13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 6,642 holding rows worth $333,856,988,000.
- Accession
- 0000895421-17-000432
- Filer
- CIK 895421
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 24,627 entries on the cover page, a total value of $333,856,988,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $333,856,988,000 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 |
|---|---|---|---|---|---|---|
| Etfmg Prime Mobile | 26924G409 | COM | 27,584 | $901,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 725,926 | $900,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 427,912 | $898,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 70,705 | $896,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 159,253 | $894,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 273,119 | $893,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 61,400 | $892,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 102,081 | $887,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 40,975 | $884,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 116,892 | $884,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 85,547 | $884,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 64,404 | $882,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 4,623 | $879,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 33,497 | $879,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 127,874 | $879,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 80,599 | $878,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 49,115 | $875,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 40,565 | $875,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 56,380 | $874,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 51,155 | $874,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 36,470 | $871,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 52,179 | $869,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 856,000 | $869,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 660,000 | $869,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 1,887,500 | $868,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 190,934 | $868,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 27,912 | $868,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 24,324 | $866,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 26,652 | $865,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 123,527 | $865,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 41,469 | $865,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 253,928 | $863,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 8,878 | $854,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 14,192 | $853,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 16,385 | $852,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 32,978 | $851,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 29,868 | $851,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 66,802 | $850,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 20,808 | $849,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 35,171 | $849,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 115,967 | $845,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 31,520 | $844,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 34,527 | $844,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 7,147 | $843,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 28,546 | $841,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 218,492 | $841,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 23,297 | $840,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 200,633 | $837,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 93,681 | $837,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 53,876 | $834,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 128,105 | $834,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 22,753 | $834,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 30,561 | $832,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 97,847 | $831,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 145,802 | $830,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 618,745 | $829,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 48,733 | $828,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 49,525 | $827,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 372,261 | $826,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 7,201 | $825,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 41,960 | $824,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 34,047 | $824,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 116,080 | $823,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 328,709 | $822,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 96,800 | $818,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 65,011 | $817,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 60,923 | $816,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 39,668 | $811,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 67,962 | $808,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 50,033 | $802,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 43,951 | $801,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 77,044 | $801,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 34,116 | $800,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 17,200 | $800,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 280,535 | $800,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 42,736 | $799,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 32,725 | $798,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 52,548 | $797,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 42,053 | $797,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 56,871 | $794,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 45,041 | $794,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 317,325 | $794,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 58,160 | $793,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 32,805 | $793,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 29,338 | $791,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 55,932 | $791,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 32,799 | $788,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 56,288 | $787,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 22,037 | $786,000 | thousands by filing date | |
| BCI | 26923J503 | ETF | 31,815 | $785,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 48,255 | $785,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 766,000 | $784,000 | thousands by filing date | principal |
| TILLYS INC | 886885102 | CL A | 65,154 | $782,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 47,502 | $782,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 93,161 | $780,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 83,206 | $778,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 284,262 | $777,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 171,536 | $777,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 28,364 | $776,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 44,034 | $774,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 11,647 | $772,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 26,062 | $770,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 49,251 | $768,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 57,635 | $766,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 16,244 | $766,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 53,717 | $766,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 23,680 | $765,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 32,252 | $763,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 28,276 | $761,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 161,971 | $761,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 724,818 | $758,000 | thousands by filing date | principal |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 56,601 | $756,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 27,024 | $756,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 47,781 | $751,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 61,120 | $750,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 42,689 | $749,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 23,174 | $748,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 25,793 | $748,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 26,525 | $748,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 365,000 | $748,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 23,656 | $746,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 740,000 | $746,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 744,000 | $745,000 | thousands by filing date | principal |
| Yogaworks, Inc. | 986005106 | com | 269,004 | $745,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 63,398 | $745,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 16,445 | $744,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 26,953 | $740,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 226,877 | $740,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 11,000 | $737,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 83,943 | $736,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 50,147 | $736,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 162,312 | $734,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 28,341 | $734,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 78,416 | $733,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 170,765 | $732,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 67,262 | $731,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 28,495 | $730,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 21,624 | $730,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 97,960 | $730,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 271,232 | $726,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 21,010 | $725,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 205,195 | $725,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 40,743 | $723,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 20,453 | $722,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 21,016 | $722,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 63,595 | $722,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 21,330 | $720,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 101,714 | $715,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 23,969 | $715,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 25,429 | $715,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 30,066 | $714,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 36,997 | $714,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 31,561 | $713,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 61,676 | $713,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 73,232 | $713,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 36,003 | $713,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 84,425 | $710,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 41,496 | $708,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 47,338 | $708,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 26,078 | $707,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 7,234 | $707,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 34,097 | $706,000 | thousands by filing date | |
