13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2017-03-31, filed 2017-05-22, with 6,663 holding rows worth $325,367,122,000.
- Accession
- 0000895421-17-000315
- Filer
- CIK 895421
- Filed
- 2017-05-22
- 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, amendment of type new holdings, 24,451 entries on the cover page, a total value of $325,367,122,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $325,367,122,000 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 |
|---|---|---|---|---|---|---|
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 13,520 | $27,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 6,000 | $27,000 | thousands by filing date | principal |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 25,000 | $27,000 | thousands by filing date | principal |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 27,000 | $27,000 | thousands by filing date | principal |
| COFFEE HLDG CO INC | 192176105 | COM | 5,557 | $26,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 5,212 | $26,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 24,000 | $26,000 | thousands by filing date | principal |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 6,000 | $26,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 43,000 | $26,000 | thousands by filing date | principal |
| SPAN AMER MED SYS INC | 846396109 | COM | 1,250 | $26,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,575 | $26,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $26,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 1,500 | $26,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 8,328 | $26,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 24,000 | $26,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,173 | $26,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,799 | $26,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 18,000 | $26,000 | thousands by filing date | principal |
| EGAIN CORP | 28225C806 | COM NEW | 17,200 | $25,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 717 | $25,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 16,706 | $25,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 800 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 990 | $25,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 986 | $25,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 235 | $25,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 25,000 | $25,000 | thousands by filing date | principal |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 8,789 | $24,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 1,250 | $24,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 3,976 | $24,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 16,619 | $24,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 9,598 | $24,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 13,000 | $24,000 | thousands by filing date | principal |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,502 | $24,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 872 | $24,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,100 | $24,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 8,723 | $24,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 6,209 | $24,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 31,375 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 1,949 | $24,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 19,975 | $24,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 906 | $24,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 9,850 | $23,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 5,241 | $23,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,840 | $23,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 649 | $23,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 16,250 | $23,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,649 | $23,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 17,000 | $23,000 | thousands by filing date | principal |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 18,866 | $23,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 12,201 | $23,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,236 | $23,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,641 | $23,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 11,514 | $23,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 7,797 | $23,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 729 | $23,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 5,781 | $23,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 2,078 | $22,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 900 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 385 | $22,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 11,000 | $22,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 9,094 | $22,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 17,000 | $22,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 1,600 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 1,945 | $22,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,506 | $22,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 6,026 | $22,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 10,334 | $22,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 4,600 | $22,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 6,731 | $22,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 6,055 | $21,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,100 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,470 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 859 | $21,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,242 | $21,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 846 | $21,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 798 | $21,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,770 | $21,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,313 | $21,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 1,938 | $21,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 21,000 | $21,000 | thousands by filing date | principal |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 20,000 | $21,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 17,000 | $21,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 11,232 | $21,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 1,964 | $20,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,000 | $20,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,000 | $20,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 780 | $20,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 4,922 | $20,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,732 | $20,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 825 | $20,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 16,000 | $20,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 21,000 | $20,000 | thousands by filing date | principal |
| Constellation Brands Inc Cl B | 21036P207 | Com | 125 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 552 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 852 | $20,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 864 | $20,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 8,385 | $20,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,200 | $20,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 18,000 | $20,000 | thousands by filing date | principal |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 1,127 | $19,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,080 | $19,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,093 | $19,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,400 | $19,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 9,186 | $19,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 25,000 | $19,000 | thousands by filing date | principal |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 3,592 | $19,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 23,044 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 884 | $19,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 977 | $19,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 3,226 | $19,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 19,000 | $19,000 | thousands by filing date | principal |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 518 | $18,000 | thousands by filing date | |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 8,000 | $18,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 553 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 479 | $18,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 3,532 | $18,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 19,000 | $18,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 19,000 | $18,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 18,000 | $18,000 | thousands by filing date | principal |
| MEXCO ENERGY CORP | 592770101 | COM | 4,400 | $17,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 445 | $17,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,574 | $17,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,622 | $17,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 4,600 | $17,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 400 | $17,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 300 | $17,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 8,300 | $17,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 10,200 | $17,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,377 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 650 | $16,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,303 | $16,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 771 | $16,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 654 | $16,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 400 | $16,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 3,779 | $16,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 838 | $16,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 5,800 | $16,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 3,254 | $16,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,010 | $16,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 16,000 | $16,000 | thousands by filing date | principal |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 16,000 | $16,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 18,000 | $16,000 | thousands by filing date | principal |
