,401 | $135,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 41,500 | $135,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 26,400 | $134,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 5,637 | $134,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 6,539 | $133,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 4,550 | $133,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 47,953 | $133,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 31,280 | $133,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 14,812 | $133,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 34,903 | $133,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 7,830 | $132,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 72,693 | $132,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 8,989 | $132,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 20,692 | $131,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 11,442 | $130,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 61,900 | $130,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 6,057 | $130,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 2,601 | $128,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 5,840 | $128,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 51,700 | $128,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 4,524 | $128,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 5,293 | $128,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 5,790 | $128,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 8,091 | $127,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 6,657 | $127,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 6,903 | $126,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 54,214 | $126,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,969 | $126,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 3,984 | $126,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 4,711 | $125,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 63,718 | $124,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 36,180 | $124,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 16,723 | $123,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 11,114 | $123,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 4,724 | $123,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 7,640 | $123,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 33,000 | $123,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 4,133 | $122,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 24,499 | $122,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 8,850 | $121,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 10,491 | $121,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 17,013 | $121,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,789 | $121,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 6,748 | $120,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 6,373 | $120,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 19,731 | $120,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 11,002 | $120,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 7,301 | $119,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 9,089 | $119,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 6,645 | $118,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 4,948 | $118,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 3,459 | $118,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 3,158 | $118,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 87,713 | $118,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 4,721 | $117,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 9,917 | $117,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 4,636 | $117,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 16,039 | $117,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 213,755 | $116,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 13,015 | $116,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 3,918 | $116,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 6,492 | $115,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 106,000 | $115,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 4,321 | $114,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 10,016 | $114,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 9,000 | $113,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 25,988 | $113,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 94,000 | $113,000 | thousands by filing date | principal |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 25,323 | $112,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 9,419 | $112,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 6,306 | $112,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 3,267 | $112,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 15,025 | $111,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 3,937 | $110,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 110,000 | $110,000 | thousands by filing date | principal |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 10,600 | $110,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 4,411 | $110,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 16,931 | $109,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 4,286 | $109,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 4,424 | $109,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 4,985 | $109,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 10,283 | $108,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 10,500 | $108,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 1,833 | $108,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 8,716 | $108,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 115,671 | $107,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 5,019 | $107,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 5,500 | $107,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 32,469 | $107,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 9,475 | $106,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 7,288 | $106,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 6,923 | $106,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 11,397 | $105,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 52,345 | $105,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 55,754 | $105,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 6,511 | $105,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 794 | $105,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,961 | $104,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 48,005 | $104,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 6,710 | $104,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 31,708 | $104,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 6,552 | $104,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 1,570 | $104,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 45,069 | $104,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 3,159 | $103,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 13,746 | $103,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 19,007 | $103,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 8,279 | $103,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 7,543 | $103,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 18,265 | $103,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 7,084 | $102,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 6,445 | $102,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 25,345 | $101,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 12,584 | $101,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 17,080 | $101,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 9,976 | $101,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 9,604 | $101,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 4,591 | $101,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 35,153 | $101,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 2,188 | $101,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 19,338 | $100,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 13,731 | $99,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 31,696 | $99,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 982 | $99,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 30,970 | $99,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,858 | $98,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 14,009 | $97,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 14,940 | $96,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 7,750 | $96,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 11,736 | $96,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 129,548 | $96,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 36,194 | $96,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,610 | $96,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 7,437 | $96,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 11,847 | $96,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 15,787 | $95,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 6,559 | $95,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 13,196 | $95,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 7,028 | $94,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 7,457 | $94,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 2,053 | $94,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 77,945 | $94,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 10,350 | $94,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 17,190 | $94,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 49,953 | $94,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,873 | $93,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 7,760 | $93,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 4,679 | $93,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 28,276 | $93,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 8,752 | $93,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 8,748 | $93,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 8,086 | $92,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 4,583 | $91,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 4,980 | $91,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 23,321 | $91,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 11,178 | $91,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 2,511 | $91,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 9,000 | $91,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 8,400 | $91,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 38,630 | $91,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 2,332 | $90,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 4,785 | $90,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,202 | $90,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 3,970 | $90,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 6,417 | $90,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 4,595 | $89,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 9,503 | $89,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 29,272 | $89,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 6,380 | $89,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 7,723 | $89,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 26,307 | $88,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,058 | $88,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 29,540 | $88,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 7,800 | $87,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 14,313 | $87,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 9,802 | $86,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 24,681 | $86,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 8,400 | $86,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 144,000 | $86,000 | thousands by filing date | principal |
