13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-12, with 6,663 holding rows worth $325,760,116,000.
- Accession
- 0000895421-17-000282
- Filer
- CIK 895421
- Filed
- 2017-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 24,451 entries on the cover page, a total value of $325,760,116,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $325,760,116,000 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 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 |
|---|---|---|---|---|---|---|
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 8,209 | $131,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 38,455 | $131,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 8,106 | $130,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 18,501 | $130,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 4,623 | $129,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 900 | $129,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 32,229 | $129,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 8,145 | $129,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 1,405 | $128,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 9,901 | $127,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 35,630 | $127,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 5,575 | $127,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 9,465 | $126,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 26,269 | $126,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 14,652 | $126,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 3,686 | $126,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 35,699 | $126,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 3,389 | $126,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 19,211 | $125,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 2,323 | $125,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,061 | $124,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 17,191 | $124,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 18,298 | $124,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 14,066 | $123,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 32,179 | $123,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 122,000 | $123,000 | thousands by filing date | principal |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 4,470 | $123,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 7,728 | $122,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 11,882 | $121,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 889 | $121,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 7,805 | $121,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 5,785 | $121,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 32,550 | $120,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 5,157 | $120,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 9,351 | $120,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 43,948 | $120,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 88,640 | $120,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 17,766 | $120,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 3,388 | $119,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 47,634 | $118,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 4,435 | $117,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 26,577 | $117,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 116,000 | $117,000 | thousands by filing date | principal |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 29,895 | $117,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 18,042 | $117,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 6,796 | $116,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 34,870 | $116,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 14,839 | $116,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 7,763 | $115,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 8,104 | $115,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 8,145 | $114,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 10,276 | $114,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 3,061 | $114,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 5,333 | $113,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 3,158 | $113,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 9,655 | $113,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 4,217 | $113,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 178,816 | $111,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 82,104 | $111,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,439 | $111,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 33,903 | $111,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 6,600 | $110,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 4,035 | $110,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 25,781 | $110,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 109,000 | $109,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 105,000 | $109,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 109,000 | $109,000 | thousands by filing date | principal |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,615 | $108,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 55,541 | $108,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 110,000 | $108,000 | thousands by filing date | principal |
| ENTREE GOLD INC | 29383G100 | COM | 221,690 | $108,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 8,993 | $107,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q408 | COM PAR | 64,845 | $107,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 37,434 | $107,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 91,000 | $107,000 | thousands by filing date | principal |
| FOGO DE CHAO INC | 344177100 | COM | 6,539 | $107,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 8,955 | $106,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 11,121 | $106,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 238,280 | $106,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 166,939 | $106,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 3,595 | $106,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 100,000 | $106,000 | thousands by filing date | principal |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 103,000 | $105,000 | thousands by filing date | principal |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 7,743 | $105,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 8,751 | $105,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 5,483 | $104,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 39,424 | $104,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 12,368 | $103,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 4,993 | $103,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 3,050 | $102,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 62,015 | $102,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 175,560 | $102,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,159 | $102,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 13,824 | $102,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 4,554 | $102,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 33,725 | $102,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 37,690 | $101,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 3,140 | $101,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 2,691 | $101,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 7,308 | $101,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 4,067 | $100,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 5,901 | $100,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 3,568 | $99,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,375 | $99,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 16,350 | $99,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 4,715 | $98,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 9,251 | $98,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 11,416 | $98,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 2,100 | $98,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 20,909 | $98,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 4,226 | $97,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 37,653 | $97,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 4,462 | $97,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 14,200 | $96,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 67,510 | $96,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 19,791 | $96,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,627 | $96,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 245,000 | $96,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 115,741 | $96,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 20,636 | $96,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 9,572 | $95,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 35,986 | $95,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 30,806 | $95,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 24,639 | $95,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 4,728 | $94,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 71,000 | $94,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 95,000 | $94,000 | thousands by filing date | principal |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 34,456 | $94,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 5,513 | $93,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,546 | $93,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 3,195 | $93,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 52,299 | $93,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 53,154 | $92,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 4,579 | $92,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 323,822 | $92,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 25,630 | $91,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 7,711 | $91,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,947 | $91,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 13,366 | $90,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 17,025 | $90,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 6,582 | $89,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 76,372 | $89,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 6,721 | $89,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 25,308 | $89,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 91,000 | $89,000 | thousands by filing date | principal |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 25,769 | $88,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 29,172 | $88,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 18,291 | $87,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 9,600 | $87,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 26,466 | $87,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 7,348 | $86,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 848 | $86,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM NEW | 759757602 | Stock | 47,293 | $86,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,650 | $85,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 15,723 | $85,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 1,462 | $85,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 91,000 | $85,000 | thousands by filing date | principal |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 9,864 | $85,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 9,500 | $85,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 4,376 | $84,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 