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 |
|---|---|---|---|---|---|---|
| ARQ INC | 00770C101 | COM | 2,000 | $15,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 908 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 120 | $15,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 4,439 | $15,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,555 | $15,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,287 | $15,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,176 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 650 | $15,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,303 | $15,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 383 | $15,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 3,649 | $15,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 11,405 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 605 | $15,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,115 | $15,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $15,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 2,514 | $15,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,204 | $15,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 2,066 | $15,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 11,053 | $15,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 16,000 | $15,000 | thousands by filing date | principal |
| COGINT INC | 19241Q101 | COM | 2,939 | $15,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 9,044 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 574 | $14,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 6,100 | $14,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,130 | $14,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,231 | $14,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 9,000 | $14,000 | thousands by filing date | principal |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 7,091 | $14,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $14,000 | thousands by filing date | principal |
| LRAD CORP | 50213V109 | COM | 7,650 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 586 | $14,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $14,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $14,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 2,100 | $14,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 700 | $14,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 10,722 | $14,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 5,200 | $14,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 5,400 | $14,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 4,457 | $14,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,667 | $14,000 | thousands by filing date | |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,200 | $14,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,178 | $14,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 6,400 | $13,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 1,089 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 5,077 | $13,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 2,600 | $13,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 4,000 | $13,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 9,617 | $13,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,801 | $13,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 666 | $13,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 3,309 | $13,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,692 | $13,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 20,177 | $13,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $13,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,150 | $13,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 5,453 | $13,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 394 | $13,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,106 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 793 | $13,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 838 | $13,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 1,998 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 550 | $13,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 807 | $13,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 19,500 | $13,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 4,464 | $13,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 2,043 | $13,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 7,000 | $13,000 | thousands by filing date | principal |
| ADVANSIX INC | 00773T101 | COM | 684 | $12,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 700 | $12,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,200 | $12,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,200 | $12,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 639 | $12,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 8,439 | $12,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 18,424 | $12,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 24,000 | $12,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,764 | $12,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 2,529 | $12,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,090 | $12,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,670 | $12,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 12,000 | $12,000 | thousands by filing date | principal |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,000 | $12,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 500 | $12,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 850 | $12,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 2,000 | $12,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 8,000 | $12,000 | thousands by filing date | principal |
| CARTESIAN INC | 146534102 | COM ADDED | 18,343 | $12,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 644 | $11,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $11,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $11,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 3,600 | $11,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 3,125 | $11,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 867 | $11,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 552 | $11,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 5,445 | $11,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 2,573 | $11,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,045 | $11,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 6,284 | $11,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 10,052 | $11,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 4,244 | $11,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 392 | $11,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 7,000 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 625 | $11,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,511 | $11,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 9,000 | $11,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 1,015 | $11,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 28,000 | $11,000 | thousands by filing date | principal |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 7,275 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 190 | $10,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 365 | $10,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,916 | $10,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,292 | $10,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 300 | $10,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 2,779 | $10,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 695,656 | $10,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 331 | $10,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 6,120 | $10,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 599 | $10,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,500 | $10,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $10,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,725 | $10,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,070 | $10,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 8,500 | $10,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 1,780 | $10,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T307 | COM | 1,137 | $10,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 437 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 186 | $9,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,075 | $9,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 4,398 | $9,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 21,860 | $9,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 9,000 | $9,000 | thousands by filing date | principal |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,000 | $9,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 18,397 | $9,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 4,000 | $9,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,517 | $9,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 7,000 | $9,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 189 | $9,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 400 | $9,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,232 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $9,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 9,000 | $9,000 | thousands by filing date | principal |
| NOVAN INC | 66988N106 | COM | 447 | $9,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22539T316 | COM | 389 | $9,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 8,950 | $9,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 75 | $9,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 11,918 | $9,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 8,362 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K786 | DL RUSS BEAR 3X | 922 | $9,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 7,765 | $8,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 164 | $8,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 610 | $8,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 30,626 | $8,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,500 | $8,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $8,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,000 | $8,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,100 | $8,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 1,351 | $8,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 792 | $8,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 4,089 | $8,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 176 | $8,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 7,000 | $8,000 | thousands by filing date | principal |
