13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2016-12-31, filed 2017-02-22, with 6,591 holding rows worth $305,544,792,000.
- Accession
- 0000895421-17-000239
- Filer
- CIK 895421
- Filed
- 2017-02-22
- 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, amendment of type new holdings, 24,087 entries on the cover page, a total value of $305,544,792,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $305,544,792,000 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 Asia International Ltd028-17710
- 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 |
|---|---|---|---|---|---|---|
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 977 | $21,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 3,545 | $21,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 9,000 | $21,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 8,200 | $21,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,332 | $20,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,293 | $20,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 14,540 | $20,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 5,103 | $20,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 591 | $20,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 16,000 | $20,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 20,000 | $20,000 | thousands by filing date | principal |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 5,000 | $20,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,280 | $20,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 15,639 | $19,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,200 | $19,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 3,941 | $19,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 3,150 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,517 | $19,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,300 | $19,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 8,475 | $19,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 13,615 | $19,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 14,875 | $19,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 9,601 | $19,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 125 | $19,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,725 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K778 | SEMICONDUCT BEAR | 1,800 | $19,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,121 | $18,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,000 | $18,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 22,360 | $18,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 16,000 | $18,000 | thousands by filing date | principal |
| GORDMANS STORES INC | 38269P100 | COM | 26,280 | $18,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $18,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 750 | $18,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,200 | $18,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 18,000 | $18,000 | thousands by filing date | principal |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 4,476 | $18,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 1,593 | $18,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 45,614 | $18,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 4,799 | $17,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,055 | $17,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 10,000 | $17,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 693 | $17,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 10,671 | $17,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,022 | $17,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 15,000 | $17,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 120 | $16,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,982 | $16,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,303 | $16,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 4,500 | $16,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,801 | $16,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 16,000 | $16,000 | thousands by filing date | principal |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 2,717 | $16,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 25,281 | $16,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 179,900 | $16,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 26,044 | $16,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 5,080 | $16,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 638 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,000 | $16,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 24,058 | $16,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 16,000 | $16,000 | thousands by filing date | principal |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 3,944 | $16,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 2,896 | $15,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 650 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $15,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $15,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $15,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 485 | $15,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,106 | $15,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 838 | $15,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 4,005 | $15,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $15,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 1,625 | $15,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 2,889 | $15,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 5,333 | $15,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 5,278 | $15,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 15,000 | $15,000 | thousands by filing date | principal |
| ARQ INC | 00770C101 | COM | 1,500 | $14,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,000 | $14,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 771 | $14,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 2,863 | $14,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,714 | $14,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 3,722 | $14,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,050 | $14,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 6,753 | $14,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 59,712 | $14,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $14,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 6,626 | $14,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 6,500 | $14,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 2,488 | $14,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 4,085 | $14,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 3,926 | $14,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 2,598 | $14,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 247 | $14,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 7,000 | $14,000 | thousands by filing date | principal |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 12,419 | $13,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 662 | $13,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 1,024 | $13,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 1,950 | $13,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 9,852 | $13,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 13,000 | $13,000 | thousands by filing date | principal |
| LRAD CORP | 50213V109 | COM | 7,650 | $13,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 25,400 | $13,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,514 | $13,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 1,997 | $13,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $13,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,543 | $13,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 18,975 | $13,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 9,044 | $13,000 | thousands by filing date | |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,200 | $13,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 3,533 | $12,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 5,600 | $12,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 327 | $12,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 425 | $12,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 700 | $12,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 9,612 | $12,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,732 | $12,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 15,172 | $12,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,399 | $12,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $12,000 | thousands by filing date | principal |
| BSQUARE CORP | 11776U300 | COM | 2,050 | $12,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,000 | $12,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 7,000 | $12,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,045 | $12,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 112 | $12,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 174 | $12,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 3,629 | $12,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 17,000 | $12,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 9,000 | $12,000 | thousands by filing date | principal |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,178 | $12,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 729 | $11,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 29,922 | $11,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 4,701 | $11,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 8,700 | $11,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 11,000 | $11,000 | thousands by filing date | principal |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 6,000 | $11,000 | thousands by filing date | principal |
