13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 6,591 holding rows worth $305,580,025,000.
- Accession
- 0000895421-17-000054
- Filer
- CIK 895421
- Filed
- 2017-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 24,087 entries on the cover page, a total value of $305,580,025,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $305,580,025,000 with VALUE read as thousands by filing date, 13F file number 028-03432. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerMorgan Stanley Asia International Ltd
- 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 SMITH BARNEY LLC028-13935
- included managerMorgan Stanley Strategic Investments, Inc028-12509
- included managerMorgan Stanley Uruguay Ltda.028-11533
- 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 |
|---|---|---|---|---|---|---|
| EVANS BANCORP INC | 29911Q208 | COM | 4,025 | $127,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 4,044 | $127,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 18,202 | $127,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 124,000 | $126,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 3,700 | $126,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 9,978 | $126,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 89,135 | $125,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 7,758 | $124,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 5,804 | $124,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 5,972 | $124,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 5,653 | $124,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 19,781 | $122,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 10,125 | $121,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 2,476 | $119,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 11,431 | $119,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 5,656 | $119,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 12,782 | $118,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,872 | $118,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 4,320 | $118,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 17,612 | $117,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 54,536 | $117,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 3,670 | $117,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 5,987 | $116,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 888 | $115,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 31,656 | $114,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,001 | $114,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 8,631 | $114,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 6,112 | $114,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 3,158 | $113,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 9,654 | $113,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 11,522 | $113,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 4,721 | $112,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 14,497 | $112,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 8,513 | $112,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 2,578 | $112,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 30,925 | $112,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 3,649 | $111,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 4,674 | $111,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 173,782 | $111,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 113,000 | $111,000 | thousands by filing date | principal |
| SUSSEX BANCORP | 869245100 | COMMON | 5,300 | $111,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 16,310 | $111,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 4,226 | $110,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 3,252 | $110,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,575 | $110,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 62,596 | $109,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 5,111 | $109,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 10,910 | $109,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 4,679 | $108,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 5,666 | $108,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 112,000 | $108,000 | thousands by filing date | principal |
| UNITED BANCORP INC OHIO | 909911109 | COM | 7,950 | $107,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 6,840 | $107,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 17,567 | $107,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 36,744 | $106,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 5,119 | $106,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 4,580 | $106,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 8,007 | $105,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 39,000 | $104,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 18,771 | $103,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 7,058 | $103,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 100,000 | $103,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 24,630 | $102,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 15,025 | $102,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,830 | $102,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 7,537 | $102,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 8,307 | $101,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 13,794 | $101,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,356 | $101,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 6,363 | $101,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 44,488 | $101,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 2,904 | $100,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 30,600 | $100,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 12,535 | $100,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 7,104 | $100,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 39,812 | $99,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 15,512 | $98,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 6,870 | $98,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 50,018 | $98,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 15,860 | $97,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 1,025 | $97,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 8,748 | $97,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 4,479 | $97,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 91,334 | $97,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 5,782 | $96,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 2,038 | $96,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 18,354 | $96,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 14,800 | $96,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 83,388 | $94,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,437 | $93,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 3,485 | $93,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 5,471 | $93,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 18,250 | $93,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 4,363 | $93,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 107,450 | $92,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 9,500 | $92,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 22,523 | $92,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 2,611 | $92,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 142,858 | $92,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 5,314 | $92,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 31,398 | $92,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 963 | $91,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 4,708 | $91,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 6,044 | $91,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 32,703 | $91,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 91,000 | $91,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 93,000 | $90,000 | thousands by filing date | principal |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 4,389 | $89,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 26,208 | $89,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 6,324 | $89,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 1,657 | $89,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 102,612 | $89,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 150,000 | $88,000 | thousands by filing date | principal |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 3,432 | $88,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 876 | $88,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 12,504 | $88,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 695,657 | $87,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 20,337 | $87,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 4,441 | $87,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 1,370 | $87,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 8,081 | $86,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 10,582 | $86,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 2,570 | $86,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 3,169 | $85,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 11,178 | $85,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 6,487 | $84,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 24,681 | $84,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 49,953 | $84,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 3,135 | $84,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 1,990 | $83,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 4,400 | $82,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 61,561 | $82,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 15,876 | $82,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,623 | $81,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 5,247 | $81,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 12,309 | $80,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 5,895 | $80,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 46,372 | $80,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 83,000 | $80,000 | thousands by filing date | principal |
| STONEGATE MTG CORP | 86181Q300 | COM | 13,391 | $80,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 22,570 | $79,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 6,517 | $79,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 3,654 | $79,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 79,000 | $78,000 | thousands by filing date | principal |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 6,380 | $78,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 3,816 | $77,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 11,024 | $77,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,775 | $77,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 4,803 | $76,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 2,000 | $76,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 4,642 | $75,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 7,450 | $75,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 548 | $75,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 13,552 | $75,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 3,821 | $75,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 23,706 | $75,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,237 | $75,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 44,109 | $74,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 667 | $74,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 6,480 | $74,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 65,000 | $74,000 | thousands by filing date | principal |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 9,300 | $74,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 2,478 | $74,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 4,861 | $73,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 1,348 | $72,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,265 | $72,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 45,000 | $71,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 71,000 | $71,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 57,000 | $71,000 | thousands by filing date | principal |