19,735 | $84,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 7,600 | $84,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 29,726 | $84,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 5,267 | $83,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 15,500 | $83,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K141 | DAILY JR GOLD MI | 5,618 | $83,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 3,154 | $83,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 7,791 | $83,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 6,281 | $82,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 7,879 | $82,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 55,095 | $82,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 50,514 | $82,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 45,232 | $82,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 19,952 | $82,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 671,195 | $81,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 20,279 | $81,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 2,000 | $81,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 29,916 | $81,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 43,356 | $81,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 24,000 | $81,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 12,631 | $80,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 13,032 | $80,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 11,500 | $80,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 18,139 | $80,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,035 | $80,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 10,746 | $79,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 34,826 | $78,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 7,091 | $78,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 5,117 | $78,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 36,190 | $78,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 14,445 | $78,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 20,337 | $78,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 4,007 | $78,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 4,075 | $78,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,237 | $78,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 15,540 | $77,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 3,683 | $77,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 56,464 | $77,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 4,000 | $77,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 1,360 | $76,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 3,702 | $76,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,516 | $76,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 532 | $76,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 52,789 | $76,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 3,001 | $75,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 2,663 | $75,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 5,000 | $75,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 25,000 | $75,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 15,122 | $75,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 5,406 | $74,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 5,948 | $74,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 3,978 | $74,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 11,706 | $74,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,775 | $74,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 5,672 | $73,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 6,392 | $73,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 2,798 | $73,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 1,344 | $72,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 29,749 | $72,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 31,174 | $72,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 64,695 | $71,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 16,364 | $71,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 11,043 | $71,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 1,675 | $71,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 11,260 | $71,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 2,350 | $71,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 2,270 | $71,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 17,192 | $71,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 10,834 | $70,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 2,894 | $70,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 3,826 | $70,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 25,415 | $70,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 7,250 | $70,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 2,363 | $69,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 4,883 | $69,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 15,726 | $69,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 70,000 | $69,000 | thousands by filing date | principal |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 7,792 | $68,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 1,400 | $68,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 83,907 | $68,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 13,000 | $68,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 7,104 | $68,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 17,303 | $67,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 6,240 | $67,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 37,111 | $67,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 43,353 | $67,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 44,961 | $66,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,653 | $66,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 3,210 | $66,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 5,306 | $66,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 3,082 | $65,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 10,703 | $65,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y470 | DLY EMKT 3X NEW | 3,784 | $65,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 2,577 | $64,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 30,255 | $64,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 12,963 | $64,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 68,000 | $64,000 | thousands by filing date | principal |
| MARA HLDGS INC | 56585W203 | COM | 62,788 | $64,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 7,754 | $64,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 1,863 | $63,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 5,484 | $63,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 62,000 | $63,000 | thousands by filing date | principal |
| KEY TECHNOLOGY INC | 493143101 | COM | 4,700 | $63,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 13,799 | $63,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 3,100 | $62,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 2,089 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 613 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 880 | $62,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 63,000 | $62,000 | thousands by filing date | principal |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 17,212 | $62,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,795 | $62,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 19,191 | $62,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 4,379 | $62,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 3,130 | $62,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B400 | EM STRATEGIC ETF | 3,280 | $62,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 2,759 | $61,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 4,600 | $61,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 5,863 | $61,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 29,176 | $61,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 8,698 | $60,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 12,097 | $60,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 56,000 | $60,000 | thousands by filing date | principal |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 19,500 | $59,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 46,014 | $59,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,980 | $58,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 13,237 | $58,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 5,775 | $58,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 2,650 | $58,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 9,789 | $58,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 34,376 | $58,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 3,467 | $57,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 3,817 | $57,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 3,293 | $57,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 21,211 | $57,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 16,005 | $56,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,450 | $56,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 70,019 | $56,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 28,096 | $56,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 4,600 | $56,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 6,250 | $56,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 59,000 | $56,000 | thousands by filing date | principal |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 2,309 | $55,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 10,351 | $55,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 4,256 | $55,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 54,000 | $55,000 | thousands by filing date | principal |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 20,356 | $54,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 7,692 | $54,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 39,897 | $54,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,791 | $54,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 1,219 | $54,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 4,750 | $53,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,786 | $53,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 2,398 | $53,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 49,953 | $53,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 36,657 | $52,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,345 | $52,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 3,800 | $52,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 9,026 | $52,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 10,309 | $52,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,867 | $52,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T307 | COM | 8,753 | $52,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 1,845 | $51,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 20,000 | $51,000 | thousands by filing date | principal |