| COLUMBIA ETF TR II BEYOND BRICS ETF | 19762B103 | CEF | 39,538 | $706,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 82,466 | $705,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 36,733 | $705,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 729,000 | $704,000 | thousands by filing date | principal |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 374,289 | $703,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 915,483 | $703,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 32,926 | $702,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 51,565 | $701,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 26,232 | $701,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 31,316 | $700,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 115,322 | $697,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 38,770 | $693,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 186,541 | $693,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 105,261 | $691,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 96,530 | $691,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 130,179 | $690,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 89,339 | $690,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 128,802 | $690,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 23,745 | $689,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 36,303 | $689,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 5,965 | $688,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 39,818 | $686,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 79,858 | $683,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 18,777 | $682,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 91,749 | $681,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 9,418 | $679,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 9,742 | $678,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 19,348 | $677,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 61,541 | $675,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 86,586 | $675,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 221,100 | $673,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 33,907 | $669,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L845 | QLT DIV DEF IDX | 16,088 | $668,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 20,602 | $667,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 51,447 | $666,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 85,875 | $666,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 100,164 | $666,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 149,215 | $665,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 54,887 | $664,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 8,797 | $664,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 6,920 | $663,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 57,583 | $662,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 35,543 | $661,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 15,354 | $661,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 12,486 | $659,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 31,858 | $656,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 70,658 | $653,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 23,617 | $653,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 30,786 | $652,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 29,088 | $652,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 59,300 | $651,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 26,630 | $649,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 6,600 | $648,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 144,186 | $647,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 16,256 | $646,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 15,100 | $646,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 64,480 | $644,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 51,860 | $644,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 31,117 | $640,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 19,480 | $640,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 25,532 | $639,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 16,819 | $635,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 220,534 | $635,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 14,066 | $634,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 57,534 | $633,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 7,303 | $632,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 4,846 | $632,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 30,627 | $631,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 18,278 | $630,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 23,956 | $629,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 47,421 | $627,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 17,406 | $625,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 244,886 | $625,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 41,745 | $625,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 37,702 | $624,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 34,487 | $624,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 149,141 | $624,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 50,038 | $623,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 190,000 | $622,000 | thousands by filing date | principal |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 30,503 | $620,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 53,209 | $620,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 507,122 | $618,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 13,089 | $617,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 12,008 | $615,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 14,931 | $615,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 167,882 | $614,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 30,530 | $613,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 39,632 | $612,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 88,939 | $607,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 26,027 | $606,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 90,215 | $605,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 78,754 | $605,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 38,880 | $604,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 79,501 | $604,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 13,656 | $604,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 51,053 | $603,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 38,803 | $601,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 114,742 | $601,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 125,626 | $601,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 78,588 | $598,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 43,749 | $597,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 10,560 | $597,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 17,615 | $595,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 40,779 | $594,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 24,101 | $593,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 42,021 | $592,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 22,263 | $592,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 43,187 | $589,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 84,255 | $589,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 19,275 | $589,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 187,562 | $589,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 50,770 | $589,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 67,491 | $588,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 91,409 | $587,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 1,761 | $587,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 17,996 | $586,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 141,916 | $586,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 113,949 | $585,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 24,552 | $585,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 53,572 | $584,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 15,859 | $584,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 1,667,650 | $583,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 145,800 | $583,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 247,551 | $581,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 5,644 | $579,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 346,958 | $579,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 20,120 | $579,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 30,381 | $578,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 17,498 | $577,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 25,859 | $577,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 52,949 | $577,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 41,795 | $576,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 11,393 | $575,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 37,316 | $572,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 21,270 | $571,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 27,245 | $571,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 37,267 | $571,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 10,117 | $571,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 52,946 | $570,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 28,688 | $567,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 50,796 | $567,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 37,756 | $565,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 27,782 | $565,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 13,644 | $565,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 27,618 | $565,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 31,942 | $564,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 13,316 | $563,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 27,402 | $562,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 118,333 | $560,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 39,723 | $558,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 33,201 | $558,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 45,853 | $557,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 12,985 | $555,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 47,802 | $554,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 254,169 | $553,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 33,915 | $553,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 22,237 | $551,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 47,920 | $551,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 14,833 | $549,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 41,679 | $549,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 23,442 | $548,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 88,470 | $548,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 97,631 | $547,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 18,349 | $547,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 15,612 | $546,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 125,667 | $546,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 30,011 | $544,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 88,644 | $543,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 15,837 | $542,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 15,238 | $541,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 10,823 | $541,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 177,355 | $541,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 29,044 | $540,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 23,251 | $540,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 23,852 | $539,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 76,462 | $539,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 35,726 | $538,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 20,754 | $536,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 45,698 | $536,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 41,130 | $536,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 31,878 | $536,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 7,454 | $535,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 20,452 | $535,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 20,013 | $534,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 8,881 | $533,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 146,231 | $533,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 84,298 | $531,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 37,192 | $530,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 37,850 | $528,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 12,408 | $527,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 25,043 | $526,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 104,303 | $525,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 54,964 | $524,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 22,168 | $524,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 43,827 | $523,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 49,595 | $523,000 | thousands by filing date | |
