13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 6,882 holding rows worth $399,925,795,000.
- Accession
- 0000895421-18-000603
- Filer
- CIK 895421
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 27,234 entries on the cover page, a total value of $399,925,795,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $399,925,795,000 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 |
|---|---|---|---|---|---|---|
| REALNETWORKS INC | 75605L708 | COM | 11,018 | $33,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 2,803 | $33,000 | thousands by filing date | |
| STANDARD DIVERSIFIED INC | 85336L109 | COM CL A | 1,998 | $33,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 252 | $33,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 24,000 | $33,000 | thousands by filing date | principal |
| GABELLI CONV&INCOM SECS FD I | 36240B125 | RIGHT 10/17/2018 | 364,650 | $33,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,060 | $32,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,500 | $32,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 17,932 | $32,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 10,761 | $32,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,155 | $32,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 38,000 | $32,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 1,106 | $32,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 1,273 | $32,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 26,462 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 700 | $31,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 7,492 | $31,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 1,260 | $31,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 1,275 | $31,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 2,000 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $31,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 652 | $31,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 5,216 | $31,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 10,855 | $31,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 11,112 | $30,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 4,900 | $30,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 18,604 | $30,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 271 | $30,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 2,149 | $30,000 | thousands by filing date | |
| TapImmune Inc | 876033408 | COM | 3,366 | $30,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,000 | $29,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $29,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 2,046 | $29,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 3,000 | $29,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 16,383 | $29,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 10,749 | $29,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 5,000 | $29,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 30,000 | $29,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 1,090 | $29,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,413 | $29,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 804 | $28,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,021 | $28,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,556 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,160 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,443 | $28,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 15,997 | $28,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 27,742 | $28,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 762 | $28,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 13,389 | $28,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 13,800 | $28,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 4,900 | $28,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 12,922 | $28,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 1,598 | $28,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 2,605 | $28,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 3,877 | $27,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 718 | $27,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $27,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 10,761 | $27,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 1,973 | $27,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,158 | $27,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 4,468 | $27,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 6,263 | $27,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 35,000 | $27,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,024 | $27,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,754 | $27,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 2,425 | $27,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 5,426 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 972 | $27,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,052 | $26,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 4,641 | $26,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 1,063 | $26,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 7,125 | $26,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 709 | $26,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,615 | $25,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,625 | $25,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 6,406 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 772 | $25,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $25,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 26,000 | $25,000 | thousands by filing date | principal |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 2,372 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K349 | DLY NATRL GAS 3X | 1,194 | $25,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 850 | $24,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 7,010 | $24,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 940 | $24,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 4,500 | $24,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,770 | $24,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 3,712 | $24,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 919 | $24,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 24,394 | $24,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 21,000 | $24,000 | thousands by filing date | principal |
| FIBROCELL SCIENCE INC | 315721407 | COM | 9,960 | $24,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920101 | CL A ORD | 2,472 | $24,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 4,376 | $23,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 4,310 | $23,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 988 | $23,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 11,431 | $23,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 1,100 | $23,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 2,001 | $23,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 1,800 | $23,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $23,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 17,000 | $23,000 | thousands by filing date | principal |
| RBB FD INC | 74933W601 | MOTLEY FOL ETF | 1,000 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 787 | $22,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 461 | $22,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 6,215 | $22,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 11,322 | $22,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,693 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 750 | $22,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 2,000 | $22,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 16,534 | $22,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 3,719 | $22,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 29,233 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,197 | $22,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $22,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 13,387 | $22,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 7,710 | $22,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 374 | $21,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,100 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 584 | $21,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 7,744 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 1,000 | $21,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,100 | $21,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 600 | $21,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 8,973 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 716 | $21,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 4,068 | $21,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 9,598 | $21,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 10,591 | $21,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 3,434 | $21,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 24,475 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 310 | $20,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 6,900 | $20,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 13,350 | $20,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 8,440 | $20,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,018 | $20,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 42,197 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 691 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $20,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 18,642 | $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 | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 6,790 | $20,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,442 | $20,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $20,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 1,450 | $20,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 4,219 | $20,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,022 | $20,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 421 | $20,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 20,000 | $20,000 | thousands by filing date | principal |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 4,560 | $20,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 20,000 | $20,000 | thousands by filing date | principal |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 827 | $19,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 415 | $19,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 541 | $19,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 700 | $19,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 1,441 | $19,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 19,231 | $19,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 