13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-11, with 6,714 holding rows worth $331,005,367,000.
- Accession
- 0000895421-17-000365
- Filer
- CIK 895421
- Filed
- 2017-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 25,726 entries on the cover page, a total value of $331,005,367,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $331,005,367,000 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 |
|---|---|---|---|---|---|---|
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,567 | $30,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 30,000 | $30,000 | thousands by filing date | principal |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 834 | $29,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $29,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 6,869 | $29,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 6,770 | $29,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 22,000 | $29,000 | thousands by filing date | principal |
| HIGHPOWER INTL INC | 43113X101 | COM | 7,886 | $29,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 902 | $29,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 6,022 | $29,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 235 | $29,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 400 | $28,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 27,000 | $28,000 | thousands by filing date | principal |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,875 | $28,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 53,500 | $28,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 1,099 | $28,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 33,000 | $28,000 | thousands by filing date | principal |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 7,000 | $28,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 1,085 | $28,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 19,152 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,288 | $27,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,733 | $27,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 900 | $27,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,412 | $27,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 14,709 | $27,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $27,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 2,800 | $27,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 9,650 | $27,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,164 | $27,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 26,000 | $27,000 | thousands by filing date | principal |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,963 | $26,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 11,355 | $26,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 9,579 | $26,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 836 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,696 | $26,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,100 | $26,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 21,000 | $26,000 | thousands by filing date | principal |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 4,473 | $25,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 3,709 | $25,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 6,000 | $25,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 3,584 | $25,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 4,183 | $25,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 13,235 | $25,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 25,000 | $25,000 | thousands by filing date | principal |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 27,556 | $24,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 125 | $24,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 6,000 | $24,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,508 | $24,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 8,213 | $24,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 19,000 | $24,000 | thousands by filing date | principal |
| PAMT CORP | 693149106 | COMMON STOCK | 1,195 | $23,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 4,100 | $23,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 3,359 | $23,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 24,000 | $23,000 | thousands by filing date | principal |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,336 | $23,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,167 | $23,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 19,366 | $23,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 725 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 859 | $22,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 12,312 | $22,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 19,000 | $22,000 | thousands by filing date | principal |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 31,975 | $22,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 12,300 | $22,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,250 | $22,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 5,049 | $22,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 4,179 | $21,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,694 | $21,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 6,660 | $21,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 1,300 | $21,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 9,815 | $21,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 2,303 | $21,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 61,633 | $21,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,502 | $21,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 8,683 | $21,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,580 | $21,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,637 | $21,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,242 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 800 | $21,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N303 | COM PAR | 4,700 | $21,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 864 | $21,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 11,263 | $21,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,200 | $21,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 20,574 | $21,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 15,000 | $21,000 | thousands by filing date | principal |
| ONCOBIOLOGICS INC | 68235M105 | COM | 21,211 | $21,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 3,178 | $21,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,000 | $20,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 51,861 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 780 | $20,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 6,288 | $20,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,044 | $20,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 977 | $20,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 15,010 | $20,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 20,000 | $20,000 | thousands by filing date | principal |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 24,000 | $20,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,405 | $20,000 | thousands by filing date | |
| 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 | 1,078 | $19,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 11,853 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 324 | $19,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 14,722 | $19,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 25,000 | $19,000 | thousands by filing date | principal |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,000 | $19,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,000 | $19,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 585 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 853 | $19,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 806 | $19,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 8,010 | $19,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 554 | $19,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 53,204 | $19,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $19,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 49,407 | $19,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 585 | $18,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 838 | $18,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 978 | $18,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,010 | $18,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 3,130 | $18,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 10,778 | $18,000 | thousands by filing date | |
| AUXILIO INC | 05334N204 | COM NEW | 3,947 | $18,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 5,300 | $17,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 670 | $17,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,450 | $17,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 14,000 | $17,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 15,000 | $17,000 | thousands by filing date | principal |
| INVENTURE FOODS INC | 461212102 | COM | 3,895 | $17,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 11,650 | $17,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 44,482 | $17,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $17,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,268 | $17,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 10,834 | $17,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 2,616 | $17,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 4,497 | $17,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 35,213 | $17,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 22,180 | $17,000 | thousands by filing date | principal |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $16,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,400 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 700 | $16,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 771 | $16,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 15,000 | $16,000 | thousands by filing date | principal |
| ANCHOR | 032838104 | COMMON STOCK | 600 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $16,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 10,065 | $16,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 7,797 | $16,000 | thousands by filing date | |