| ANCHOR | 032838104 | COMMON STOCK | 400 | $11,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 8,017 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 475 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 475 | $11,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 2,927 | $11,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 500 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 817 | $11,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 10,848 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $11,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,000 | $11,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 13,000 | $11,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC. | 231082603 | COM | 10,781 | $11,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 12,400 | $11,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 14,700 | $11,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 4,700 | $10,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 401 | $10,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,520 | $10,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,600 | $10,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,340 | $10,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 26,000 | $10,000 | thousands by filing date | principal |
| INTERSECTIONS INC | 460981301 | COM | 2,725 | $10,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 4,300 | $10,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,000 | $10,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 248 | $10,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 730 | $10,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 411 | $10,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 5,188 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 570 | $10,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 5,600 | $10,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 714 | $10,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 419 | $10,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894109 | CL A COM | 980 | $10,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 4,397 | $10,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,136 | $9,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 7,765 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 190 | $9,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 3,500 | $9,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 17,010 | $9,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 46,055 | $9,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,000 | $9,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 599 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 593 | $9,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 6,094 | $9,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 6,000 | $9,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 747 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 1,150 | $9,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $9,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 8,000 | $9,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 8,000 | $9,000 | thousands by filing date | principal |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 8,000 | $9,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 9,000 | $9,000 | thousands by filing date | principal |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 273 | $9,000 | thousands by filing date | |
| ENVISION HEALTHCARE CORP | 29414D209 | PFD CNV 5.25% A1 | 75 | $9,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 3,997 | $8,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,980 | $8,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 680 | $8,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,189 | $8,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 451 | $8,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 6,000 | $8,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 4,000 | $8,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 6,000 | $8,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 1,888 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 362 | $8,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $8,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 184 | $8,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,483 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 135 | $8,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,146 | $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 | 3,000 | $8,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 5,432 | $8,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 6,000 | $8,000 | thousands by filing date | principal |
| GREAT ELM CAP CORP | 390320109 | COM | 643 | $8,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 2,796 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 334 | $8,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,000 | $8,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 9,796 | $8,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 6,139 | $8,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| SESEN BIO, INC. | 286221106 | COM | 4,080 | $8,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 204 | $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 |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 13,445 | $8,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 3,266 | $8,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 6,463 | $7,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 235 | $7,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $7,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 4,700 | $7,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $7,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 5,000 | $7,000 | thousands by filing date | principal |
| CHEROKEE INC | 16444H102 | COM | 627 | $7,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 176 | $7,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $7,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,686 | $7,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 1,500 | $7,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,445 | $7,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 8,000 | $7,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $7,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,000 | $7,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 6,000 | $7,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 7,000 | $7,000 | thousands by filing date | principal |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 2,505 | $7,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 8,950 | $7,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 6,200 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 175 | $7,000 | thousands by filing date | |
| MACROCURE LTD | M67872107 | SHS | 5,014 | $7,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 490 | $6,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 500 | $6,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 300 | $6,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 1,153 | $6,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 940 | $6,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,243 | $6,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 220 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 3,871 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 553 | $6,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 300 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 136 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 30 | $6,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 2,600 | $6,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 6,000 | $6,000 | thousands by filing date | principal |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 50 | $6,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 100 | $6,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 6,000 | $6,000 | thousands by filing date | principal |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 200 | $6,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 4,027 | $6,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 332 | $5,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 240 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R727 | PSHS ULTRA INDL | 95 | $5,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 2,500 | $5,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 100 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $5,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 4,000 | $5,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 3,675 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 43,000 | $5,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 2,425 | $5,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 15 | $5,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 800 | $5,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $5,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 550 | $5,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,000 | $5,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 1,226 | $5,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 4,030 | $5,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 300 | $5,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 3,000 | $5,000 | thousands by filing date | principal |
| NUVECTRA CORP | 67075N108 | COM | 954 | $5,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,000 | $5,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 4,000 | $5,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| BIOSTAGE INC | 09074M103 | COM | 5,905 | $5,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 2,288 | $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 |
| CARTESIAN INC | 146534102 | COM ADDED | 5,421 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 272 | $5,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 50 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 155 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $4,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,175 | $4,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 100 | $4,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,390 | $4,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 14,675 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 6,906 | $4,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 4,800 | $4,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 2,518 | $4,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 1,905 | $4,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 87 | $4,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 25,000 | $4,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 10,000 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $4,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 54 | $4,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 200 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 203 | $4,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 2,425 | $4,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 4,000 | $4,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 2,200 | $4,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,869 | $4,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 750 | $4,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,350 | $4,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 2,000 | $4,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 7,500 | $4,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $4,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H201 | UNIT 06/11/2019 | 400 | $4,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AD6 | NOTE 3.250%10/0 | 3,000 | $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 |