15,100 | $19,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 14,000 | $19,000 | thousands by filing date | principal |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,044 | $19,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 2,576 | $19,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 9,020 | $19,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 673 | $19,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $18,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,576 | $18,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 989 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 600 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 600 | $18,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 3,158 | $18,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 12,000 | $18,000 | thousands by filing date | principal |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 5,501 | $18,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 6,239 | $18,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 3,400 | $18,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 1,098 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $17,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,844 | $17,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 804 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 658 | $17,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 33,009 | $17,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,849 | $17,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 934 | $17,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,398 | $17,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,014 | $17,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 8,368 | $17,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 956 | $17,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 23,400 | $17,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 2,600 | $17,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 13,236 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 800 | $17,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,400 | $17,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 4,200 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 1,255 | $17,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,086 | $17,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 751 | $17,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,901 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $16,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 654 | $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 | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 637 | $16,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 400 | $16,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $16,000 | thousands by filing date | principal |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,050 | $16,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 13,659 | $16,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,501 | $16,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $16,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 16,000 | $16,000 | thousands by filing date | principal |
| ONCOBIOLOGICS INC | 68235M105 | COM | 16,011 | $16,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 796 | $15,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 4,509 | $15,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,728 | $15,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 14,360 | $15,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 3,624 | $15,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 3,394 | $15,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 41,500 | $15,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 8,000 | $15,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 4,000 | $15,000 | thousands by filing date | principal |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,402 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E552 | MSCI EMRNG MKT | 459 | $15,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,079 | $15,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U102 | COM CL A | 1,449 | $15,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 10,000 | $15,000 | thousands by filing date | principal |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 270 | $14,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 598 | $14,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 1,452 | $14,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 6,513 | $14,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 3,701 | $14,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $14,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 8,000 | $14,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 3,963 | $14,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 24,281 | $14,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $14,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 2,965 | $14,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 13,050 | $14,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $14,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 38,200 | $14,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 15,000 | $14,000 | thousands by filing date | principal |
| RESONANT INC | 76118L102 | COM | 3,350 | $14,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 7,122 | $14,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 156,091 | $14,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 108 | $14,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 1,312 | $14,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 449 | $14,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 4,231 | $14,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 645 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,400 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 250 | $13,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,725 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 329 | $13,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,575 | $13,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $13,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 295 | $13,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 9,717 | $13,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 946 | $13,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 7,637 | $13,000 | thousands by filing date | |
| BK TECHNOLOGIES INC | 09180A100 | COM | 3,104 | $13,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,700 | $13,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $13,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 1,238 | $13,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 5,000 | $13,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 8,000 | $13,000 | thousands by filing date | principal |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 403 | $12,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 250 | $12,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,429 | $12,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 386 | $12,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 6,500 | $12,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,243 | $12,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 1,286 | $12,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 10,000 | $12,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 8,962 | $12,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 13,000 | $12,000 | thousands by filing date | principal |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 9,684 | $12,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,233 | $12,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 17,448 | $12,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V107 | CL A | 1,199 | $12,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 1,219 | $12,000 | thousands by filing date | |
| HESS CORP | 42809H404 | DEP PDF SR A | 155 | $12,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870107 | COM CLASS A | 1,249 | $12,000 | thousands by filing date | |
| INDUSTREA ACQUISITION CORP | 45579J104 | CL A | 1,214 | $12,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 6,017 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 500 | $11,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,660 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $11,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 789 | $11,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 5,871 | $11,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 2,780 | $11,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 1,836 | $11,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,886 | $11,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| MODEL PERFORMANCE ACQUISIT-A | 57682V106 | Common | 1,085 | $11,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 762 | $11,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 20,000 | $11,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 10,000 | $11,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 11,000 | $11,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 700 | $10,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,178 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 445 | $10,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 301 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 275 | $10,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 9,500 | $10,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 2,976 | $10,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 794 | $10,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 3,869 | $10,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 6,165 | $10,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 3,223 | $10,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 289 | $10,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,504 | $10,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 366 | $10,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,137 | $10,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 33,550 | $10,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 675 | $10,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 862 | $10,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 4,500 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $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 | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 3,164 | $10,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 1,052 | $10,000 | thousands by filing date | |
| SSLJ COM LIMITED | G8406F102 | SHS CL A | 13,105 | $10,000 | thousands by filing date | |