| ALPHA PRO TECH LTD | 020772109 | COM | 18,070 | $50,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,051 | $50,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 54,930 | $50,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 983 | $50,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 12,446 | $50,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 1,421 | $49,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 10,603 | $49,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,877 | $49,000 | thousands by filing date | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 2,019 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 2,217 | $49,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 51,151 | $49,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 2,997 | $49,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 1,682 | $49,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F176 | COM | 1,500 | $49,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 1,500 | $49,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 41,000 | $49,000 | thousands by filing date | principal |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,737 | $48,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,923 | $48,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 2,148 | $48,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 8,673 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 379 | $47,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,663 | $47,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 4,504 | $47,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 16,000 | $47,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 2,800 | $47,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 325 | $47,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 1,900 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 800 | $46,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 34,000 | $46,000 | thousands by filing date | principal |
| SOCIETAL CDMO INC | 75629F109 | COM | 5,309 | $46,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,326 | $46,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 3,512 | $46,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,500 | $45,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 15,196 | $45,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 97,710 | $45,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 45,000 | $45,000 | thousands by filing date | principal |
| ARI NETWORK SERVICES | 001930205 | COMM | 8,560 | $45,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 3,596 | $45,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 12,287 | $45,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 747 | $45,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 73,861 | $45,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 2,289 | $45,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,100 | $44,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 8,550 | $44,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 5,992 | $44,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 6,593 | $44,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 102,724 | $44,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 46,000 | $44,000 | thousands by filing date | principal |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 49,000 | $44,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 426 | $43,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,111 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 533 | $43,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 7,881 | $43,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $43,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 18,875 | $43,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 1,782 | $43,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,846 | $43,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 1,899 | $43,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 8,217 | $43,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 3,584 | $43,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 4,444 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 337 | $42,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 30,000 | $42,000 | thousands by filing date | principal |
| UQM TECHNOLOGIES INC | 903213106 | COM | 88,522 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,523 | $42,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 7,340 | $41,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 67,000 | $41,000 | thousands by filing date | principal |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,698 | $41,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 1,904 | $41,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 188,656 | $41,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 8,237 | $40,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 8,800 | $40,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,598 | $40,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,039 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 2,821 | $40,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 3,603 | $40,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 35,000 | $40,000 | thousands by filing date | principal |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 244 | $40,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 14,134 | $40,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 6,294 | $40,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 26,224 | $40,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,357 | $40,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 26,247 | $40,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 41,000 | $40,000 | thousands by filing date | principal |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,536 | $39,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 35,629 | $39,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 32,907 | $39,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 2,123 | $39,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K778 | SEMICONDUCT BEAR | 5,286 | $39,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,200 | $38,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 28,327 | $38,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 759 | $38,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 5,134 | $38,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 17,947 | $38,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,084 | $37,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 6,075 | $37,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $37,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 2,812 | $37,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 4,744 | $36,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 33,700 | $36,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 4,103 | $36,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 42,590 | $36,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 21,865 | $36,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 2,190 | $36,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 3,681 | $36,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 27,164 | $36,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,351 | $35,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,193 | $35,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 3,400 | $35,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 2,900 | $35,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,678 | $35,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 1,698 | $35,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,306 | $35,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $35,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,886 | $34,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,435 | $34,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,783 | $34,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 5,310 | $34,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 37,000 | $34,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 8,521 | $34,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 1,187 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,032 | $34,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 32,000 | $34,000 | thousands by filing date | principal |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 2,172 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 577 | $33,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $33,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 52,800 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 900 | $33,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 901 | $32,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 11,395 | $32,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 35,664 | $32,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 6,688 | $32,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 6,700 | $32,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 4,415 | $32,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 893 | $32,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 8,422 | $32,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 2,663 | $32,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 2,000 | $32,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 2,800 | $32,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 2,611 | $32,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 416 | $31,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 7,940 | $31,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 13,152 | $31,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 1,310 | $31,000 | thousands by filing date | |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 25,000 | $31,000 | thousands by filing date | principal |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 946 | $30,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,400 | $30,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 4,009 | $30,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,941 | $30,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 2,900 | $30,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,359 | $30,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 5,428 | $30,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 983 | $29,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,635 | $29,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 51,861 | $29,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 927 | $29,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 23,000 | $29,000 | thousands by filing date | principal |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 24,672 | $29,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 12,765 | $29,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 829 | $29,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 2,087 | $29,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,955 | $28,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 16,370 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 2,063 | $28,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 18,268 | $28,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 1,002 | $28,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,249 | $28,000 | thousands by filing date | |
| INVN 1.75 11/18 | 46123DAB2 | Bond 30/360P2 U | 28,000 | $28,000 | thousands by filing date | principal |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 16,188 | $28,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $27,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 4,100 | $27,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,140 | $27,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 9,895 | $27,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,500 | $27,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 13,000 | $27,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 6,000 | $27,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 5,937 | $27,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-17-000282 | this filing | 2017-05-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-17-000315 | base | 2017-05-22 | acceptance time not in the bulk data set |