| NOODLES & CO | 65540B105 | COM CL A | 18,062 | $86,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 86,000 | $86,000 | thousands by filing date | principal |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 37,196 | $86,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 5,404 | $86,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 4,569 | $85,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 12,934 | $85,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 16,133 | $85,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 11,300 | $85,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 3,053 | $85,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 3,122 | $85,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 2,674 | $85,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 18,230 | $85,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 16,573 | $85,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 82,000 | $85,000 | thousands by filing date | principal |
| ADDUS HOMECARE CORP | 006739106 | COM | 3,202 | $84,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 4,177 | $84,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 6,048 | $83,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 13,176 | $83,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 3,148 | $83,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 8,989 | $82,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 22,399 | $82,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 7,869 | $81,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 2,647 | $81,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 36,398 | $81,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 4,302 | $81,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 231,428 | $81,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461464 | EGSHS EMKTSCOR | 4,384 | $81,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 3,365 | $80,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 1,645 | $80,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 20,408 | $80,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 6,047 | $80,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 8,433 | $80,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 2,100 | $80,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 2,502 | $79,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 7,300 | $79,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 1,190 | $79,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 95,278 | $79,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 10,210 | $79,000 | thousands by filing date | |
| GORES HLDGS INC | 382866101 | CL A | 7,398 | $79,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,819 | $78,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 5,592 | $78,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 6,850 | $77,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 131,017 | $77,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 64,492 | $77,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 8,563 | $77,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 4,963 | $77,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 5,349 | $77,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 14,095 | $76,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 5,272 | $76,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 16,971 | $76,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 17,900 | $76,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 11,000 | $75,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 2,309 | $75,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 4,735 | $75,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 2,520 | $75,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 555 | $75,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 32,000 | $75,000 | thousands by filing date | principal |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 2,000 | $75,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 12,790 | $75,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 10,064 | $74,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 2,758 | $74,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 3,358 | $74,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 20,636 | $74,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 13,627 | $74,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 12,194 | $74,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 2,351 | $73,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 774 | $73,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 3,700 | $73,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 4,674 | $73,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 20,000 | $73,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 21,125 | $73,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 13,297 | $73,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 33,033 | $72,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 5,414 | $72,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 33,655 | $72,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 1,623 | $72,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 800 | $72,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 10,120 | $71,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 4,817 | $71,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 2,597 | $71,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 7,956 | $71,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 10,717 | $71,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 9,247 | $70,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,550 | $70,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 2,920 | $70,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 4,273 | $70,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 3,651 | $70,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 30,985 | $70,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 3,062 | $70,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 1,443 | $70,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 24,203 | $69,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 2,207 | $69,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,459 | $69,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 3,220 | $69,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 14,695 | $68,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 11,162 | $68,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 9,036 | $68,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 1,883 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 807 | $67,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 4,077 | $67,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 5,122 | $67,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 54,000 | $67,000 | thousands by filing date | principal |
| MOSYS INC COM | 619718109 | COM | 88,878 | $67,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 71,000 | $67,000 | thousands by filing date | principal |
| GENER8 MARITIME INC | Y26889108 | COM | 13,061 | $67,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 2,456 | $66,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 6,381 | $66,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 7,169 | $66,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 4,844 | $66,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 2,425 | $66,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 3,230 | $66,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 2,775 | $65,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 6,708 | $65,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,775 | $65,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 4,576 | $65,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 1,733 | $65,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 19,227 | $65,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 7,292 | $65,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 18,175 | $65,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 7,070 | $65,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 8,015 | $64,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,921 | $64,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 13,708 | $64,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 4,717 | $64,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 48,000 | $64,000 | thousands by filing date | principal |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 19,669 | $63,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 3,286 | $63,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR EGSHARE EM | 268461621 | DOM | 3,280 | $63,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 2,199 | $63,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 61,000 | $63,000 | thousands by filing date | principal |
| OPPENHEIMER REV WEIGHTED ETF | 68386C609 | NAVELR A100 ETF | 1,300 | $63,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-16-000768 | this filing | 2016-11-10 | acceptance time not in the bulk data set |