| SESEN BIO, INC. | 286221106 | COM | 7,249 | $16,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 7,200 | $16,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 9,000 | $16,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 569 | $15,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $15,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 851 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $15,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 5,560 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $15,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,000 | $15,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 5,982 | $15,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 8,295 | $15,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 1,500 | $15,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 15,000 | $15,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 502 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K786 | DL RUSS BEAR 3X | 2,318 | $15,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 2,499 | $14,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,793 | $14,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 400 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 700 | $14,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 30,139 | $14,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 1,500 | $14,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 6,000 | $14,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $14,000 | thousands by filing date | principal |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 988 | $14,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 8,500 | $14,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 8,685 | $14,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $14,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 1,500 | $14,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,946 | $14,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 6,800 | $14,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 6,688 | $14,000 | thousands by filing date | |
| AUXILIO INC | 05334N204 | COM NEW | 2,867 | $14,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $13,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 450 | $13,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,062 | $13,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 4,000 | $13,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 1,900 | $13,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,249 | $13,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 8,766 | $13,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $13,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 2,390 | $13,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 10,796 | $13,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 14,000 | $13,000 | thousands by filing date | principal |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,200 | $13,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 14,000 | $13,000 | thousands by filing date | principal |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 4,200 | $12,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 425 | $12,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,526 | $12,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $12,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 7,675 | $12,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 7,966 | $12,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 30,156 | $12,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 6,000 | $12,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 6,378 | $12,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 7,650 | $12,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,500 | $12,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,000 | $12,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 5,975 | $12,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 9,499 | $12,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 14,088 | $12,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,178 | $12,000 | thousands by filing date | |
| GENVEC INC | 37246C406 | COM PAR | 1,990 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 190 | $11,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 5,000 | $11,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,680 | $11,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 757 | $11,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,500 | $11,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $11,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,750 | $11,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $11,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 2,625 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 467 | $11,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 16,898 | $11,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 2,969 | $11,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,045 | $11,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 4,100 | $11,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 4,000 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $11,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 400 | $11,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,000 | $11,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 11,000 | $11,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 714 | $11,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 2,000 | $11,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 10,000 | $11,000 | thousands by filing date | principal |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 9,000 | $11,000 | thousands by filing date | principal |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 12,400 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 200 | $10,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 564 | $10,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 22,360 | $10,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,399 | $10,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,635 | $10,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,000 | $10,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 475 | $10,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 8,386 | $10,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 730 | $10,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 11,212 | $10,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 6,700 | $10,000 | thousands by filing date | |
| CONYERS PK ACQUISITION | 212894109 | CL A COM | 904 | $10,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,189 | $9,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 9,000 | $9,000 | thousands by filing date | principal |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 785 | $9,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 6,000 | $9,000 | thousands by filing date | principal |
| EMAGIN CORP | 29076N206 | COM | 3,803 | $9,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 320 | $9,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 1,109 | $9,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 4,457 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 375 | $9,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 1,108 | $9,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,122 | $9,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,932 | $9,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 4,095 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 10,000 | $9,000 | thousands by filing date | principal |
| VIVEVE MED INC | 92852W204 | COM NEW | 1,368 | $9,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,750 | $9,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 8,000 | $9,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 9,000 | $9,000 | thousands by filing date | principal |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 10,000 | $9,000 | thousands by filing date | principal |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $8,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 164 | $8,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,500 | $8,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,856 | $8,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 188 | $8,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 834 | $8,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,340 | $8,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 4,154 | $8,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 5,280 | $8,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,888 | $8,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 500 | $8,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 176 | $8,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 283 | $8,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 7,427 | $8,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 6,600 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,000 | $8,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 8,527 | $8,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 10,000 | $8,000 | thousands by filing date | principal |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 17,736 | $8,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 316 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $8,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 8,000 | $8,000 | thousands by filing date | principal |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,829 | $8,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 1,391 | $8,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 5,200 | $8,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 1,645 | $7,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 450 | $7,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 235 | $7,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 652 | $7,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 100 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,812 | $7,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 6,168 | $7,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $7,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 7,000 | $7,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 2,997 | $7,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 200 | $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 | 759 | $7,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 15,500 | $7,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 139 | $7,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 851 | $7,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 1,354 | $7,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 1,050 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 380 | $7,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 9,765 | $7,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 954 | $7,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 185 | $7,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 2,200 | $7,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,000 | $7,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 4,746 | $7,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 100 | $7,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 6,000 | $7,000 | thousands by filing date | principal |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 100 | $7,000 | thousands by filing date | |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 1,517 | $7,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 4,000 | $7,000 | thousands by filing date | principal |
