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 |
|---|---|---|---|---|---|---|
| ADMA BIOLOGICS INC | 000899104 | COM | 8,537 | $62,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 5,305 | $62,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 6,053 | $62,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,831 | $62,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,408 | $62,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 6,885 | $62,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 2,279 | $62,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 4,591 | $62,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 35,000 | $61,000 | thousands by filing date | principal |
| Misonix Inc | 604871103 | COM | 11,431 | $61,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 4,022 | $60,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 2,075 | $60,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 2,264 | $60,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 2,414 | $60,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 866 | $60,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 38,020 | $60,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 9,373 | $60,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 10,757 | $60,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 5,153 | $60,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 3,680 | $59,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 5,863 | $59,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 2,108 | $59,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 7,400 | $59,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 8,055 | $58,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 1,769 | $58,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 1,278 | $58,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 6,937 | $58,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 2,995 | $58,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 45,100 | $58,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 21,003 | $57,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 61,000 | $57,000 | thousands by filing date | principal |
| RELM WIRELESS CORP | 759525108 | COM | 10,731 | $57,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 16,573 | $57,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 2,829 | $56,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 5,038 | $56,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 1,987 | $56,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 52,400 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 613 | $56,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 33,607 | $56,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 90,210 | $56,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 932 | $56,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 13,302 | $56,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 4,265 | $56,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 4,273 | $56,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 2,115 | $55,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 12,631 | $55,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 2,795 | $55,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 9,438 | $55,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 18,282 | $55,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 8,957 | $55,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 2,238 | $55,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 3,235 | $55,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 8,021 | $55,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,650 | $54,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 9,477 | $54,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 2,723 | $54,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 13,329 | $54,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 89,000 | $54,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 113,266 | $53,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,428 | $53,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 14,542 | $53,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 38,452 | $53,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 199,990 | $53,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 197,215 | $53,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,300 | $53,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 3,564 | $53,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 12,514 | $53,000 | thousands by filing date | |
| KLR ENERGY ACQUISITION CORP | 49877M207 | UNIT 12/31/2020 | 5,004 | $53,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 107,450 | $52,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 11,477 | $52,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 9,757 | $52,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 2,537 | $52,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 8,375 | $52,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 5,923 | $52,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 1,135 | $52,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 5,721 | $52,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,796 | $52,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,528 | $52,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 6,314 | $51,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 6,427 | $51,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 4,849 | $51,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 2,496 | $51,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 23,212 | $51,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 17,198 | $51,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 8,422 | $51,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 17,402 | $51,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 51,000 | $51,000 | thousands by filing date | principal |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 4,057 | $51,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 1,926 | $51,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 46,000 | $51,000 | thousands by filing date | principal |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 22,083 | $51,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 22,517 | $50,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 11,569 | $50,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 3,425 | $50,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 13,200 | $50,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 2,758 | $50,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 2,112 | $50,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 18,465 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,006 | $49,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 5,415 | $49,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,619 | $49,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 3,061 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 2,922 | $49,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 37,576 | $49,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 12,730 | $49,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 2,173 | $49,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 44,000 | $49,000 | thousands by filing date | principal |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 737 | $49,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,785 | $48,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 19,391 | $48,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 15,568 | $48,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 21,918 | $48,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,639 | $47,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,971 | $47,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1,717 | $47,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 2,190 | $47,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 80,694 | $47,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,734 | $47,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 2,046 | $47,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 21,006 | $46,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 18,575 | $46,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 11,280 | $46,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 6,099 | $46,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 7,814 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 3,179 | $46,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 50,422 | $45,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,872 | $45,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 927 | $45,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 5,968 | $45,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,376 | $45,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 165,596 | $45,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 9,039 | $45,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 4,500 | $45,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 905 | $45,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 5,986 | $45,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 5,782 | $44,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 3,899 | $44,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,594 | $44,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 1,575 | $44,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 16,243 | $44,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 24,000 | $44,000 | thousands by filing date | principal |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 14,108 | $44,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 14,836 | $44,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 45,000 | $44,000 | thousands by filing date | principal |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 10,832 | $44,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 6,890 | $43,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 2,700 | $43,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 7,155 | $43,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 800 | $43,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 2,812 | $43,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 18,272 | $43,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 9,486 | $43,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 8,100 | $43,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 325 | $43,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 5,929 | $42,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 2,168 | $42,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,623 | $42,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $42,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 3,669 | $42,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 1,884 | $42,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 4,458 | $42,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 5,051 | $42,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 29,950 | $42,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 35,000 | $42,000 | thousands by filing date | principal |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 6,158 | $41,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 7,282 | $41,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 23,679 | $41,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 35,820 | $41,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,523 | $41,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 11,993 | $41,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 35,000 | $41,000 | thousands by filing date | principal |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 4,892 | $40,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 4,223 | $40,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,050 | $40,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 47,538 | $40,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 34,000 | $40,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 17,499 | $40,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 5,043 | $40,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 18,878 | $40,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 10,419 | $40,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 8,290 | $40,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,974 | $40,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 44,000 | $40,000 | thousands by filing date | principal |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 32,509 | $39,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 13,402 | $39,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 7,548 | $39,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,885 | $39,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 35,000 | $39,000 | thousands by filing date | principal |
