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 |
|---|---|---|---|---|---|---|
| PEOPLES FINL CORP MISS | 71103B102 | COM | 1,500 | $22,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 864 | $22,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 3,410 | $22,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 619 | $22,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 4,928 | $22,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 15,711 | $22,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,748 | $22,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 1,127 | $21,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 9,864 | $21,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 7,337 | $21,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 6,500 | $21,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,156 | $21,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 16,095 | $21,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 3,089 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 800 | $21,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,236 | $21,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,100 | $21,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 806 | $21,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 30,142 | $21,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 9,549 | $21,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,200 | $21,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,250 | $21,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,405 | $21,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 650 | $21,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 904 | $20,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,900 | $20,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 1,084 | $20,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,502 | $20,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,165 | $20,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $20,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 5,950 | $20,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,214 | $20,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,786 | $20,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $20,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 300 | $20,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 3,933 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 324 | $19,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 5,500 | $19,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 2,296 | $19,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 15,000 | $19,000 | thousands by filing date | principal |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $19,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 13,544 | $19,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 789 | $19,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $19,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 3,456 | $19,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 17,500 | $19,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 960 | $19,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 799 | $18,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 2,761 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 700 | $18,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 15,000 | $18,000 | thousands by filing date | principal |
| BOWL AMER INC BWL | 102565108 | COMMON | 1,300 | $18,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 20,000 | $18,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 10,490 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $17,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,243 | $17,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 771 | $17,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 500 | $17,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 13,082 | $17,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 4,195 | $17,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 920 | $17,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $17,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 3,316 | $17,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 12,235 | $17,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195124 | COM | 1,679 | $17,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 759 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $16,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,094 | $16,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 300 | $16,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 6,000 | $16,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 868 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 217 | $16,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $16,000 | thousands by filing date | principal |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $16,000 | thousands by filing date | principal |
| LRAD CORP | 50213V109 | COM | 7,650 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 402 | $16,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,845 | $16,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 9,167 | $16,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 6,510 | $16,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 1,233 | $16,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 2,000 | $16,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 8,000 | $16,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 158 | $16,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 667 | $16,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 18,625 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 1,482 | $16,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 13,000 | $16,000 | thousands by filing date | principal |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 247 | $16,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,863 | $15,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 816 | $15,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 661 | $15,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 500 | $15,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,612 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 271 | $15,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,450 | $15,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,000 | $15,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 3,032 | $15,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 300 | $15,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 6,626 | $15,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 8,435 | $15,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,002 | $15,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 16,410 | $15,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 26,147 | $15,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 275 | $15,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 11,000 | $15,000 | thousands by filing date | principal |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 1,482 | $15,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $14,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 2,601 | $14,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,325 | $14,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,361 | $14,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 21,860 | $14,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 7,894 | $14,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 6,737 | $14,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 950 | $14,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 988 | $14,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,300 | $14,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 4,116 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 15,000 | $14,000 | thousands by filing date | principal |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,200 | $14,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,500 | $13,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 5,000 | $13,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 27,700 | $13,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,056 | $13,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 1,014 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 500 | $13,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 16,000 | $13,000 | thousands by filing date | principal |
| SECOO HLDG LTD | 81367P101 | ADR | 1,500 | $13,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 10,000 | $13,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 17,000 | $13,000 | thousands by filing date | principal |
| RESEARCH FRONTIERS INC | 760911107 | COM | 10,299 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 200 | $12,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $12,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,600 | $12,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 33,385 | $12,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 9,000 | $12,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 9,575 | $12,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 8,500 | $12,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 1,600 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 406 | $12,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 5,375 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 429 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 600 | $12,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $12,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 33,687 | $12,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P102 | SHS | 106,609 | $12,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,080 | $11,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 383 | $11,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 4,000 | $11,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 7,951 | $11,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 320 | $11,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $11,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 10,000 | $11,000 | thousands by filing date | principal |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $11,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,300 | $11,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,662 | $11,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 6,260 | $11,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 6,338 | $11,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,201 | $11,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 6,800 | $11,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 7,006 | $11,000 | thousands by filing date | |