| VWR CORP | 91843L103 | COM | 15,773 | $523,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 504,000 | $523,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 5,967 | $522,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 30,741 | $522,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 82,988 | $522,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 25,196 | $521,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 22,639 | $519,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 32,592 | $517,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 160,196 | $516,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 94,381 | $515,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 25,281 | $515,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 83,415 | $513,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 13,115 | $511,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 234,804 | $510,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 33,456 | $509,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 191,900 | $507,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 39,751 | $504,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 108,115 | $504,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 101,616 | $503,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 30,353 | $502,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 138,835 | $501,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 117,644 | $501,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 33,148 | $499,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 6,122 | $499,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,277 | $498,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 21,747 | $497,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 36,628 | $496,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 11,343 | $495,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 501,000 | $493,000 | thousands by filing date | principal |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 206,682 | $492,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 101,300 | $491,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 147,395 | $491,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 67,212 | $490,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 33,802 | $489,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 26,567 | $489,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 54,521 | $486,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 109,840 | $486,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 11,588 | $485,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 7,713 | $484,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 39,981 | $483,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 27,766 | $482,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 560,566 | $482,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 21,645 | $481,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 25,495 | $481,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 522,000 | $481,000 | thousands by filing date | principal |
| CITIZENS INC | 174740100 | COMMON STOCK | 65,331 | $480,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 28,104 | $479,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 22,075 | $478,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 131,200 | $477,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 147,827 | $476,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 71,829 | $475,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 529,000 | $475,000 | thousands by filing date | principal |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 36,017 | $475,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 37,170 | $473,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 93,576 | $473,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 14,071 | $472,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 28,892 | $471,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 17,602 | $471,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 15,001 | $470,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 19,437 | $469,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 11,141 | $469,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 114,280 | $467,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 39,559 | $465,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 71,869 | $463,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 25,442 | $462,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 162,657 | $461,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 36,283 | $461,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 482,000 | $461,000 | thousands by filing date | principal |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 57,024 | $460,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 99,393 | $460,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 42,951 | $460,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 31,117 | $459,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 46,508 | $458,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 9,113 | $458,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 104,894 | $456,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 8,026 | $456,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 179,384 | $456,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 19,075 | $456,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 33,733 | $456,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 79,138 | $455,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 50,960 | $455,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 41,431 | $454,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 121,315 | $454,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 24,930 | $454,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 23,410 | $453,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 20,746 | $452,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 23,928 | $452,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 128,464 | $452,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 86,165 | $451,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 7,246 | $451,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 15,250 | $450,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 59,702 | $448,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 33,446 | $448,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 545,719 | $447,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 31,123 | $445,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 56,193 | $444,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 43,518 | $443,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 32,962 | $442,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 18,228 | $442,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 12,359 | $440,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 9,640 | $438,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 77,626 | $437,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 66,295 | $437,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 14,216 | $437,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 14,608 | $437,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 8,642 | $436,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 6,242 | $436,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 15,158 | $436,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 59,099 | $436,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 410,000 | $435,000 | thousands by filing date | principal |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 14,188 | $433,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 60,157 | $433,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 11,855 | $432,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 38,999 | $432,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 21,252 | $431,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 17,408 | $430,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 2,645 | $429,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 22,201 | $429,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 152,929 | $425,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 23,188 | $425,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 8,600 | $422,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 18,481 | $422,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 29,374 | $420,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 41,107 | $419,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 16,864 | $419,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 10,952 | $418,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 42,040 | $416,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 29,692 | $416,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 60,533 | $415,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 61,796 | $415,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 258,600 | $414,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 180,573 | $414,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 23,294 | $414,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 11,308 | $412,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 233,104 | $412,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 14,623 | $410,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 17,861 | $410,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 28,381 | $410,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 33,125 | $409,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 146,088 | $409,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 15,920 | $408,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 46,623 | $408,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-17-000432 | this filing | 2017-11-14 | acceptance time not in the bulk data set |