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 |
|---|---|---|---|---|---|---|
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 103,000 | $131,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 19,132 | $131,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 28,255 | $130,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 16,490 | $130,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 143,202 | $129,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 5,592 | $129,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 4,009 | $128,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 5,390 | $128,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 33,960 | $128,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 219,000 | $126,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 19,440 | $126,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 19,305 | $126,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 67,473 | $125,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,644 | $125,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 5,615 | $125,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 20,328 | $124,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,596 | $124,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 7,534 | $124,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 5,013 | $123,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 17,102 | $123,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 4,835 | $122,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 9,159 | $122,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 8,926 | $122,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 20,013 | $122,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 26,910 | $122,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 28,002 | $122,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 42,326 | $120,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,862 | $119,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F301 | SPONSRED ADR NEW | 39,500 | $119,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 3,712 | $118,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 3,630 | $118,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 7,961 | $117,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 3,901 | $117,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 3,272 | $117,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 39,990 | $117,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 3,672 | $116,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 19,072 | $115,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 46,595 | $114,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 6,277 | $113,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 14,620 | $113,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 43,137 | $113,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 84,370 | $112,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 18,503 | $112,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 4,472 | $111,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 6,112 | $111,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 30,150 | $111,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 47,787 | $110,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 2,172 | $109,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 12,961 | $108,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 12,911 | $108,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 552 | $108,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 96,474 | $108,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 3,071 | $107,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 1,608 | $107,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 24,473 | $107,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 2,899 | $107,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 19,688 | $107,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 2,038 | $107,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,941 | $106,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 105,000 | $106,000 | thousands by filing date | principal |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 17,025 | $106,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 7,751 | $106,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 8,704 | $106,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 6,151 | $105,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 1,713 | $105,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 7,522 | $105,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 13,206 | $105,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 8,414 | $105,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 6,705 | $105,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 3,200 | $105,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 4,993 | $104,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 3,768 | $104,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 6,000 | $103,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 21,614 | $103,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 7,460 | $103,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 15,169 | $103,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 26,360 | $102,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 5,655 | $102,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 145,000 | $101,000 | thousands by filing date | principal |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 1,559 | $101,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 8,784 | $101,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 4,466 | $100,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 31,525 | $100,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 6,991 | $99,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 10,734 | $98,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 221,440 | $98,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 7,053 | $98,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 98,000 | $98,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,778 | $97,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 5,332 | $97,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 83,029 | $96,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 400,987 | $96,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 25,446 | $95,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 103,000 | $95,000 | thousands by filing date | principal |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 1,051 | $94,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 81,725 | $94,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 36,901 | $94,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 2,344 | $93,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 2,688 | $93,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 130,000 | $93,000 | thousands by filing date | principal |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 3,587 | $92,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 29,257 | $92,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 842 | $91,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,045 | $90,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 73,000 | $90,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 4,275 | $90,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 241,367 | $90,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 2,890 | $89,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 31,921 | $89,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 14,541 | $89,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 163,600 | $88,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 11,054 | $88,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 25,398 | $88,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 7,279 | $88,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 3,455 | $88,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,880 | $87,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 2,775 | $86,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 6,432 | $86,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 5,000 | $85,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 2,876 | $85,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 84,000 | $84,000 | thousands by filing date | principal |
| RADISYS CORP | 750459109 | COM | 60,456 | $84,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 49,619 | $84,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,950 | $83,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 20,349 | $83,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 2,000 | $83,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 3,500 | $83,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 24,681 | $82,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 8,769 | $82,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 3,000 | $81,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,772 | $81,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 28,392 | $81,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 109,000 | $81,000 | thousands by filing date | principal |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 16,591 | $81,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 80,900 | $80,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 3,088 | $80,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 29,089 | $80,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 6,371 | $79,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 11,686 | $79,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 5,399 | $79,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 17,100 | $79,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 6,299 | $78,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 9,864 | $78,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 4,318 | $77,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 514 | $77,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,775 | $77,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 17,172 | $77,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,200 | $77,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 613 | $76,000 | thousands by filing date | |
| WOLVERINE BANCORP INC | 977880103 | COM | 1,760 | $76,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 7,163 | $76,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 22,001 | $76,000 | thousands by filing date | |