| CHINA COML CR INC | 16891K103 | COM | 4,000 | $11,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,000 | $10,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 11,280 | $10,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 744 | $10,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 1,813 | $10,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 691 | $10,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 457 | $10,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 785 | $10,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 1,540 | $10,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 5,875 | $10,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 390 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 356 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 558 | $10,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 14,500 | $10,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,053 | $10,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $10,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,500 | $10,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 3,000 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $10,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,000 | $10,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 5,400 | $10,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,640 | $10,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 4,057 | $10,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 10,000 | $10,000 | thousands by filing date | principal |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 2,100 | $9,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,736 | $9,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,047 | $9,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,015 | $9,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 390 | $9,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 5,687 | $9,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,036 | $9,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 2,625 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 375 | $9,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 6,660 | $9,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 5,215 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $9,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 2,521 | $9,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 7,043 | $9,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 119 | $9,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 850 | $9,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 6,616 | $9,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 11,030 | $9,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 128 | $8,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 5,000 | $8,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $8,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,563 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 150 | $8,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,090 | $8,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 366 | $8,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 10,452 | $8,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 586 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 300 | $8,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 320 | $8,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $8,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,900 | $8,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 2,192 | $8,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 2,450 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 300 | $8,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 8,000 | $8,000 | thousands by filing date | principal |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,829 | $8,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,799 | $8,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 3,012 | $8,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 76 | $7,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,189 | $7,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 200 | $7,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 900 | $7,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 200 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 451 | $7,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 652 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 692 | $7,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 4,543 | $7,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 5,699 | $7,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 12,031 | $7,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,311 | $7,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,400 | $7,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,450 | $7,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 500 | $7,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,500 | $7,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 6,000 | $7,000 | thousands by filing date | principal |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 200 | $7,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G603 | HRZNS S&P500 COV | 150 | $7,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 7,000 | $7,000 | thousands by filing date | principal |
| FORM HLDGS CORP COM | 34634E102 | Stock | 5,510 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 761 | $7,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 370 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 196 | $6,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 421 | $6,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,340 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $6,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $6,000 | thousands by filing date | principal |
| ParkerVision Inc | 701354300 | USD | 3,657 | $6,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $6,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $6,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 185 | $6,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,531 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 139 | $6,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 2,000 | $6,000 | thousands by filing date | principal |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 87 | $6,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 850 | $6,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 2,980 | $6,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 600 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 136 | $6,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,698 | $6,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 1,283 | $6,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 1,359 | $6,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 4,000 | $6,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 6,000 | $6,000 | thousands by filing date | principal |
| NEURALSTEM INC | 64127R401 | COM NEW | 4,655 | $6,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 8,527 | $6,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 9,009 | $6,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L105 | COM | 600 | $6,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 9,000 | $6,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 6,000 | $6,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 5,000 | $6,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 4,000 | $6,000 | thousands by filing date | principal |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 200 | $6,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 4,456 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 591 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $5,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,343 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 142 | $5,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 565 | $5,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,055 | $5,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 2,100 | $5,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $5,000 | thousands by filing date | principal |
| INVENTURE FOODS INC | 461212102 | COM | 992 | $5,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 234 | $5,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 14,500 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 600 | $5,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 4,923 | $5,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $5,000 | thousands by filing date | principal |
| Proshares VIX Short-Term | 74347W171 | Equity | 159 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 4,286 | $5,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $5,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 5,200 | $5,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $5,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,279 | $5,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 8,459 | $5,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 5,000 | $5,000 | thousands by filing date | principal |
| COGENTIX MED INC COM | 19243A104 | Stock | 2,000 | $5,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,000 | $5,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,000 | $5,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 100 | $5,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $5,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,233 | $5,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 168 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 100 | $4,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,194 | $4,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 1,802 | $4,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 600 | $4,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 135 | $4,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 100 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $4,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 1,804 | $4,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 627 | $4,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $4,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 2,364 | $4,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 2,755 | $4,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $4,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 400 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $4,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,065 | $4,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 5,000 | $4,000 | thousands by filing date | principal |
| ASPEN GROUP INC | 04530L203 | COM NEW | 700 | $4,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 1,718 | $4,000 | thousands by filing date | |
| BANRO CORP | 066800806 | COM NEW | 10,150 | $4,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 8,439 | $4,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 300 | $4,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 400 | $4,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,869 | $4,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 2,037 | $4,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 796 | $4,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 362 | $4,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 223 | $4,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 2,648 | $4,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 200 | $4,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 600 | $4,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 24,000 | $4,000 | thousands by filing date | principal |
| BIOSTAGE INC | 09074M103 | COM | 10,772 | $4,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 700 | $3,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,500 | $3,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 400 | $3,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $3,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 210 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 152 | $3,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,700 | $3,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 332 | $3,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 470 | $3,000 | thousands by filing date | |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 1,883 | $3,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 604 | $3,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 2,100 | $3,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 2,104 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 5,000 | $3,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,805 | $3,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 5,000 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 263 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 170 | $3,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 514 | $3,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 680 | $3,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 193 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 3,277 | $3,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 521 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,212 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 171 | $3,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 374 | $3,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 63 | $3,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 600 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E836 | DLY SEMICNDTR 3X | 154 | $3,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,058 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,868 | $3,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 509 | $3,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 1,564 | $3,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 885 | $3,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,083 | $3,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 1,000 | $3,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 100 | $3,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $3,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 420 | $3,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 1,139 | $3,000 | thousands by filing date | |
| YANDEX N.V. | 98474TAB3 | 1.125% CNV BDS 15/12/18 USD | 3,000 | $3,000 | thousands by filing date | principal |
| ESSA PHARMA INC | 29668H104 | COM | 11,500 | $3,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 4,000 | $3,000 | thousands by filing date | |
| UTS CF CORP | G20307123 | UNIT | 300 | $3,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 2,100 | $3,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 521 | $3,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 135 | $2,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 296 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 153 | $2,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 65 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,363 | $2,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 285 | $2,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 415 | $2,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,046 | $2,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 3,120 | $2,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 6,232 | $2,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 888 | $2,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 11,000 | $2,000 | thousands by filing date | principal |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 200 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 165 | $2,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 130 | $2,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 4,211 | $2,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 370 | $2,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 392 | $2,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 300 | $2,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 280 | $2,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 4,993 | $2,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 2,159 | $2,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,157 | $2,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D365 | VELOCITY SHS SHO | 100 | $2,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 189 | $2,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 360 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 633 | $2,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 5,439 | $2,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 1,701 | $2,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 513 | $1,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 40 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 35 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 435 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 400 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 60 | $1,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 50 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 50 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 45 | $1,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 89 | $1,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 110 | $1,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 61 | $1,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 166 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 200 | $1,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 40 | $1,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 679 | $1,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 35 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 61 | $1,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 602 | $1,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 1,505 | $1,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 67 | $1,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 210 | $1,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 95 | $1,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 250 | $1,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 3,915 | $1,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 18 | $1,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 400 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 333 | $1,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 216 | $1,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| ALIMERA SCIENCES INC | 016259103 | COM | 400 | $1,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 2,372 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 250 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 4,000 | $1,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 3,240 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297215 | MLCX GRN ETN23 | 300 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 20 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 138 | $1,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 500 | $1,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 1,083 | $1,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 431 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 1,005 | $1,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 17 | $1,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 700 | $1,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 2,400 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 804 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 56,556 | $1,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 2,258 | $1,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 650 | $1,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 480 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 940 | $1,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 750 | $1,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 500 | $1,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,500 | $1,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 81 | $1,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 185 | $1,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 444 | $1,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 39 | $1,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 44 | $1,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 1,865 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 335 | $1,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203101 | COM | 1,084 | $1,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 800 | $1,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 303 | $1,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 300 | $1,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 1,000 | $1,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| QUALSTAR CORP | 74758R208 | COM NEW | 188 | $1,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 1,000 | $1,000 | thousands by filing date | principal |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 66 | $1,000 | 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 |