13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 6,757 holding rows worth $365,347,404,000.
- Accession
- 0000895421-18-000333
- Filer
- CIK 895421
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 25,509 entries on the cover page, a total value of $365,347,404,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $365,347,404,000 with VALUE read as thousands by filing date, 13F file number 028-03432. A later restatement replaced it, so the quarter does not use it. 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 AIP GP LP028-14710
- 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
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 |
|---|---|---|---|---|---|---|
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 41,969 | $155,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 132,818 | $154,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 900 | $153,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 25,732 | $153,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 13,747 | $153,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 19,200 | $153,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 7,957 | $151,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 150,000 | $151,000 | thousands by filing date | principal |
| APC 7.5 PFD | 032511404 | Preferred Stock | 4,510 | $151,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 219,000 | $150,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 5,863 | $150,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 7,746 | $149,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 4,039 | $149,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 11,098 | $149,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 25,459 | $149,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 84,112 | $147,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 5,525 | $147,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 46,001 | $146,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 7,000 | $145,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 19,717 | $145,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 17,743 | $145,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 6,247 | $145,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 5,572 | $144,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 5,736 | $144,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 15,000 | $144,000 | thousands by filing date | principal |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 5,974 | $143,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 19,075 | $143,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 1,405 | $143,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 4,225 | $142,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 141,000 | $142,000 | thousands by filing date | principal |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 38,866 | $141,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 43,767 | $141,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 79,569 | $141,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 158,000 | $140,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 7,185 | $139,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 15,558 | $139,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 12,052 | $139,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 11,496 | $139,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 26,259 | $138,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 20,661 | $138,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 11,722 | $138,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 168,300 | $137,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 51,142 | $136,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 5,762 | $135,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 3,973 | $135,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 139,000 | $135,000 | thousands by filing date | principal |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 7,534 | $135,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 7,490 | $134,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 37,643 | $134,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 131,400 | $133,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 4,348 | $133,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 8,266 | $132,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 12,480 | $132,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 5,657 | $132,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 19,418 | $132,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 67,974 | $132,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 58,828 | $132,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 12,485 | $132,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 3,868 | $131,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 5,173 | $131,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 11,197 | $131,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 24,258 | $131,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 3,762 | $130,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 9,153 | $129,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,644 | $129,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 19,922 | $129,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 4,835 | $128,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 12,456 | $128,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 9,577 | $128,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 3,442 | $128,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 31,450 | $128,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,458 | $127,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 15,605 | $127,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 28,042 | $127,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 13,084 | $127,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 26,036 | $125,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 10,553 | $124,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 7,038 | $124,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 18,074 | $124,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 329,236 | $124,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 33,610 | $122,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 3,638 | $122,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 18,216 | $122,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 4,066 | $121,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 4,641 | $120,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 6,000 | $120,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 3,799 | $119,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 13,752 | $119,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 3,887 | $118,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 3,109 | $118,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 2,398 | $118,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 5,220 | $117,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 12,260 | $117,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 23,198 | $117,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 54,133 | $116,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 32,268 | $116,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 27,146 | $116,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 27,303 | $116,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 13,032 | $115,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 15,937 | $115,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 7,539 | $115,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 149,438 | $115,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 200,000 | $114,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 81,906 | $113,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 113,000 | $113,000 | thousands by filing date | principal |
| THE9 LTD | 88337K104 | ADR | 173,700 | $111,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 2,717 | $110,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 1,962 | $110,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 35,455 | $110,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 4,946 | $110,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 23,817 | $110,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,810 | $110,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 11,795 | $109,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 3,595 | $109,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 9,201 | $108,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 2,988 | $107,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 5,420 | $107,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 24,481 | $107,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 10,178 | $107,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 5,500 | $105,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 5,713 | $105,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,778 | $104,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 199,121 | $104,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 25,600 | $104,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 9,855 | $103,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 20,104 | $103,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 86,000 | $102,000 | thousands by filing date | principal |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 17,100 | $102,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 37,516 | $101,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 101,000 | $101,000 | thousands by filing date | principal |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 5,833 | $100,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 94,000 | $100,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 3,896 | $100,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 21,485 | $99,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 29,762 | $99,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 5,253 | $98,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 14,003 | $98,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 2,038 | $98,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 7,041 | $97,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 32,997 | $97,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 65,700 | $97,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 28,622 | $97,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 16,300 | $96,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 40,545 | $96,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 40,777 | $96,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 183,800 | $96,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 3,962 | $95,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,235 | $95,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 36,365 | $95,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 3,704 | $95,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 29,462 | $95,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 4,997 | $94,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 8,696 | $94,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 26,852 | $94,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,772 | $93,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 11,052 | $93,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 43,400 | $93,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 4,300 | $93,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 3,090 | $92,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,101 | $92,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 5,717 | $92,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 93,000 | $92,000 | thousands by filing date | principal |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 2,811 | $91,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 5,515 | $91,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W349 | PUTWRITE STRAT | 3,667 | $91,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,605 | $91,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 4,900 | $90,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 3,646 | $90,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 12,439 | $90,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,340 | $89,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 16,897 | $89,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 10,242 | $89,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,880 | $89,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 466,102 | $89,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 61,808 | $88,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,518 | $88,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 21,495 | $87,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 5,100 | $87,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 8,133 | $86,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 6,781 | $85,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 1,123 | $85,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 577 | $85,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 5,893 | $84,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 4,344 | $84,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 12,760 | $84,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 12,304 | $84,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 2,112 | $84,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 43,365 | $84,000 | thousands by filing date | principal |
| TREMONT MTG TR | 894789106 | COM | 5,720 | $84,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 13,303 | $83,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 3,464 | $83,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 4,650 | $83,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 165,509 | $83,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 8,685 | $83,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 3,811 | $82,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 58,262 | $82,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,776 | $82,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 13,764 | $82,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 22,371 | $82,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 3,600 | $82,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 8,257 | $81,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 613 | $81,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 80,251 | $81,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 5,629 | $81,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 6,530 | $81,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 3,538 | $81,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 29,463 | $81,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 53,000 | $81,000 | thousands by filing date | principal |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 24,000 | $80,000 | thousands by filing date | principal |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 5,902 | $80,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 84,000 | $80,000 | thousands by filing date | principal |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 9,871 | $79,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 12,131 | $79,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,951 | $79,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 20,337 | $79,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 3,088 | $79,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 20,612 | $78,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 626 | $77,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 3,807 | $77,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 116,896 | $77,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 3,320 | $76,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 6,900 | $76,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 421 | $76,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 3,702 | $75,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 7,480 | $75,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 5,479 | $75,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 16,041 | $75,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 30,553 | $75,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 28,921 | $74,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 2,052 | $74,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 2,553 | $73,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 84,000 | $73,000 | thousands by filing date | principal |
| 1347 Property Insurance Holdings | 68244P107 | COM | 10,002 | $73,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 3,130 | $72,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 94,164 | $72,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 2,569 | $71,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 163,600 | $70,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 10,110 | $69,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 5,400 | $69,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 10,617 | $69,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 9,864 | $69,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 70,000 | $69,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 503 | $69,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 8,216 | $68,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 3,400 | $68,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 4,409 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 1,840 | $68,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 58,843 | $68,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 4,740 | $67,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 10,695 | $67,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 2,532 | $67,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 4,900 | $66,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,791 | $66,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 2,791 | $66,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 2,164 | $65,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 63,000 | $65,000 | thousands by filing date | principal |
| MAYS J W INC | 578473100 | COM | 1,654 | $64,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 38,700 | $64,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 105,292 | $64,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 11,930 | $64,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 9,822 | $64,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,381 | $63,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 7,897 | $63,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 67,000 | $63,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 56,000 | $63,000 | thousands by filing date | principal |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,624 | $62,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $62,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 2,150 | $62,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 60,000 | $62,000 | thousands by filing date | principal |
| SCPHARMACEUTICALS INC | 810648105 | COM | 5,065 | $61,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 55,000 | $61,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 457 | $61,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 7,062 | $61,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 20,700 | $61,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 64,000 | $61,000 | thousands by filing date | principal |
| ALCENTRA CAP CORP | 01374T102 | COM | 7,249 | $60,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 6,619 | $60,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 58,200 | $60,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 1,804 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,688 | $60,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 24,376 | $60,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,439 | $60,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 60,000 | $60,000 | thousands by filing date | principal |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 2,343 | $59,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 84,700 | $59,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 165,699 | $59,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,800 | $58,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 40,364 | $58,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 19,030 | $58,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 328 | $58,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 2,164 | $58,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 4,201 | $57,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 2,946 | $57,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 4,593 | $57,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 8,784 | $57,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 15,100 | $57,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 3,364 | $57,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 23,753 | $57,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,550 | $57,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 34,900 | $57,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 54,000 | $57,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 58,000 | $57,000 | thousands by filing date | principal |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 6,525 | $56,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,701 | $56,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 2,700 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 2,638 | $56,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 13,104 | $56,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 22,469 | $55,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 21,592 | $55,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 3,000 | $55,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 7,350 | $55,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 16,168 | $54,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,498 | $54,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,953 | $54,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 62,900 | $54,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 4,003 | $54,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 10,117 | $54,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 50,000 | $53,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 24,579 | $53,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 19,832 | $53,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 26,111 | $53,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 65,250 | $53,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 27,400 | $53,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,935 | $53,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 55,000 | $53,000 | thousands by filing date | principal |
| PEAK RESORTS INC | 70469L100 | COM | 9,774 | $53,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 52,000 | $53,000 | thousands by filing date | principal |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 14,587 | $52,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,011 | $52,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 8,056 | $52,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 4,312 | $52,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 5,165 | $52,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 32,000 | $52,000 | thousands by filing date | principal |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 4,024 | $51,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 3,750 | $51,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 23,221 | $51,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 47,649 | $51,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 2,692 | $51,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 7,161 | $51,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 16,238 | $51,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 20,105 | $51,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 18,573 | $50,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 26,627 | $50,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 1,410 | $49,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 6,776 | $49,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,738 | $49,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,475 | $48,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 3,668 | $48,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,875 | $48,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,790 | $48,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 4,978 | $48,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 66,000 | $48,000 | thousands by filing date | principal |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 25,762 | $47,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 16,329 | $47,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 8,262 | $47,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,750 | $46,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,100 | $45,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 7,595 | $45,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 21,332 | $45,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 568 | $45,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,312 | $44,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 3,252 | $44,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 17,120 | $44,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 4,800 | $44,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 50,000 | $44,000 | thousands by filing date | principal |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 5,540 | $43,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 43,000 | $43,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $43,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 4,500 | $43,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 19,750 | $43,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 15,250 | $42,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,900 | $42,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 1,501 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 2,389 | $42,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 9,082 | $42,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 7,716 | $41,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 32,768 | $41,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 41,000 | $41,000 | thousands by filing date | principal |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 1,120 | $41,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 1,195 | $41,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2,400 | $40,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 12,047 | $40,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 1,400 | $40,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,499 | $40,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,741 | $40,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 20,918 | $40,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 9,257 | $40,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 26,247 | $40,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAA9 | NOTE 0.375% 9/0 | 38,000 | $40,000 | thousands by filing date | principal |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,848 | $39,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 8,087 | $39,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 14,383 | $39,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 40,000 | $39,000 | thousands by filing date | principal |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 2,678 | $39,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 28,845 | $39,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 18,179 | $39,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 3,871 | $39,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 40,000 | $39,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 6,443 | $39,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 9,566 | $39,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 16,000 | $39,000 | thousands by filing date | principal |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 22,000 | $39,000 | thousands by filing date | principal |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 4,585 | $38,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 15,009 | $38,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 15,180 | $38,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 2,500 | $38,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 40,000 | $38,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,488 | $38,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 5,146 | $38,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,470 | $38,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 3,817 | $38,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 13,669 | $37,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 14,000 | $37,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,679 | $37,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,963 | $37,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 38,000 | $37,000 | thousands by filing date | principal |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 817 | $37,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 20,104 | $37,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,250 | $37,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 1,505 | $37,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 21,532 | $37,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 32,000 | $37,000 | thousands by filing date | principal |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 258 | $37,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 40,121 | $37,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 1,174 | $37,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,820 | $36,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 10,333 | $36,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,001 | $36,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 56,168 | $36,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 498 | $35,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 7,508 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 400 | $35,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 1,176 | $35,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 11,851 | $35,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 16,272 | $35,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 17,537 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,963 | $35,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 597 | $35,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 6,244 | $35,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 36,000 | $35,000 | thousands by filing date | principal |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 33,000 | $35,000 | thousands by filing date | principal |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,750 | $34,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $34,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 1,179 | $34,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 80,903 | $34,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 4,500 | $34,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 19,000 | $34,000 | thousands by filing date | principal |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $34,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 365 | $34,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 14,209 | $34,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 5,910 | $33,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,500 | $33,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 117,600 | $33,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 994 | $33,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 925 | $33,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 32,000 | $33,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,106 | $33,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 647 | $32,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $32,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 13,343 | $32,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 8,200 | $32,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 33,000 | $32,000 | thousands by filing date | principal |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 3,168 | $31,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 8,439 | $31,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 300 | $31,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 26,390 | $31,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,299 | $31,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 7,815 | $31,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 8,610 | $31,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 851 | $31,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 6,904 | $31,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,227 | $31,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 10,325 | $30,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $30,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 25,000 | $30,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 7,254 | $30,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 1,105 | $30,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 870 | $30,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 7,382 | $30,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 16,269 | $30,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 3,000 | $30,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,956 | $29,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 1,250 | $29,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 24,000 | $29,000 | thousands by filing date | principal |
| LIMBACH HLDGS INC | 53263P105 | COM | 2,005 | $28,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 3,830 | $28,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 400 | $28,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 284 | $28,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 7,800 | $28,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 4,635 | $28,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,998 | $28,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 810 | $28,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 1,191 | $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 |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 980 | $28,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 1,662 | $27,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 718 | $27,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 1,110 | $27,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 27,000 | $27,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 18,000 | $27,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000333 | this filing | 2018-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-19-000446 | base | 2019-04-23 | acceptance time not in the bulk data set |