| AMERICANRLTYINVSINC | 029174109 | STOK | 591 | $3,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 798 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,787 | $3,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 689 | $3,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 1,300 | $3,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,500 | $3,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 462 | $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 | |
| INTERGROUP CORP | 458685104 | COM | 100 | $3,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 900 | $3,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 85 | $3,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 1,778 | $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 | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 559,083 | $3,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 3,000 | $3,000 | thousands by filing date | principal |
| S&W SEED COMPANY COM | 785135104 | COM | 700 | $3,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 2,085 | $3,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 175 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 158 | $3,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 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 | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,000 | $3,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 775 | $3,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 8,400 | $3,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 335 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 125 | $3,000 | thousands by filing date | |
| BIOPTIX INC | 09074N101 | COM | 738 | $3,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CONTRAFECT CORP | 212326102 | COM | 1,550 | $3,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 648 | $3,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 185 | $3,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 218 | $3,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $3,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 2,697 | $3,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 1,366 | $3,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 1,475 | $3,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 2,424 | $3,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,750 | $2,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 700 | $2,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 1,600 | $2,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 234 | $2,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 222 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $2,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 231 | $2,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 300 | $2,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 200 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,700 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 500 | $2,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $2,000 | thousands by filing date | principal |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 647 | $2,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 4,250 | $2,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 4,089 | $2,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 1,429 | $2,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,195 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 250 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 151 | $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 | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 133 | $2,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 350 | $2,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,000 | $2,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 2,122 | $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 | 3,400 | $2,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 2,000 | $2,000 | thousands by filing date | principal |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 604 | $2,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 300 | $2,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,500 | $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 | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 700 | $2,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 866 | $2,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 200 | $2,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 121 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 587 | $2,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC COM NEW | 775431208 | Stock | 450 | $2,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 5,477 | $2,000 | thousands by filing date | |
| POLARITYTE INC COM | 560690406 | Stock | 618 | $2,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 8,950 | $2,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 1,000 | $2,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 283 | $2,000 | thousands by filing date | |
| UTS CF CORP | G20307123 | UNIT | 200 | $2,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 375 | $2,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 150 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 500 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 435 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 73 | $1,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,360 | $1,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 47 | $1,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 2,627 | $1,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 67 | $1,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 288 | $1,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 86 | $1,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 22 | $1,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 172 | $1,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 59 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 432 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 259 | $1,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 199 | $1,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 1,440 | $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 | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 675 | $1,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 202 | $1,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 84 | $1,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 200 | $1,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 261 | $1,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 40 | $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 | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,000 | $1,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 100 | $1,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 375 | $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 | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 1,331 | $1,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,250 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 14 | $1,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,239 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 4,000 | $1,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 93 | $1,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 1,983 | $1,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 2,000 | $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 | 519 | $1,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 125 | $1,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 196 | $1,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 600 | $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 | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 100 | $1,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 431 | $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 | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 58 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 717 | $1,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 300 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 800 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 550 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 43 | $1,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 75 | $1,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 480 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 144 | $1,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 486 | $1,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 359 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 100 | $1,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 229 | $1,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 1,050 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 200 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 1,340 | $1,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 265 | $1,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 1,199 | $1,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 679 | $1,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,863 | $1,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 64 | $1,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 66 | $1,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 138 | $1,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 1,000 | $1,000 | thousands by filing date | principal |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 1,000 | $1,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 2,000 | $1,000 | thousands by filing date | |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 1,346 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-17-000054 | superseded | 2017-02-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-17-000239 | this filing | 2017-02-22 | acceptance time not in the bulk data set |