| Emergent Capital | 29102N105 | Com | 58,580 | $71,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 42,565 | $70,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 4,831 | $69,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 8,050 | $69,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 45,542 | $69,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,653 | $68,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 14,591 | $68,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 6,363 | $66,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 6,836 | $66,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 1,677 | $66,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 97,110 | $66,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 3,100 | $65,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 3,425 | $65,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 29,983 | $65,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 4,470 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,832 | $65,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 7,366 | $64,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 2,815 | $64,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 3,133 | $64,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 7,925 | $64,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 12,257 | $64,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 1,858 | $63,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 36,408 | $63,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 28,996 | $62,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 11,043 | $62,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 2,756 | $62,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 8,800 | $62,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 4,626 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 628 | $61,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 56,000 | $61,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 4,752 | $61,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 2,162 | $60,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 19,321 | $60,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 8,980 | $60,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 20,000 | $60,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 48,352 | $59,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 59,000 | $59,000 | thousands by filing date | principal |
| FIRST HAWAIIAN INC | 32051X108 | COM | 1,658 | $58,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 1,154 | $58,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 7,566 | $58,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,450 | $58,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 3,831 | $58,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 6,015 | $58,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 5,581 | $58,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 184,790 | $58,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 61,000 | $58,000 | thousands by filing date | principal |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 3,800 | $57,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 2,050 | $57,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 18,096 | $57,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 17,228 | $57,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 18,270 | $55,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 6,379 | $55,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 40,000 | $55,000 | thousands by filing date | principal |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 15,256 | $55,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 3,998 | $55,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 26,000 | $55,000 | thousands by filing date | principal |
| COLUMBIA ETF TR II | 19762B400 | EM STRATEGIC ETF | 3,280 | $55,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 3,017 | $54,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 613 | $54,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 22,950 | $54,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,791 | $54,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 4,472 | $54,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 4,500 | $54,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 47,000 | $54,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 1,854 | $53,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 2,791 | $53,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 880 | $53,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 29,568 | $53,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 21,600 | $52,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 1,219 | $52,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 2,710 | $52,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 1,840 | $52,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 43,000 | $52,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 1,178 | $51,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,600 | $51,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,800 | $51,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 48,322 | $50,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 430 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 2,217 | $50,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,462 | $50,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 7,274 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,200 | $50,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 51,000 | $50,000 | thousands by filing date | principal |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 6,250 | $50,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 25,951 | $49,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 21,107 | $49,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 13,781 | $49,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 25,199 | $49,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 11,138 | $49,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 1,500 | $49,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 50,000 | $49,000 | thousands by filing date | principal |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 50,631 | $49,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 19,669 | $48,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,051 | $48,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 5,486 | $47,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 92,066 | $47,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,887 | $47,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 49,330 | $47,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 33,065 | $47,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 1,350 | $47,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 6,714 | $46,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 5,058 | $46,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $46,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,850 | $46,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 2,592 | $46,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 1,661 | $46,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 44,000 | $46,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 34,000 | $45,000 | thousands by filing date | principal |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 11,008 | $45,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 49,400 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 444 | $45,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 14,900 | $45,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 7,340 | $44,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 9,200 | $44,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 4,066 | $44,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 2,156 | $44,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 31,374 | $44,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,627 | $44,000 | thousands by filing date | |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 1,821 | $44,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 4,269 | $44,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 6,517 | $44,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,853 | $43,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 48,000 | $43,000 | thousands by filing date | principal |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 47,000 | $43,000 | thousands by filing date | principal |
| ADMA BIOLOGICS INC | 000899104 | COM | 8,237 | $42,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 5,758 | $42,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,898 | $42,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 2,144 | $42,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 37,333 | $42,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 16,605 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 1,581 | $42,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 325 | $42,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 8,000 | $42,000 | thousands by filing date | principal |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 9,814 | $41,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 22,177 | $41,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 4,135 | $41,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 6,744 | $41,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 4,356 | $41,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 36,000 | $41,000 | thousands by filing date | principal |