| DNB Financial Corporation | 233237106 | Common Stock | 340 | $8,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 214 | $8,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 352 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 670 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 215 | $8,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 55 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 2,700 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 315 | $8,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 2,673 | $8,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 832 | $8,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 258 | $8,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 500 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 9,000 | $8,000 | thousands by filing date | principal |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 16,000 | $8,000 | thousands by filing date | principal |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 8,000 | $8,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 289 | $7,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 105 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,656 | $7,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,621 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 940 | $7,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 10,000 | $7,000 | thousands by filing date | principal |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 1,700 | $7,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $7,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 1,888 | $7,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 6,689 | $7,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 200 | $7,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $7,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,000 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 1,250 | $7,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 953 | $7,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,563 | $7,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 7,000 | $7,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 2,000 | $7,000 | thousands by filing date | principal |
| Neothetics Inc | 64066G101 | COM | 6,200 | $7,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 2,099 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 192 | $6,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 490 | $6,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 200 | $6,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 5,253 | $6,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $6,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 154 | $6,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,217 | $6,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 42,845 | $6,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 400 | $6,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,418 | $6,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 5,000 | $6,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,500 | $6,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 2,000 | $6,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,130 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 7,130 | $6,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 4,000 | $6,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 2,987 | $6,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 416 | $6,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 11,500 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 103 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 30 | $6,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 839 | $6,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 6,000 | $6,000 | thousands by filing date | principal |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,000 | $6,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 4,000 | $6,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,000 | $6,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 4,000 | $6,000 | thousands by filing date | principal |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 1,445 | $6,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 3,450 | $6,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 6,100 | $5,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 87 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 172 | $5,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 500 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 1,000 | $5,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,243 | $5,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 625 | $5,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 500 | $5,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 6,324 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,612 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $5,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 605 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 7,600 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 43,000 | $5,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $5,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 1,800 | $5,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 2,000 | $5,000 | thousands by filing date | principal |
| XOMA CORP DEL | 98419J107 | COM | 9,673 | $5,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 15 | $5,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 4,000 | $5,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,000 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 803 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 14,692 | $5,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 5,253 | $5,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 800 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 5,800 | $5,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 3,000 | $5,000 | thousands by filing date | principal |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 4,611 | $5,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $5,000 | thousands by filing date | principal |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 2,188 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 400 | $5,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $5,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 300 | $5,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,029 | $5,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 50 | $5,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 4,000 | $5,000 | thousands by filing date | principal |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 300 | $5,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 2,697 | $5,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 1,380 | $5,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYSTEMS GROUP INC | 01167PAE1 | CV SR SUB NT | 5,000 | $5,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 272 | $5,000 | thousands by filing date | |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 4,000 | $5,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 200 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 128 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 50 | $4,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 500 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $4,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,625 | $4,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 2,199 | $4,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 208 | $4,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 188 | $4,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 2,024 | $4,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 39,430 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 267 | $4,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 200 | $4,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 596 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 203 | $4,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,000 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 3,918 | $4,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 3,000 | $4,000 | thousands by filing date | principal |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 168 | $4,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 700 | $4,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,550 | $4,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 910 | $4,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,500 | $4,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 4,000 | $4,000 | thousands by filing date | principal |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 121 | $4,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $4,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 4,000 | $4,000 | thousands by filing date | principal |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 2,000 | $4,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 2,328 | $4,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 548 | $4,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 1,367 | $4,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 80 | $4,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 80 | $4,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 8,950 | $4,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 400 | $4,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 1,000 | $4,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 250 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 102 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 291 | $3,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,262 | $3,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 200 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $3,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 155 | $3,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 329 | $3,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $3,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 334 | $3,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 1,400 | $3,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 329 | $3,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 5,250 | $3,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 5,250 | $3,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 2,871 | $3,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 1,000 | $3,000 | thousands by filing date | principal |