| MOXIAN INC | 624697207 | COM NEW | 5,061 | $16,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 5,065 | $16,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 804 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 300 | $15,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,265 | $15,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 10,898 | $15,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 6,000 | $15,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 339 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 523 | $15,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 1,486 | $15,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 551 | $15,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 3,402 | $15,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 6,800 | $15,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 18,975 | $15,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 9,052 | $15,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 5,350 | $14,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 270 | $14,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $14,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,705 | $14,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $14,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,325 | $14,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,667 | $14,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $14,000 | thousands by filing date | principal |
| INTERSECTIONS INC | 460981301 | COM | 3,103 | $14,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,056 | $14,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 11,176 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 1,075 | $14,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $14,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 10,334 | $14,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 5,000 | $14,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 200 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 1,078 | $14,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 7,400 | $13,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,796 | $13,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 425 | $13,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 9,312 | $13,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 7,675 | $13,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $13,000 | thousands by filing date | principal |
| LRAD CORP | 50213V109 | COM | 7,656 | $13,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 988 | $13,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 9,500 | $13,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 5,063 | $13,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 4,000 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 1,201 | $13,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,000 | $13,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 17,000 | $13,000 | thousands by filing date | principal |
| CHINA COML CR INC | 16891K103 | COM | 4,000 | $13,000 | thousands by filing date | |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,200 | $13,000 | thousands by filing date | |
| SPDR SER TR | 78468R879 | BLOOMBERG 0 5 YR | 675 | $13,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 600 | $12,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 14,394 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 374 | $12,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $12,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,412 | $12,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 34,689 | $12,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,758 | $12,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 7,853 | $12,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 340 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 404 | $12,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 3,118 | $12,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 2,125 | $12,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 2,600 | $12,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 7,295 | $12,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 11,000 | $12,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 12,000 | $12,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 12,000 | $12,000 | thousands by filing date | principal |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 383 | $11,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,704 | $11,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,071 | $11,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 862 | $11,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 2,507 | $11,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 2,765 | $11,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 4,446 | $11,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 9,000 | $11,000 | thousands by filing date | principal |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 11,000 | $11,000 | thousands by filing date | principal |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 8,766 | $11,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,122 | $11,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 8,500 | $11,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 3,300 | $11,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 10,000 | $11,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 361 | $11,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $11,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,659 | $11,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 3,771 | $11,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 3,686 | $11,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 7,402 | $11,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 3,068 | $11,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 10,000 | $11,000 | thousands by filing date | principal |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 275 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 960 | $11,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 7,900 | $11,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,371 | $10,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,007 | $10,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 21,860 | $10,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 7,000 | $10,000 | thousands by filing date | principal |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 320 | $10,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,037 | $10,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 1,717 | $10,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 390 | $10,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,311 | $10,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 7,743 | $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 | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,400 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 197 | $10,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,145 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 1,656 | $10,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,932 | $10,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 4,530 | $10,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,300 | $10,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,260 | $10,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 5,975 | $10,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 5,656 | $10,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 10,000 | $10,000 | thousands by filing date | principal |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 6,300 | $9,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 5,000 | $9,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,500 | $9,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,192 | $9,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 785 | $9,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 200 | $9,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,200 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 375 | $9,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 5,200 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 10,000 | $9,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 3,509 | $9,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $9,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 830 | $9,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,200 | $9,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 3,312 | $9,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,799 | $9,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 8,000 | $9,000 | thousands by filing date | principal |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 7,000 | $9,000 | thousands by filing date | principal |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 128 | $8,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $8,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 11,212 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 532 | $8,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,189 | $8,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 708 | $8,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 6,131 | $8,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 500 | $8,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 139 | $8,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 20,953 | $8,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $8,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 2,132 | $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 | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 850 | $8,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 5,598 | $8,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 712 | $7,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 76 | $7,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 186 | $7,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 200 | $7,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 3,843 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $7,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 652 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 5,000 | $7,000 | thousands by filing date | principal |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $7,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $7,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 2,000 | $7,000 | thousands by filing date | principal |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 5,000 | $7,000 | thousands by filing date | principal |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 15,500 | $7,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 851 | $7,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 16,300 | $7,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,000 | $7,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 5,432 | $7,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 2,092 | $7,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 8,159 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,869 | $7,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $7,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 4,887 | $7,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 7,000 | $7,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $7,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 1,504 | $6,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 235 | $6,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,099 | $6,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,340 | $6,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 5,069 | $6,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 7,000 | $6,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 4,029 | $6,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 548 | $6,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 600 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 136 | $6,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 2,021 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 450 | $6,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 2,095 | $6,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 2,037 | $6,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 9,762 | $6,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 9,282 | $6,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 50 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 4,594 | $6,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 6,000 | $6,000 | thousands by filing date | principal |