| MICROVISION INC DEL | 594960304 | COM NEW | 31,967 | $40,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 7,299 | $40,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 83,942 | $40,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 7,844 | $40,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 457 | $40,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 2,087 | $40,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 45,909 | $40,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 84,275 | $40,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 1,500 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 2,075 | $39,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 6,164 | $39,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 91,254 | $39,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 194,515 | $39,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 35,000 | $39,000 | thousands by filing date | principal |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 954 | $39,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 38,000 | $39,000 | thousands by filing date | principal |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,200 | $38,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 3,100 | $38,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,463 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 2,063 | $38,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,166 | $38,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 18,007 | $38,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 5,786 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 800 | $37,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 1,771 | $37,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,523 | $37,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $37,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 1,593 | $36,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,039 | $36,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 4,415 | $36,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 8,719 | $36,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 27,500 | $36,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,035 | $36,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 1,296 | $35,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 5,685 | $35,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,678 | $35,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 66,000 | $35,000 | thousands by filing date | principal |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 38,043 | $35,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 5,311 | $35,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 9,499 | $35,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 388 | $35,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 594 | $34,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 711 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 1,711 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 1,043 | $34,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 1,552 | $34,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 4,000 | $34,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A110 | *W EXP 10/11/202 | 4,029 | $34,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 32,522 | $33,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,151 | $33,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 3,100 | $33,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 2,924 | $33,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 15,000 | $33,000 | thousands by filing date | principal |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 73,821 | $33,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 46,064 | $33,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 238 | $33,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,799 | $33,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,143 | $32,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 2,446 | $32,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,338 | $32,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 100,587 | $32,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,800 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,028 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,553 | $32,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 7,959 | $31,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,237 | $31,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,850 | $31,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 30,000 | $31,000 | thousands by filing date | principal |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,070 | $31,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 21,814 | $31,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,502 | $31,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 48,157 | $31,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 31,527 | $31,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,821 | $31,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 2,000 | $31,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 1,800 | $31,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,759 | $30,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 2,892 | $30,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 5,139 | $30,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 2,500 | $30,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 19,885 | $30,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 6,424 | $30,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 24,148 | $30,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 17,587 | $30,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 1,402 | $30,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 30,000 | $30,000 | thousands by filing date | principal |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 8,946 | $29,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 12,045 | $29,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 20,691 | $29,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 124,222 | $29,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 29,000 | $29,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 11,000 | $29,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 1,451 | $29,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 14,033 | $29,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 6,000 | $29,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 21,000 | $29,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 594 | $28,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 3,704 | $28,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 983 | $28,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 8,337 | $28,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,500 | $28,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 26,200 | $28,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 16,000 | $28,000 | thousands by filing date | principal |
| LMI AEROSPACE INC | 502079106 | COM | 3,184 | $28,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,575 | $28,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,367 | $28,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 29,076 | $28,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 8,509 | $28,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 7,913 | $28,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 29,000 | $28,000 | thousands by filing date | principal |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 28,000 | $28,000 | thousands by filing date | principal |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 3,884 | $28,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 18,535 | $28,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 984 | $27,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,600 | $27,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,244 | $27,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,941 | $27,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 5,100 | $27,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,032 | $27,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 3,599 | $27,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 3,178 | $27,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 23,000 | $27,000 | thousands by filing date | principal |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,359 | $27,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 14,543 | $27,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 1,700 | $27,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 7,950 | $26,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,400 | $26,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 650 | $26,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 10,000 | $26,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 800 | $26,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 3,793 | $26,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 24,000 | $26,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 25,000 | $26,000 | thousands by filing date | principal |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 5,937 | $26,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $25,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,029 | $25,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 7,422 | $25,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 26,508 | $25,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 8,544 | $25,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 13,620 | $25,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 500 | $25,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 22,000 | $25,000 | thousands by filing date | principal |
| BAY BANCORP INC | 07203T106 | COM | 3,733 | $25,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 5,293 | $24,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 1,000 | $24,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 1,850 | $24,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 8,647 | $24,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 37,440 | $24,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 1,050 | $24,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,649 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,646 | $24,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 1,442 | $24,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 17,777 | $24,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 8,873 | $24,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 11,280 | $24,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 26,000 | $24,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 21,000 | $24,000 | thousands by filing date | principal |
| TURTLE BEACH CORP COM | 900450107 | Stock | 18,280 | $24,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 706 | $23,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 7,761 | $23,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 717 | $23,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,596 | $23,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,017 | $23,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 872 | $23,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,000 | $23,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 783 | $22,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 1,006 | $22,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 4,400 | $22,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,100 | $22,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 900 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 385 | $22,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 3,459 | $22,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 15,600 | $22,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 17,000 | $22,000 | thousands by filing date | principal |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 7,000 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 1,800 | $22,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 4,060 | $22,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 10,100 | $22,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,106 | $22,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 22,000 | $22,000 | thousands by filing date | principal |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 16,900 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K786 | DL RUSS BEAR 3X | 3,577 | $22,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 415 | $21,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,555 | $21,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 2,300 | $21,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 649 | $21,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 21,000 | $21,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $21,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 12,000 | $21,000 | thousands by filing date | principal |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 798 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-17-000054 | this filing | 2017-02-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-17-000239 | base | 2017-02-22 | acceptance time not in the bulk data set |