13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-14, with 6,836 holding rows worth $370,131,696,000.
- Accession
- 0000895421-18-000508
- Filer
- CIK 895421
- Filed
- 2018-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 26,111 entries on the cover page, a total value of $370,131,696,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $370,131,696,000 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 |
|---|---|---|---|---|---|---|
| Arsanis Inc | 042873109 | COM | 9,899 | $36,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 1,355 | $36,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 13,096 | $35,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,030 | $35,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 35,000 | $35,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 746 | $34,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2,402 | $34,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 1,250 | $34,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,535 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 1,291 | $34,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 2,832 | $34,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 27,300 | $34,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 25,965 | $34,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 647 | $33,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 4,228 | $33,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,752 | $33,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,956 | $33,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 784 | $33,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,000 | $33,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 20,038 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,106 | $33,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 925 | $33,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 4,555 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 500 | $33,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 24,000 | $33,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 252 | $33,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 33,000 | $33,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,718 | $32,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,990 | $32,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,250 | $32,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 2,000 | $32,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,701 | $32,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 26,611 | $32,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 1,273 | $32,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 2,803 | $32,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,590 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,252 | $31,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 7,498 | $31,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 45,971 | $31,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 10,085 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $31,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920101 | CL A ORD | 3,100 | $31,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 25,000 | $31,000 | thousands by filing date | principal |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,000 | $30,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 15,000 | $30,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $30,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 31,201 | $30,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 905 | $30,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 10,093 | $30,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 8,780 | $30,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 3,166 | $29,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 9,010 | $29,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 1,561 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 615 | $29,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $29,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 1,783 | $29,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 2,546 | $29,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 4,626 | $29,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $29,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,188 | $29,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 1,100 | $29,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 421 | $29,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 12,332 | $29,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,514 | $29,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 2,800 | $28,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,800 | $28,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 13,800 | $28,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 10,683 | $28,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 30,964 | $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 |
| RENMIN TIANLI GROUP INC | G7500A100 | SHS | 9,977 | $28,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 11,275 | $27,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 12,013 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,228 | $27,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 1,655 | $27,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 5,726 | $27,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,106 | $27,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 8,306 | $27,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 35,000 | $27,000 | thousands by filing date | principal |
| FIBROCELL SCIENCE INC | 315721407 | COM | 9,961 | $27,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,769 | $27,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 22,000 | $27,000 | thousands by filing date | principal |
| MSB FINL CORP NEW | 55352L101 | COM | 1,227 | $27,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 9,598 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 981 | $27,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 9,757 | $26,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 14,789 | $26,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,158 | $26,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 2,813 | $26,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $26,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 4,480 | $26,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 6,172 | $26,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 12,612 | $25,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 15,658 | $25,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,429 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 1,187 | $25,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 15,715 | $25,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 4,150 | $25,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,770 | $25,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,874 | $25,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 5,871 | $25,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 9,332 | $25,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 4,350 | $25,000 | thousands by filing date | |
| STANDARD DIVERSIFIED INC | 85336L109 | COM CL A | 1,699 | $25,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 22,632 | $25,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 13,371 | $25,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 17,000 | $25,000 | thousands by filing date | principal |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 987 | $24,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 3,513 | $24,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 21,067 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,245 | $24,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 7,841 | $24,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 1,020 | $24,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 762 | $24,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 709 | $24,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 5,320 | $24,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,235 | $23,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 310 | $23,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 40,000 | $23,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 954 | $23,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 7,710 | $23,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,885 | $23,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 13,900 | $23,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 1,195 | $23,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 2,916 | $23,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,331 | $22,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,539 | $22,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 672 | $22,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 988 | $22,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 360 | $22,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,871 | $22,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 504 | $22,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 6,406 | $22,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $22,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 2,499 | $22,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 10,445 | $22,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,400 | $22,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,478 | $22,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 2,001 | $22,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 4,759 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 750 | $21,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,917 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $21,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 700 | $21,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 15,450 | $21,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 27,400 | $21,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 20,000 | $21,000 | thousands by filing date | principal |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 730 | $21,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $21,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 862 | $20,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $20,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,043 | $20,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 6,527 | $20,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,500 | $20,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 16,999 | $20,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 1,300 | $20,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 23,000 | $20,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 265 | $20,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,165 | $20,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 186 | $20,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 269 | $20,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,408 | $20,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $19,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 10,956 | $19,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,200 | $19,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,000 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 419 | $19,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,157 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $19,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 2,400 | $19,000 | thousands by filing date | |