| CUMULUS MEDIA INC. | 231082603 | COM | 21,915 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 175 | $7,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,870 | $6,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $6,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,333 | $6,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $6,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 5,000 | $6,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $6,000 | thousands by filing date | principal |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 5,000 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 548 | $6,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,548 | $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 | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 450 | $6,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 2,358 | $6,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 5,432 | $6,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 400 | $6,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 5,559 | $6,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 8,000 | $6,000 | thousands by filing date | principal |
| CIM COML TR CORP | 125525105 | COM | 365 | $6,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 83 | $6,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 250 | $6,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 6,000 | $6,000 | thousands by filing date | principal |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 16,000 | $6,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B466 | ULTRA JR MNRS NW | 100 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 591 | $5,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 825 | $5,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 591 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 135 | $5,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 500 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $5,000 | thousands by filing date | |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 1,822 | $5,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 700 | $5,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 100 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $5,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 4,000 | $5,000 | thousands by filing date | principal |
| BANRO CORP | 066800103 | COM | 46,055 | $5,000 | thousands by filing date | |
| 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 | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,030 | $5,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 900 | $5,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 5,300 | $5,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 246 | $5,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 1,700 | $5,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 2,673 | $5,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 3,999 | $5,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $5,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 300 | $5,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,869 | $5,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 750 | $5,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 50 | $5,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 4,000 | $5,000 | thousands by filing date | principal |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 4,000 | $5,000 | thousands by filing date | principal |
| BIOSTAGE INC | 09074M103 | COM | 13,631 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 1,701 | $5,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 1,844 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 3,783 | $5,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,055 | $4,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 200 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 142 | $4,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 500 | $4,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 700 | $4,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 4,510 | $4,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 4,089 | $4,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 5,764 | $4,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 233 | $4,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 1,000 | $4,000 | thousands by filing date | principal |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $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 | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 269 | $4,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 500 | $4,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 1,200 | $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 |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 2,230 | $4,000 | thousands by filing date | |
| 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 |
| NXT-ID INC | 67091J206 | COM NEW | 2,296 | $4,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 2,439 | $4,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,000 | $4,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 6,500 | $4,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,000 | $4,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 1,475 | $4,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 18,000 | $4,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 2,856 | $4,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 8,950 | $4,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 5,421 | $4,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 114 | $3,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 147 | $3,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 250 | $3,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 104 | $3,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,787 | $3,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 292 | $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 | |
| 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 | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,700 | $3,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 600 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 5,000 | $3,000 | thousands by filing date | principal |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 3,000 | $3,000 | thousands by filing date | principal |
| ALIMERA SCIENCES INC | 016259103 | COM | 2,400 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 175 | $3,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 100 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 158 | $3,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 171 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,050 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 235 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 712 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 600 | $3,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 229 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,550 | $3,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 300 | $3,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $3,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 1,058 | $3,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 3,000 | $3,000 | thousands by filing date | principal |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 9,294 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 185 | $3,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 100 | $3,000 | thousands by filing date | |
| UTS CF CORP | G20307123 | UNIT | 300 | $3,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M106 | COMMON STOCK | 297 | $3,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,250 | $2,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 135 | $2,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 2,478 | $2,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 1,600 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 100 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 100 | $2,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 95 | $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 | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 1,110 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,700 | $2,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 1,000 | $2,000 | thousands by filing date | principal |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 206 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 500 | $2,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 5,100 | $2,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 180 | $2,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 4,250 | $2,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 1,429 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 7,000 | $2,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,685 | $2,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 379 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 151 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 4,120 | $2,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,083 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 50 | $2,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 99 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 100 | $2,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782U304 | COM NEW | 1,126 | $2,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,500 | $2,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 166 | $2,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 121 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 637 | $2,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 229 | $2,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 375 | $2,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 435 | $1,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 800 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 398 | $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 | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 175 | $1,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 50 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 50 | $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 | |
| LGL GROUP INC | 50186A108 | COM | 200 | $1,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 60 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 61 | $1,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 500 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-17-000282 | superseded | 2017-05-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-17-000315 | this filing | 2017-05-22 | acceptance time not in the bulk data set |