| VITAL THERAPIES INC | 92847R104 | COM | 6,458 | $39,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 2,171 | $39,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 4,400 | $39,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 55,690 | $39,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 6,362 | $38,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 6,389 | $38,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 2,700 | $38,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 2,924 | $38,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 28,000 | $38,000 | thousands by filing date | principal |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 340 | $38,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 13,492 | $38,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 28,175 | $38,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 2,825 | $38,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 36,000 | $37,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 26,949 | $37,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 21,595 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,565 | $37,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 37,000 | $37,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 31,000 | $37,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 36,000 | $37,000 | thousands by filing date | principal |
| CANCER GENETICS INC. | 13739u104 | COM | 21,001 | $37,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 2,157 | $37,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 99,378 | $37,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 8,106 | $37,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 3,184 | $36,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 3,300 | $36,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 6,327 | $36,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 6,324 | $36,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 51,081 | $36,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 3,816 | $36,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 4,385 | $36,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 4,786 | $36,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 2,000 | $36,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 1,044 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $36,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 2,759 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,917 | $36,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 27,500 | $36,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 388 | $36,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 1,593 | $35,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 4,460 | $35,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,539 | $35,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,821 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 787 | $35,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 2,072 | $35,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,519 | $35,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 1,576 | $35,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 5,011 | $35,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 10,192 | $35,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 13,020 | $35,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 9,468 | $34,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,284 | $34,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,463 | $34,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,700 | $34,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,039 | $34,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,663 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 2,663 | $34,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 18,700 | $34,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 1,242 | $33,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 5,149 | $33,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 6,018 | $33,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,678 | $33,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,084 | $33,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 6,322 | $33,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 1,816 | $33,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 9,793 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 881 | $33,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 1,250 | $33,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,800 | $33,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,518 | $33,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 2,192 | $32,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,201 | $32,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 949 | $32,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 36,780 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 2,400 | $32,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 14,650 | $32,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,224 | $32,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 6,035 | $32,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,103 | $31,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,562 | $31,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,143 | $31,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 10,301 | $31,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,483 | $31,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,921 | $31,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 59,000 | $31,000 | thousands by filing date | principal |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 7,880 | $31,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,793 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 1,734 | $31,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 17,587 | $31,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 4,102 | $31,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 24,000 | $31,000 | thousands by filing date | principal |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 1,800 | $31,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 3,642 | $31,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90270L354 | SER B LKD 46 | 1,000 | $31,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 3,917 | $31,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,275 | $30,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,208 | $30,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,570 | $30,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $30,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 669 | $30,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 10,500 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,492 | $30,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 13,000 | $30,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,066 | $30,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 16,000 | $30,000 | thousands by filing date | principal |
| RED LION HOTELS CORP | 756764106 | COM | 3,593 | $30,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 27,000 | $30,000 | thousands by filing date | principal |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 5,034 | $30,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 21,000 | $30,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B813 | mc | 775 | $30,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 25,000 | $30,000 | thousands by filing date | principal |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 2,039 | $30,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 2,029 | $29,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,751 | $29,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 291 | $29,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 796 | $29,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 47,000 | $29,000 | thousands by filing date | principal |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,726 | $29,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 14,094 | $29,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 29,000 | $29,000 | thousands by filing date | principal |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $29,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 13,799 | $29,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 5,250 | $28,000 | thousands by filing date | |