| BK TECHNOLOGIES INC | 09180A100 | COM | 5,189 | $19,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 19,000 | $19,000 | thousands by filing date | principal |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 1,098 | $19,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 1,196 | $18,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,398 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 410 | $18,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 41,500 | $18,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,552 | $18,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 10,900 | $18,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 5,209 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 1,255 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E792 | EMRNG MKT INFR | 527 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $17,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 415 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 600 | $17,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 34,061 | $17,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 15,000 | $17,000 | thousands by filing date | principal |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 579 | $17,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 751 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $17,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 19,044 | $17,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 40,700 | $17,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 14,000 | $17,000 | thousands by filing date | principal |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 33,829 | $17,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,935 | $17,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 13,829 | $17,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,730 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 285 | $16,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $16,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,550 | $16,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 400 | $16,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 4,447 | $16,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 3,863 | $16,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $16,000 | thousands by filing date | principal |
| CITIZENS FIRST CORP | 17462Q107 | COM | 593 | $16,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,501 | $16,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 8,634 | $16,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 18,003 | $16,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 5,958 | $16,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 2,300 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 1,000 | $16,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 4,657 | $16,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 16,000 | $16,000 | thousands by filing date | principal |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,194 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $15,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4,261 | $15,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 7,830 | $15,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,294 | $15,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $15,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 6,061 | $15,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 6,186 | $15,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,402 | $15,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 8,220 | $15,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $15,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 508 | $15,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC | Y2069P507 | SHS PAR | 9,058 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 449 | $15,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,466 | $14,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 2,947 | $14,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $14,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R125 | WARR | 4,850 | $14,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 41,977 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 720 | $14,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,900 | $14,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 14,000 | $14,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 10,000 | $14,000 | thousands by filing date | principal |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 1,395 | $14,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 16,011 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E109 | DAILY SLR BULL | 1,895 | $14,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,754 | $13,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 645 | $13,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 5,505 | $13,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 3,963 | $13,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,725 | $13,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 29,880 | $13,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 1,250 | $13,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 5,100 | $13,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 723 | $13,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 4,201 | $13,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 574 | $13,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 3,137 | $13,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 3,264 | $13,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 108 | $13,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 1,233 | $13,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 7,803 | $13,000 | thousands by filing date | |
| SSLJ COM LIMITED | G8406F102 | SHS CL A | 3,400 | $13,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 1,244 | $13,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 1,200 | $13,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 4,231 | $13,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 250 | $12,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,521 | $12,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $12,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 8,000 | $12,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,604 | $12,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 7,400 | $12,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 6,165 | $12,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 11,000 | $12,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 2,639 | $12,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 5,871 | $12,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 9,697 | $12,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $12,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,426 | $12,000 | thousands by filing date | |
| SHARING ECONOMY INTL INC | 819534108 | COM | 3,371 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 505 | $12,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 1,254 | $12,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 1,229 | $12,000 | thousands by filing date | |
| ISHARES SYSTEMATIC BOND ETF | 46435U796 | COM | 113 | $11,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,431 | $11,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 925 | $11,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 403 | $11,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,212 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 200 | $11,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 551 | $11,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 6,500 | $11,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 17,416 | $11,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 148 | $11,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,410 | $11,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 1,508 | $11,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 12,000 | $11,000 | thousands by filing date | principal |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 1,237 | $11,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 4,450 | $11,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 5,718 | $11,000 | thousands by filing date | |
| COMMAND CENTER INC | 200497204 | COM NEW | 2,000 | $11,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 180 | $11,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 9,000 | $11,000 | thousands by filing date | principal |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 834 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 324 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 500 | $10,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 833 | $10,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,341 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 275 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 337 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 180 | $10,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 525 | $10,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 10,952 | $10,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 1,162 | $10,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 289 | $10,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,036 | $10,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 366 | $10,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 21,300 | $10,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 8,200 | $10,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 900 | $10,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,369 | $10,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 16,348 | $10,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V107 | CL A | 1,017 | $10,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 119 | $10,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 982 | $10,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $9,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 