| OASMIA PHARMACEUTICAL AB | 67421W109 | ADR | 2,420 | $10,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 1,000 | $10,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,752 | $9,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,083 | $9,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,341 | $9,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,000 | $9,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,532 | $9,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,600 | $9,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 7,000 | $9,000 | thousands by filing date | principal |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,101 | $9,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,500 | $9,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 6,422 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 505 | $9,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 6,000 | $9,000 | thousands by filing date | principal |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 3,036 | $9,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 1,264 | $9,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 1,795 | $9,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 7,312 | $9,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 6,369 | $9,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 180 | $9,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 993 | $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 | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 826 | $9,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,000 | $8,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,400 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,877 | $8,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 220 | $8,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,220 | $8,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $8,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 856 | $8,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,100 | $8,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 6,700 | $8,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 3,876 | $8,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 20,829 | $8,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 8,000 | $8,000 | thousands by filing date | principal |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 403 | $8,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 4,801 | $8,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 842 | $7,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 690 | $7,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $7,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 101 | $7,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,765 | $7,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 632 | $7,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $7,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,059 | $7,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,505 | $7,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,037 | $7,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 301 | $7,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 1,700 | $7,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,600 | $7,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,274 | $7,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 3,229 | $7,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,276 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,000 | $7,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 502 | $7,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 1,200 | $7,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 300 | $7,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 5,039 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 201 | $7,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 1,876 | $7,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C808 | COM PAR | 5,718 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $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 |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 7,000 | $7,000 | thousands by filing date | principal |
| OPES ACQUISITION CORP | 68373P100 | COM | 695 | $7,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 10,175 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $7,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 698 | $7,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 1,700 | $7,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 1,644 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 200 | $7,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 1,499 | $6,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $6,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,531 | $6,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 251 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 93 | $6,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $6,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 578 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 200 | $6,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $6,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 3,500 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $6,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 851 | $6,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 501 | $6,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,622 | $6,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $6,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 15,000 | $6,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 816 | $6,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 2,100 | $6,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,424 | $6,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 269 | $6,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,774 | $6,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 328 | $6,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,901 | $6,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 1,749 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 1,159 | $6,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTL IN | 458173309 | COM | 2,280 | $6,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 4,160 | $6,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 6,113 | $6,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 1,571 | $6,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 1,230 | $6,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 788 | $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 |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 175 | $6,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 5,222 | $6,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 150 | $6,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAB9 | NOTE 2.00012/0 | 5,000 | $6,000 | thousands by filing date | principal |
| EURODRY LTD | Y23508107 | COM | 530 | $5,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 3,605 | $5,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 402 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 725 | $5,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,435 | $5,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 2,100 | $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 | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 2,667 | $5,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| O'Shares Global Internet | 67110P704 | COM | 200 | $5,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 251 | $5,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 712 | $5,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 3,126 | $5,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,355 | $5,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 298 | $5,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 5,200 | $5,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 2,064 | $5,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 1,500 | $5,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 1,000 | $5,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 684 | $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 | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 2,000 | $5,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 3,316 | $5,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,634 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 200 | $5,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,635 | $5,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E208 | UNIT 01/30/2023 | 499 | $5,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 3,100 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 75 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 299 | $5,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 8,380 | $5,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 281 | $4,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 900 | $4,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 1,174 | $4,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 1,887 | $4,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,107 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 87 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 4,000 | $4,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 3,509 | $4,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 872 | $4,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 4,427 | $4,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,056 | $4,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 169 | $4,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,341 | $4,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| VANTAGE ENERGY ACQUISITION CORP. | 92211L105 | Common Stock | 411 | $4,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 2,663 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 150 | $4,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 9,867 | $4,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 336 | $4,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 4,000 | $4,000 | thousands by filing date | principal |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 3,000 | $4,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 2,000 | $4,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 3,250 | $4,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 2,100 | $4,000 | thousands by filing date | |
| DITECH HLDG CORP | 25501G105 | COM | 860 | $4,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 432 | $4,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 652 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000603 | this filing | 2018-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-18-000620 | superseded | 2018-11-20 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-19-000455 | base | 2019-04-23 | acceptance time not in the bulk data set |