| PROSHARES SP 500 DIVIDEND ARISTOCRATS ETF | 74347B482 | ETF | 440 | $28,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 3,916 | $28,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 39,797 | $28,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 33,000 | $28,000 | thousands by filing date | principal |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 2,313 | $28,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 995 | $27,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,245 | $27,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 367 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 425 | $27,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,070 | $27,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 5,912 | $27,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,367 | $27,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 3,311 | $27,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 6,000 | $27,000 | thousands by filing date | |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 28,000 | $27,000 | thousands by filing date | principal |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 6,200 | $27,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P101 | CL A | 1,718 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,568 | $26,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 1,510 | $26,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 2,149 | $26,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 400 | $26,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 8,337 | $26,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,500 | $26,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 5,149 | $26,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 20,716 | $26,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 78,455 | $26,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 45,756 | $26,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 881 | $26,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $25,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 12,154 | $25,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,500 | $25,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 3,570 | $25,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 14,475 | $25,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 5,000 | $25,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 3,790 | $25,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 3,546 | $25,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,776 | $25,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 31,300 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 1,100 | $25,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 5,754 | $25,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,322 | $25,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 15,615 | $25,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 10,675 | $25,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 579 | $24,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,514 | $24,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 2,867 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 600 | $24,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 2,400 | $24,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,941 | $24,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 22,000 | $24,000 | thousands by filing date | principal |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,486 | $24,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 11,700 | $24,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 2,659 | $24,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 29,159 | $24,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 2,727 | $24,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 12,398 | $24,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,811 | $23,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,700 | $23,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 2,227 | $23,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 717 | $23,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 3,140 | $23,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 20,112 | $23,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $23,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 3,202 | $23,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 10,921 | $23,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 656 | $23,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 872 | $23,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,693 | $23,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 2,700 | $23,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 6,765 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,056 | $23,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 16,195 | $23,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 17,280 | $23,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 549333300 | Stock | 7,676 | $23,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 805 | $22,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 636 | $22,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 1,114 | $22,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,600 | $22,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 1,550 | $22,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,502 | $22,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 34,695 | $22,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,359 | $22,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 1,400 | $22,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 8,390 | $22,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 2,687 | $22,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 4,972 | $22,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,315 | $22,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 23,000 | $22,000 | thousands by filing date | principal |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 1,006 | $21,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,382 | $21,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 784 | $21,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 900 | $21,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 4,100 | $21,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 2,078 | $21,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 4,694 | $21,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 13,082 | $21,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,966 | $21,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 125 | $21,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 22,000 | $21,000 | thousands by filing date | principal |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 37,500 | $21,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,000 | $20,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,809 | $20,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,090 | $20,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 5,084 | $20,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 61,700 | $20,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 17,000 | $20,000 | thousands by filing date | principal |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,531 | $20,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 1,200 | $20,000 | thousands by filing date | |
| AGRIA CORP | 00850H103 | SPONSORED ADR | 24,400 | $20,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 8,932 | $20,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 2,678 | $20,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 3,000 | $20,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 16,000 | $20,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X384 | MSCI AUS STRTGIC | 400 | $20,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 792 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $19,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 833 | $19,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 9,000 | $19,000 | thousands by filing date | principal |
| BSQUARE CORP | 11776U300 | COM | 3,900 | $19,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 768 | $19,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 4,420 | $19,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 7,002 | $19,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 7,458 | $19,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 6,500 | $19,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 3,600 | $19,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 21,000 | $19,000 | thousands by filing date | principal |
| Cenveo Inc (NV) | 15670S402 | CS | 2,729 | $19,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 19,000 | $19,000 | thousands by filing date | principal |
| ITUS CORP | 45069V203 | COM NEW | 5,000 | $19,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 4,400 | $18,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,813 | $18,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,055 | $18,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 2,160 | $18,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 2,099 | $18,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 829 | $18,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 5,080 | $18,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 750 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 200 | $18,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 796 | $18,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 2,233 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K778 | SEMICONDUCT BEAR | 1,200 | $18,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,000 | $17,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 956 | $17,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,414 | $17,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,714 | $17,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 4,390 | $17,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 3,597 | $17,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 4,864 | $17,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 9,831 | $17,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 1,309 | $17,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 12,050 | $17,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 2,104 | $17,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 416 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 853 | $17,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 798 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,002 | $17,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 8,351 | $17,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 1,625 | $17,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 8,938 | $17,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 3,789 | $17,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 536 | $17,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 14,000 | $17,000 | thousands by filing date | principal |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 4,651 | $17,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,233 | $16,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,000 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 321 | $16,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 700 | $16,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,511 | $16,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 1,805 | $16,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 898 | $16,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,300 | $16,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 16,000 | $16,000 | thousands by filing date | principal |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 5,700 | $16,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 3,854 | $16,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 13,000 | $16,000 | thousands by filing date | principal |
| GLYCOMIMETICS INC | 38000Q102 | COM | 2,185 | $16,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 5,388 | $16,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $16,000 | thousands by filing date | principal |
| ARQULE INC | 04269E107 | COM | 8,700 | $16,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 26,044 | $16,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,604 | $16,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $16,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $16,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 977 | $16,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 2,889 | $16,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,387 | $16,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,200 | $16,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 700 | $15,000 | 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 |