320 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 283 | $9,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,402 | $9,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 301 | $9,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,403 | $9,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 241 | $9,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 10,111 | $9,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 4,376 | $9,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,137 | $9,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $9,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,536 | $9,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 6,700 | $9,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 36,268 | $9,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 5,903 | $9,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 911 | $9,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 3,588 | $9,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 1,670 | $9,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 10,253 | $9,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 850 | $9,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 1,080 | $9,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 3,950 | $9,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 37,752 | $9,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G109 | COM | 911 | $9,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,000 | $8,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,752 | $8,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,047 | $8,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 220 | $8,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $8,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 420 | $8,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 200 | $8,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,037 | $8,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,003 | $8,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 4,247 | $8,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 279 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 306 | $8,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,901 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,000 | $8,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 3,311 | $8,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 3,316 | $8,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 8,000 | $8,000 | thousands by filing date | principal |
| HAYMAKER ACQUISITION CORP | 420870107 | COM CLASS A | 836 | $8,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 5,222 | $8,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 2,588 | $8,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 842 | $7,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 101 | $7,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $7,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,400 | $7,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 300 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 500 | $7,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 1,080 | $7,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 7,915 | $7,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 6,097 | $7,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,279 | $7,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 490 | $7,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 1,731 | $7,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 4,998 | $7,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 3,669 | $7,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,622 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 201 | $7,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 4,000 | $7,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 7,000 | $7,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 1,300 | $7,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 5,340 | $7,000 | thousands by filing date | |
| BLACK RIDGE ACQUISITION CORP | 09216T107 | COM | 675 | $7,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 257 | $7,000 | thousands by filing date | |
| DITECH HLDG CORP | 25501G105 | COM | 1,203 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $7,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 10,000 | $7,000 | thousands by filing date | principal |
| OSPREY ENERGY ACQUISITION CO | 688397108 | CL A COM | 738 | $7,000 | thousands by filing date | |
| XSPAND PRODUCTS LAB INC | 984163105 | COM | 875 | $7,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 681 | $6,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 890 | $6,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,510 | $6,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 229 | $6,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 500 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $6,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 2,676 | $6,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 764 | $6,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 501 | $6,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $6,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 1,000 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 815 | $6,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $6,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,220 | $6,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 3,300 | $6,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 2,558 | $6,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 336 | $6,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,000 | $6,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 300 | $6,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 1,012 | $6,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,461 | $6,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 2,020 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $6,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 116 | $6,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 97 | $6,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 5,141 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| HESS CORP | 42809H404 | DEP PDF SR A | 85 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 75 | $6,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 652 | $6,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 400 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 200 | $6,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 530 | $5,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 241 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 1,782 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 142 | $5,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 512 | $5,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 4,200 | $5,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 502 | $5,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,905 | $5,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 1,500 | $5,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 200 | $5,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 3,510 | $5,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $5,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,056 | $5,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 344 | $5,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $5,000 | thousands by filing date | principal |
| EUROSEAS LTD | Y23592309 | SHS NEW | 2,665 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,223 | $5,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 3,848 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 200 | $5,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P206 | mc | 100 | $5,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 500 | $5,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 458 | $5,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 5,180 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 195 | $5,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,829 | $5,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 4,007 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 150 | $5,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 2,301 | $5,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,223 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 207 | $5,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 810 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 84 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 123 | $4,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 170 | $4,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 900 | $4,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 263 | $4,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $4,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 501 | $4,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 2,360 | $4,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 1,971 | $4,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 800 | $4,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 156 | $4,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,304 | $4,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 5,744 | $4,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,000 | $4,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 169 | $4,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 850 | $4,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 3,100 | $4,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,876 | $4,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 3,000 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 150 | $4,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 4,000 | $4,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 2,000 | $4,000 | thousands by filing date | principal |
| PYXIS TANKERS INC | Y71726106 | COM | 3,900 | $4,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,780 | $4,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 4,000 | $4,000 | thousands by filing date | principal |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 4,285 | $4,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 223 | $4,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 927 | $4,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 79 | $4,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| MELROSE BANCORP INC | 585553100 | COM | 201 | $4,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 446 | $4,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 10,298 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000508 | this filing | 2018-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-19-000452 | base | 2019-04-23 | acceptance time not in the bulk data set |