| HUDSON GLOBAL INC | 443787106 | COM | 2,085 | $3,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 8,450 | $3,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 8,000 | $3,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 2,548 | $3,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 1,000 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 175 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 98 | $3,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 40 | $3,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 40 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 269 | $3,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 145 | $3,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 1,700 | $3,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,000 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D548 | VS 3XINV CRUDE | 50 | $3,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 823 | $3,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 3,001 | $3,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 29 | $3,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 31 | $3,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 185 | $3,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 5,675 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $3,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 1,000 | $3,000 | thousands by filing date | principal |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 3,000 | $3,000 | thousands by filing date | principal |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,317 | $3,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 483 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F858 | Cmn | 151 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F650 | INDONESIA SMALL | 317 | $3,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 128 | $2,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 700 | $2,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 2,207 | $2,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 314 | $2,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 42 | $2,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 1,040 | $2,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 100 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R727 | PSHS ULTRA INDL | 51 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,700 | $2,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 333 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,000 | $2,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,000 | $2,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 2,000 | $2,000 | thousands by filing date | principal |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 1,429 | $2,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 203 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,500 | $2,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 869 | $2,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 1,300 | $2,000 | thousands by filing date | |
| GOLDEN ENTERPRISES | 381010107 | COM | 167 | $2,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 3,000 | $2,000 | thousands by filing date | principal |
| CHEROKEE INC | 16444H102 | COM | 231 | $2,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,200 | $2,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 87 | $2,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,000 | $2,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 200 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 595 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 168 | $2,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 400 | $2,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 79 | $2,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 350 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 50 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS-ADR | 98386D208 | COM | 2,600 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 50 | $2,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 250 | $2,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 519 | $2,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 1,100 | $2,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 429 | $2,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,000 | $2,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,250 | $2,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 229 | $2,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,000 | $2,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,863 | $2,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 121 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 583 | $2,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,841 | $2,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 13,712 | $2,000 | thousands by filing date | |
| VENAXIS INC | 92262A206 | COM NEW | 738 | $2,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 174 | $1,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 150 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 169 | $1,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 612 | $1,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,360 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 400 | $1,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 1,794 | $1,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 67 | $1,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 290 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 432 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 200 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 61 | $1,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 200 | $1,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 495 | $1,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 222 | $1,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 67 | $1,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 100 | $1,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,224 | $1,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 4,272 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 1,100 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 7,000 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,000 | $1,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 15,400 | $1,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 1,300 | $1,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,353 | $1,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 1,885 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 250 | $1,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 244 | $1,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 280 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 4,000 | $1,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 4,508 | $1,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 4,583 | $1,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 1,983 | $1,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 1,062 | $1,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $1,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 221 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 20 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 389 | $1,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 130 | $1,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 2,300 | $1,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 1,839 | $1,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 500 | $1,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,165 | $1,000 | thousands by filing date | |
| ETRACS CMCI INDUST MTLS TR | 902641752 | ETP | 60 | $1,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 350 | $1,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 100 | $1,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 331 | $1,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 1,100 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 1,000 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 605 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 300 | $1,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 804 | $1,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 575 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 550 | $1,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 480 | $1,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 486 | $1,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 500 | $1,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 334 | $1,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 500 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 200 | $1,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 268 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 1,240 | $1,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,041 | $1,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 138 | $1,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 801 | $1,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 1,000 | $1,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 13 | $1,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 587 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 264 | $1,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 740 | $1,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 1,000 | $1,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 1,000 | $1,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 327 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 299 | $1,000 | thousands by filing date | |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 1,805 | $1,000 | thousands by filing date | |
| TOWERSTREAM CORP COM NEW | 892000209 | Stock | 450 | $1,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 412 | $1,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 825 | $1,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195124 | COM | 79 | $1,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 500 | $1,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 2,000 | $1,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M106 | COMMON STOCK | 60 | $1,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 2,813 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERICEL CORP | 92346J108 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |