13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-14, with 6,773 holding rows worth $360,297,078,000.
- Accession
- 0000895421-18-000422
- Filer
- CIK 895421
- Filed
- 2018-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 25,811 entries on the cover page, a total value of $360,297,078,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $360,297,078,000 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 |
|---|---|---|---|---|---|---|
| MESA RTY TR | 590660106 | UNIT BEN INT | 12,301 | $185,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 71,924 | $185,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 128,534 | $185,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 181,497 | $185,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 35,378 | $184,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 6,716 | $183,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 6,851 | $183,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,600 | $182,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 125,564 | $182,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 10,429 | $180,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 8,062 | $179,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 35,901 | $179,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 4,991 | $179,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 8,181 | $179,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 11,074 | $179,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 23,063 | $178,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 211,841 | $178,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 46,377 | $178,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 9,000 | $177,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M134 | GUGGENHEIM 2024 | 7,089 | $177,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 21,972 | $176,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 5,674 | $176,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 176,000 | $176,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 180,000 | $175,000 | thousands by filing date | principal |
| COMSTOCK RES INC | 205768AN4 | NOTE 9.500% 6/1 | 190,121 | $175,000 | thousands by filing date | principal |
| CARDLYTICS INC | 14161W105 | COM | 11,878 | $174,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 7,317 | $174,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 77,687 | $174,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 9,037 | $173,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 7,100 | $173,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 10,368 | $173,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 55,636 | $173,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 7,947 | $173,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 82,636 | $173,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 117,055 | $172,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 83,590 | $171,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 1,720 | $170,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 246,000 | $170,000 | thousands by filing date | principal |
| COMPUTER TASK GROUP INC | 205477102 | COM | 20,748 | $170,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 11,934 | $169,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 5,996 | $168,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 25,723 | $166,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 16,720 | $166,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 14,115 | $165,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 13,605 | $165,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 6,573 | $164,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 28,470 | $164,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 23,193 | $163,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 65,000 | $163,000 | thousands by filing date | principal |
| WATSCO INC | 942622101 | CL B CONV | 900 | $162,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 13,497 | $162,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 6,345 | $162,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 13,180 | $162,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 112,000 | $161,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 44,872 | $161,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 4,868 | $160,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 692 | $160,000 | thousands by filing date | |
| ROSETTA GENOMICS | M82183209 | Equities | 390,930 | $160,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 205,000 | $160,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 6,132 | $159,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 5,328 | $159,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 8,434 | $159,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 16,314 | $159,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 77,033 | $158,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 11,030 | $157,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 17,106 | $157,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 26,771 | $157,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 532,250 | $156,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 4,193 | $155,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 8,564 | $155,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 49,200 | $155,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 47,039 | $154,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 71,111 | $154,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 19,257 | $153,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 150,000 | $153,000 | thousands by filing date | principal |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 21,270 | $152,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 20,281 | $152,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 12,600 | $152,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 15,076 | $151,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 157,000 | $151,000 | thousands by filing date | principal |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 14,592 | $151,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 24,661 | $150,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 6,270 | $150,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 3,132 | $150,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 19,686 | $149,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 64,125 | $149,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 13,349 | $149,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 98,871 | $149,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 16,390 | $148,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 12,155 | $148,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 16,834 | $147,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 8,666 | $147,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 6,000 | $147,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 4,011 | $146,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 10,877 | $146,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 17,572 | $146,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 54,960 | $145,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 28,377 | $145,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 22,200 | $145,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,535 | $144,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 17,701 | $144,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 11,107 | $144,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 3,283 | $142,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 133,000 | $142,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 143,000 | $142,000 | thousands by filing date | principal |
| RESTORBIO INC | 76133L103 | COM | 14,684 | $141,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 7,336 | $141,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 139,000 | $141,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 38,082 | $140,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 70,194 | $140,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 19,370 | $140,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 17,468 | $140,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 10,741 | $140,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 3,446 | $140,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 27,673 | $139,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 7,490 | $138,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 89,735 | $138,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 103,229 | $138,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 14,362 | $137,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 1,612 | $137,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,415 | $137,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 22,657 | $136,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 17,207 | $135,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 4,624 | $135,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 42,000 | $134,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 8,789 | $133,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 7,989 | $133,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 32,709 | $133,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 219,000 | $132,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 12,485 | $132,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 1,588 | $130,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 1,144 | $130,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 36,947 | $129,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 3,762 | $129,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 5,944 | $128,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 75,450 | $128,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 11,855 | $127,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 77,493 | $127,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 3,868 | $126,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 113,297 | $126,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,636 | $126,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 466,102 | $126,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 9,151 | $125,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 5,180 | $124,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 10,543 | $124,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 6,880 | $123,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 31,057 | $123,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 25,966 | $123,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 9,213 | $123,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 10,958 | $120,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 2,063 | $119,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 5,551 | $119,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 10,178 | $119,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 3,285 | $119,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 7,827 | $118,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 10,591 | $118,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 3,671 | $117,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 39,067 | $117,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 7,507 | $117,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 11,197 | $117,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 152,147 | $116,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 2,398 | $115,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 3,324 | $115,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 108,000 | $115,000 | thousands by filing date | principal |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,071 | $114,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 1,224 | $113,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 8,473 | $113,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 74,818 | $113,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 4,263 | $112,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 2,702 | $112,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 20,349 | $112,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 5,854 | $112,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 48,809 | $112,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 77,367 | $112,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 30,757 | $112,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 14,796 | $111,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 5,439 | $111,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 8,235 | $110,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 189,800 | $110,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,896 | $109,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 5,346 | $109,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 48,881 | $109,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 30,409 | $109,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 84,835 | $109,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 5,545 | $109,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 3,675 | $109,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 35,211 | $108,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 9,135 | $107,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 4,245 | $107,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 6,442 | $106,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 3,499 | $106,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 100,000 | $105,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 2,154 | $105,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 132,200 | $104,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 5,647 | $104,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 832 | $104,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 10,125 | $104,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 20,337 | $104,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 59,968 | $104,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 3,911 | $102,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,778 | $101,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 6,500 | $101,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,688 | $100,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 12,329 | $100,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 24,681 | $100,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 33,209 | $100,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 75,307 | $100,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 29,167 | $100,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 5,567 | $99,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 10,494 | $99,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 200,000 | $99,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 10,597 | $99,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 101,000 | $99,000 | thousands by filing date | principal |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 8,607 | $98,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,543 | $98,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 26,837 | $98,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 5,423 | $98,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 5,302 | $97,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 830 | $95,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 14,869 | $95,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 15,773 | $94,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 8,216 | $94,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 6,003 | $93,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 5,066 | $93,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 7,118 | $93,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 8,461 | $93,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 6,788 | $92,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 38,271 | $91,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 26,461 | $91,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 4,373 | $91,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 164,100 | $90,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 33,279 | $90,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 3,475 | $90,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 19,000 | $90,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 31,316 | $90,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 12,732 | $89,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 11,270 | $89,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 2,708 | $89,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 2,848 | $89,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 17,688 | $88,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 12,076 | $88,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 4,500 | $88,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 31,455 | $88,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 3,827 | $87,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 2,808 | $87,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 8,717 | $87,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 64,664 | $87,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 5,902 | $87,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 12,706 | $85,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 9,660 | $85,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 3,766 | $84,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 2,989 | $84,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 2,840 | $84,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 1,978 | $84,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 6,424 | $84,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 2,467 | $83,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 27,701 | $83,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 81,000 | $83,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 14,670 | $83,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 9,528 | $82,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 3,467 | $82,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 84,000 | $82,000 | thousands by filing date | principal |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 2,974 | $81,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 1,390 | $81,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 577 | $81,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 7,000 | $81,000 | thousands by filing date | principal |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,776 | $80,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 481 | $80,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 78,000 | $80,000 | thousands by filing date | principal |
| SOUNDTHINKING INC | 82536T107 | COM | 2,983 | $79,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 5,447 | $78,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 4,429 | $78,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 613 | $78,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 2,847 | $78,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 4,843 | $77,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 14,903 | $77,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 14,527 | $77,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 13,846 | $77,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 143,482 | $77,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 11,484 | $76,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 36,600 | $76,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 5,761 | $76,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 1,780 | $76,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 3,074 | $76,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 18,245 | $75,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 2,613 | $75,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 2,684 | $75,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 11,564 | $74,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 3,550 | $74,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 2,367 | $73,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 7,424 | $73,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 2,920 | $73,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 44,631 | $73,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 26,811 | $73,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 6,005 | $73,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 10,002 | $72,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 10,583 | $71,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 97,960 | $71,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 3,876 | $71,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 4,900 | $71,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 6,437 | $71,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,951 | $71,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 306,000 | $71,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 84,000 | $71,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 1,051 | $70,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 2,508 | $70,000 | thousands by filing date | |
| LONGFIN CORP CLASS A | 54304F106 | COMMON STOCK | 4,065 | $70,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 3,085 | $69,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 71,000 | $69,000 | thousands by filing date | principal |
| SIEBERT FINL CORP | 826176109 | COM | 8,015 | $68,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 4,000 | $68,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 23,967 | $68,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 4,752 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 954 | $67,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 6,485 | $67,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 2,533 | $67,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 56,000 | $67,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 59,000 | $67,000 | thousands by filing date | principal |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 20,687 | $67,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 2,474 | $66,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 6,700 | $66,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,685 | $66,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 23,800 | $65,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 16,960 | $65,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 2,158 | $65,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 6,453 | $64,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102209 | UNIT LTD PRT 60 | 3,807 | $64,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 65,000 | $64,000 | thousands by filing date | principal |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 16,210 | $64,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 503 | $64,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 3,702 | $63,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,654 | $63,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 1,700 | $63,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,641 | $62,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 21,408 | $62,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 12,364 | $62,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 1,624 | $61,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 8,750 | $61,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 65,000 | $61,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 800 | $61,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 60,553 | $61,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 12,950 | $60,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 166,868 | $60,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 23,676 | $60,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 1,400 | $60,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 13,011 | $59,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 2,432 | $59,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 4,964 | $58,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 23,753 | $58,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,710 | $58,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 58,000 | $58,000 | thousands by filing date | principal |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 421 | $58,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 56,000 | $58,000 | thousands by filing date | principal |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 1,800 | $57,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 4,632 | $57,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,269 | $57,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 2,525 | $57,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 23,335 | $57,000 | thousands by filing date | |
| ABLYNX NV | 00372Y105 | SPONSORED ADR | 1,051 | $57,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 4,603 | $57,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 12,881 | $56,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 9,592 | $56,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 1,501 | $56,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 63,600 | $55,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 8,541 | $55,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 57,000 | $55,000 | thousands by filing date | principal |
| Ocugen | 43358V109 | Common | 20,000 | $55,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 12,299 | $54,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 45,457 | $54,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,802 | $53,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 83,834 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 2,898 | $53,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,042 | $53,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 22,507 | $53,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 2,498 | $52,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 49,000 | $52,000 | thousands by filing date | principal |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 9,117 | $52,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 1,012 | $52,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 3,517 | $51,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 5,076 | $51,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 413 | $51,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 7,246 | $51,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 2,284 | $49,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 58,600 | $49,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 14,537 | $49,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 12,844 | $49,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 11,379 | $49,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 20,062 | $49,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 56,000 | $49,000 | thousands by filing date | principal |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 7,790 | $49,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 2,350 | $48,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,475 | $48,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 708 | $48,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 900 | $48,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 14,566 | $48,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 29,222 | $48,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 19,750 | $48,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 18,103 | $48,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 9,859 | $48,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,332 | $47,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 16,695 | $47,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 1,185 | $47,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 5,284 | $46,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 4,200 | $46,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 7,378 | $46,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 4,500 | $46,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,765 | $46,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 915 | $45,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,811 | $45,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 21,199 | $45,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 56,000 | $45,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 1,601 | $45,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 6,050 | $44,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 2,500 | $44,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 7,000 | $43,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 3,940 | $43,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 14,023 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 866 | $43,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,329 | $43,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 27,000 | $43,000 | thousands by filing date | principal |
| PFSWEB INC | 717098206 | COM | 4,889 | $43,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 15,667 | $43,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 266,083 | $43,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 6,091 | $43,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,738 | $43,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 18,560 | $43,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G603 | HRZNS S&P500 COV | 884 | $43,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,769 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 561 | $42,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 43,000 | $42,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 1,991 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 730 | $42,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 4,402 | $42,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 31,009 | $42,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 6,993 | $41,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 16,158 | $41,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,591 | $41,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 18,582 | $41,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,964 | $41,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,201 | $41,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 40,000 | $41,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 2,227 | $41,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,499 | $40,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 23,358 | $40,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 9,214 | $40,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 2,658 | $40,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 8,047 | $40,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 2,918 | $40,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 3,950 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 2,350 | $40,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,583 | $39,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 804 | $39,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,848 | $39,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 2,680 | $39,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 3,000 | $39,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4,674 | $39,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 39,000 | $39,000 | thousands by filing date | principal |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 21,932 | $39,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,850 | $38,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 3,156 | $38,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 18,149 | $38,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 817 | $38,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 33,000 | $38,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 1,391 | $38,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $38,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 21,551 | $38,000 | thousands by filing date | principal |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 38,000 | $38,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 314 | $37,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 38,000 | $37,000 | thousands by filing date | principal |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,001 | $37,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 27,400 | $37,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 4,500 | $37,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 500 | $37,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,890 | $36,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 1,741 | $36,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 4,585 | $36,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $36,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 45,090 | $36,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 23,310 | $36,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 8,136 | $36,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 1,174 | $36,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 13,343 | $35,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 6,417 | $35,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 15,180 | $35,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 1,052 | $35,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 705 | $35,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 2,297 | $35,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 4,759 | $35,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,953 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 400 | $34,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 11,806 | $34,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 31,168 | $34,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 352 | $34,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 16,082 | $34,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 36,000 | $34,000 | thousands by filing date | principal |
| IPIC ENTMT INC | 46263D106 | COM CL A | 2,916 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 1,106 | $34,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,956 | $33,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 7,498 | $33,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,532 | $33,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000422 | this filing | 2018-05-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-19-000449 | base | 2019-04-23 | acceptance time not in the bulk data set |