| AMRI 2.25 11/18 | 012423AB5 | Bond 30/360P2 U | 4,000 | $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 |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 1,517 | $6,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 3,789 | $6,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 12,400 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 591 | $5,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,647 | $5,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,281 | $5,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 436 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 902 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 142 | $5,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,342 | $5,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,038 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $5,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 467 | $5,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 784 | $5,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $5,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,251 | $5,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 200 | $5,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 747 | $5,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 2,000 | $5,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 6,000 | $5,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $5,000 | thousands by filing date | principal |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| UNIQUE FABRICATING INC | 90915J103 | COM | 475 | $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 | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,051 | $5,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 473 | $5,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 1,111 | $5,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 5,000 | $5,000 | thousands by filing date | principal |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 100 | $5,000 | thousands by filing date | |
| ECPG 3 11/27/17 | 292554AD4 | Bond 30/360P2 U | 4,000 | $5,000 | thousands by filing date | principal |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 663 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B466 | ULTRA JR MNRS NW | 100 | $5,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 133 | $4,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,246 | $4,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 658 | $4,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 135 | $4,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 200 | $4,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 374 | $4,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,778 | $4,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 462 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $4,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $4,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 300 | $4,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| SENOMYX INC | 81724Q107 | COM | 5,300 | $4,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 1,000 | $4,000 | thousands by filing date | principal |
| 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 | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 400 | $4,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,629 | $4,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 806 | $4,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 887 | $4,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y503 | SHS NEW | 9,104 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800806 | COM NEW | 4,605 | $4,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 5,990 | $4,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 5,000 | $4,000 | thousands by filing date | principal |
| XTNT | 98420P100 | Common | 6,500 | $4,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,063 | $4,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $4,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 11,776 | $4,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 5,421 | $4,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 119 | $3,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 478 | $3,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 1,802 | $3,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,787 | $3,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 530 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 100 | $3,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 2,500 | $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 | 4,816 | $3,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 546 | $3,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 604 | $3,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 2,600 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 5,000 | $3,000 | thousands by filing date | principal |
| ENGLOBAL CORP | 293306106 | COM | 2,157 | $3,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 668 | $3,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 153 | $3,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 2,364 | $3,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 193 | $3,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 533 | $3,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 7,686 | $3,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 2,100 | $3,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 1,273 | $3,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,120 | $3,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 5,000 | $3,000 | thousands by filing date | principal |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 500 | $3,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 300 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 2,000 | $3,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 3,000 | $3,000 | thousands by filing date | principal |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 283 | $3,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 1,085 | $3,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 250 | $3,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 185 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 123 | $3,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 3,415 | $3,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 680 | $3,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 1,004 | $3,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 6,776 | $3,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 1,701 | $3,000 | thousands by filing date | |
| UTS CF CORP | G20307123 | UNIT | 300 | $3,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 1,425 | $3,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U101 | COM | 308 | $3,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 135 | $2,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 600 | $2,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 204 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,700 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 512 | $2,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,062 | $2,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,380 | $2,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 5,005 | $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 | 1,488 | $2,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,368 | $2,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 1,307 | $2,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 232 | $2,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 888 | $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 | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 40 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 163 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 168 | $2,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 143 | $2,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 149 | $2,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 712 | $2,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,183 | $2,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 626 | $2,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 1,258 | $2,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 2,398 | $2,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 2,349 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 100 | $2,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 1,038 | $2,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 980 | $2,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,578 | $2,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 197 | $2,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| COASTWAY BANCORP INC | 190632109 | COM | 121 | $2,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 199 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,506 | $2,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 600 | $2,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 2,400 | $2,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 3,000 | $2,000 | thousands by filing date | principal |
| SENESTECH INC | 81720R109 | COM | 400 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 633 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 4,362 | $2,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,500 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 435 | $1,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,039 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,367 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 1,600 | $1,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 50 | $1,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 26 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 432 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-17-000365 | this filing | 2017-08-11 | acceptance time not in the bulk data set |