| CF CORP | G20307107 | SHS CL A | 6,762 | $76,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 1,116 | $75,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 181,164 | $75,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 36,375 | $75,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 9,863 | $75,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 3,506 | $75,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 19,617 | $74,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 200,000 | $74,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 41,500 | $74,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 74,000 | $74,000 | thousands by filing date | principal |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 13,685 | $73,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 3,688 | $72,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 4,897 | $72,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 14,837 | $72,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 23,000 | $72,000 | thousands by filing date | principal |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 13,786 | $72,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 6,192 | $72,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 12,604 | $72,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,633 | $71,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 9,783 | $71,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 121,525 | $71,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 39,000 | $71,000 | thousands by filing date | principal |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 4,820 | $71,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 25,876 | $71,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 2,207 | $70,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 70,000 | $70,000 | thousands by filing date | principal |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 41,600 | $70,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 2,685 | $70,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,934 | $69,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 9,740 | $69,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 21,694 | $69,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 5,116 | $68,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 16,669 | $68,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 12,896 | $68,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,969 | $68,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 2,991 | $68,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 58,667 | $68,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 46,713 | $68,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 2,555 | $67,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 2,985 | $67,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 17,221 | $67,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 11,521 | $66,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,287 | $66,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 780 | $66,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 57,300 | $66,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 3,185 | $66,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 16,497 | $66,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 5,126 | $66,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 17,317 | $66,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 85,200 | $65,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 7,600 | $65,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 5,640 | $65,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,781 | $65,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 6,681 | $65,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 15,504 | $65,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 56,000 | $65,000 | thousands by filing date | principal |
| CVD EQUIP CORP | 126601103 | COM | 5,829 | $64,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 21,345 | $64,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,798 | $64,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 9,346 | $64,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 6,550 | $63,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 14,125 | $63,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 13,732 | $63,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 15,000 | $63,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 59,000 | $63,000 | thousands by filing date | principal |
| FIRST US BANCSHARES INC | 33744V103 | COM | 5,400 | $62,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 2,447 | $62,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 29,234 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 817 | $61,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 4,682 | $61,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 2,850 | $61,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 38,227 | $61,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 61,000 | $61,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,791 | $61,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,905 | $61,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 809 | $61,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 5,131 | $61,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 64,000 | $61,000 | thousands by filing date | principal |
| BIOAMBER INC | 09072Q106 | COM | 120,697 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,688 | $60,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 68,000 | $60,000 | thousands by filing date | principal |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 4,740 | $59,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 6,905 | $59,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,653 | $59,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 457 | $59,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 3,046 | $59,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 10,250 | $59,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 61,000 | $59,000 | thousands by filing date | principal |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,800 | $58,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 2,820 | $58,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 1,156 | $58,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 28,040 | $58,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 2,396 | $58,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 1,902 | $58,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 25,263 | $58,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 2,651 | $57,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 328 | $57,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 3,000 | $56,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 72,430 | $56,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 6,162 | $55,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 30,000 | $55,000 | thousands by filing date | principal |
| Kelso Technologies Inc | 48826D201 | COM | 147,800 | $55,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 4,435 | $55,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 54,000 | $55,000 | thousands by filing date | principal |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 6,190 | $54,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 9,005 | $54,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 4,400 | $54,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 12,264 | $54,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 5,051 | $54,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 4,547 | $54,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 36,332 | $54,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 8,807 | $54,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 54,000 | $54,000 | thousands by filing date | principal |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 1,176 | $53,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,935 | $53,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,073 | $53,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 325 | $53,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 8,784 | $52,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 29,867 | $52,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 11,800 | $52,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 36,550 | $52,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 887 | $52,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 26,818 | $52,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 19,217 | $52,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 11,079 | $51,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 83,963 | $51,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 7,721 | $51,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,738 | $51,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 600 | $50,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 11,500 | $50,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 11,284 | $50,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 7,546 | $50,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 1,647 | $49,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 26,690 | $49,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 1,980 | $49,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 17,998 | $49,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 32,404 | $49,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 21,800 | $49,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,634 | $49,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 2,707 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 1,147 | $48,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 871 | $47,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 2,933 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 426 | $47,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,317 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 2,217 | $47,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 49,000 | $47,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 1,500 | $47,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 4,950 | $47,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 26,945 | $47,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 42,000 | $47,000 | thousands by filing date | principal |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 4,633 | $46,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,625 | $46,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 1,863 | $46,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,898 | $46,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 4,500 | $46,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,651 | $46,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 15,834 | $46,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 25,121 | $46,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 23,298 | $45,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 21,401 | $45,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 1,376 | $45,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 5,766 | $45,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 6,527 | $44,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,475 | $44,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 31,973 | $44,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 23,000 | $44,000 | thousands by filing date | principal |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,208 | $44,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 977 | $44,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 17,620 | $44,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 60,000 | $44,000 | thousands by filing date | principal |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 50,000 | $44,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 5,000 | $44,000 | thousands by filing date | principal |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 4,200 | $44,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 2,545 | $43,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,463 | $43,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 6,862 | $43,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 5,105 | $43,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,250 | $43,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 37,493 | $43,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 3,000 | $43,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 42,000 | $43,000 | thousands by filing date | principal |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,616 | $42,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 2,293 | $42,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 2,040 | $42,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,583 | $41,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,400 | $41,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 2,629 | $41,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 4,394 | $41,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 28,442 | $41,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 14,935 | $41,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 18,434 | $41,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 6,874 | $41,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 26,247 | $41,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,039 | $40,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 12,600 | $40,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 17,145 | $40,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 2,250 | $40,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 12,623 | $40,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B302 | SPONSORED ADR LE | 21,800 | $40,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 6,692 | $39,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,741 | $39,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 23,753 | $39,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 5,575 | $39,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 20,650 | $39,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 1,917 | $39,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 5,324 | $38,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 8,646 | $38,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,848 | $38,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 3,400 | $38,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 1,043 | $38,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 26,333 | $38,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,001 | $38,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 62,900 | $38,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 39,000 | $38,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,595 | $38,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 8,756 | $38,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 19,500 | $37,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,678 | $37,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 14,477 | $37,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 2,000 | $37,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 7,540 | $37,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 950 | $37,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 72,346 | $37,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,500 | $36,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 25,000 | $36,000 | thousands by filing date | principal |
| PROFIRE ENERGY INC | 74316X101 | COM | 18,170 | $36,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 30,000 | $36,000 | thousands by filing date | principal |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $36,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,990 | $35,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 36,805 | $35,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 900 | $35,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 2,528 | $35,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 4,292 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 1,174 | $35,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 680 | $34,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,412 | $34,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,350 | $34,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 34,000 | $34,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 15,673 | $34,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 4,953 | $34,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 23,900 | $34,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 32,000 | $34,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 597 | $34,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 9,000 | $34,000 | thousands by filing date | principal |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 2,500 | $33,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 33,000 | $33,000 | thousands by filing date | principal |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 4,250 | $33,000 | thousands by filing date | |
| INNOVATOR IBD 50 | 004006508 | COM | 1,044 | $33,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 979 | $33,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 49,702 | $33,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,099 | $32,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $32,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 5,310 | $32,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 1,617 | $32,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 28,700 | $32,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 2,400 | $32,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,445 | $32,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 14,057 | $32,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 35,144 | $32,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 32,000 | $32,000 | thousands by filing date | principal |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 13,172 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,106 | $32,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 2,500 | $31,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 400 | $31,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 3,240 | $31,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,145 | $31,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 8,610 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 1,979 | $31,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 3,674 | $31,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 1,310 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,017 | $31,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 19,000 | $31,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 235 | $31,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,735 | $30,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $30,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 3,682 | $30,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 76 | $30,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 11,206 | $30,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,278 | $30,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $30,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 7,116 | $30,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 24,985 | $30,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 40,000 | $30,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 22,000 | $30,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 22,000 | $30,000 | thousands by filing date | principal |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 38,302 | $30,000 | thousands by filing date | principal |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,750 | $29,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $29,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 3,671 | $29,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 2,537 | $29,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 8,588 | $29,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 1,208 | $29,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 9,300 | $29,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,158 | $29,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,142 | $29,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 400 | $28,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,598 | $28,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 28,000 | $28,000 | thousands by filing date | principal |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 8,050 | $28,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 30,000 | $28,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 27,000 | $28,000 | thousands by filing date | principal |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,955 | $27,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 2,280 | $27,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,798 | $27,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 24,000 | $27,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 2,814 | $27,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 6,000 | $27,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,669 | $26,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,871 | $26,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,182 | $26,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,599 | $26,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 7,165 | $26,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 5,538 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,529 | $26,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,228 | $26,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 26,000 | $26,000 | thousands by filing date | principal |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 810 | $26,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 604 | $25,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 1,825 | $25,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 717 | $25,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 6,000 | $25,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 18,000 | $25,000 | thousands by filing date | principal |
| LONG IS ICED TEA CORP | 54267E104 | COM | 10,000 | $25,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 25,000 | $25,000 | thousands by filing date | principal |
| VIDEOCON D2H LTD | 92657J101 | ADR | 2,839 | $25,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 250 | $24,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 198 | $24,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 23,500 | $24,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 5,999 | $24,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,100 | $23,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,700 | $23,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 6,928 | $23,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,580 | $23,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 19,000 | $23,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 500 | $23,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,158 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 552 | $23,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 776 | $23,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 18,000 | $23,000 | thousands by filing date | principal |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 4,010 | $22,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 900 | $22,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 869 | $22,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 9,160 | $22,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 20,000 | $22,000 | thousands by filing date | principal |
| SEACHANGE INTL INC | 811699107 | COM | 8,218 | $22,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 3,355 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 859 | $22,000 | 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 |