13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2018-09-30, filed 2018-11-20, with 6,882 holding rows worth $399,533,248,000.
- Accession
- 0000895421-18-000620
- Filer
- CIK 895421
- Filed
- 2018-11-20
- 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, amendment of type restatement, 27,234 entries on the cover page, a total value of $399,533,248,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $399,533,248,000 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 |
|---|---|---|---|---|---|---|
| PCM FD INC | 69323T101 | COM | 15,983 | $180,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 67,731 | $179,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 4,641 | $178,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 8,292 | $178,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 22,090 | $178,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 8,010 | $177,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 9,450 | $177,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 10,891 | $177,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 42,907 | $176,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 28,783 | $176,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 15,722 | $176,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 9,002 | $175,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 52,925 | $175,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 15,616 | $174,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 12,790 | $173,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 2,560 | $173,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V126 | WILDERHL PRGRS | 6,661 | $173,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 7,981 | $172,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 54,069 | $171,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 9,124 | $169,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 160,000 | $168,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 6,282 | $168,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 7,885 | $168,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 13,022 | $166,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 5,169 | $166,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 175,000 | $166,000 | thousands by filing date | principal |
| COHBAR INC COM NEW | 19249J109 | Stock | 38,228 | $165,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 1,600 | $165,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 9,334 | $164,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 7,227 | $164,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 23,063 | $164,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 2,150 | $164,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 19,040 | $163,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 7,096 | $163,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 42,521 | $163,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 15,088 | $163,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E685 | GLOBAL AGRCLTR | 5,868 | $163,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 1,717 | $162,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 9,601 | $162,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 12,596 | $162,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 900 | $160,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 20,361 | $159,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 79,169 | $158,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 7,817 | $158,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 5,672 | $156,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 15,557 | $156,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 13,875 | $156,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 2,369 | $155,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 12,020 | $155,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 95,560 | $155,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 9,400 | $155,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 82,914 | $155,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 18,165 | $154,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 15,059 | $154,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 10,023 | $154,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 157,561 | $153,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 9,021 | $153,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 15,582 | $152,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 13,887 | $152,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 2,612 | $151,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 299,120 | $151,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 47,336 | $151,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 115,076 | $150,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 3,132 | $150,000 | thousands by filing date | |
| SHARING ECONOMY INTL INC | 819534108 | COM | 53,491 | $150,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 97,000 | $150,000 | thousands by filing date | principal |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 37,059 | $149,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 13,059 | $149,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 10,817 | $149,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 23,400 | $149,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 9,467 | $148,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 14,024 | $147,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 24,750 | $146,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 94,784 | $146,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 5,636 | $146,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 8,281 | $145,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 5,545 | $144,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 2,098 | $144,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 10,783 | $144,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 14,416 | $143,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 29,434 | $143,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 4,673 | $143,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 5,706 | $142,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 5,785 | $141,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 59,300 | $141,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 11,411 | $140,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 89,118 | $140,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 89,197 | $140,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 4,636 | $139,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 15,692 | $138,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 4,729 | $138,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 23,607 | $138,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 9,708 | $138,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 4,770 | $137,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 129,000 | $137,000 | thousands by filing date | principal |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 9,194 | $136,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 1,588 | $136,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 7,837 | $135,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 9,637 | $135,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 2,265 | $135,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 5,744 | $134,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 13,650 | $134,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 3,690 | $134,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 17,466 | $134,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 13,303 | $134,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 6,500 | $134,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 4,168 | $133,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 9,545 | $133,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 5,996 | $133,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 6,916 | $132,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 24,440 | $132,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 23,279 | $131,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 8,369 | $130,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 2,666 | $128,000 | thousands by filing date | |
| PROSHARES TR | 74347B185 | FUND | 5,733 | $128,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 10,587 | $127,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 37,486 | $127,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 12,485 | $127,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 4,208 | $126,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 16,944 | $126,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 55,426 | $126,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 9,585 | $126,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 9,632 | $125,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 184,100 | $125,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 3,863 | $124,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 4,211 | $123,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 14,403 | $123,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 16,648 | $123,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 3,271 | $122,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 8,555 | $121,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 14,904 | $121,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 51,752 | $121,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 4,715 | $120,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 3,095 | $120,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G854 | ZACKS INTL MLT | 7,314 | $120,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 3,840 | $119,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 12,570 | $118,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 2,887 | $118,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 16,508 | $117,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 7,480 | $117,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 5,013 | $116,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 3,584 | $116,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 8,723 | $115,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 5,521 | $115,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 35,999 | $115,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 2,078 | $115,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 11,524 | $115,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 2,214 | $115,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 6,330 | $114,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 6,213 | $113,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 9,507 | $113,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 8,270 | $112,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 2,681 | $112,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 19,514 | $111,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 6,838 | $110,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,778 | $110,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 73,756 | $110,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 136,000 | $109,000 | thousands by filing date | principal |
| AURYN RES INC | 05208W108 | COM | 102,000 | $109,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 25,239 | $109,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 4,263 | $108,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 5,786 | $108,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 4,580 | $108,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 17,521 | $107,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 3,700 | $107,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 3,287 | $107,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 3,480 | $106,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 3,980 | $106,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 2,138 | $105,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 3,226 | $104,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 6,788 | $104,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 29,757 | $104,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 2,935 | $104,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 30,115 | $103,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 10,148 | $103,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 42,400 | $103,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 104,000 | $103,000 | thousands by filing date | principal |
| VISTRA ENERGY CORP | 92840M300 | UNIT 02/02/2024 | 1,056 | $103,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 11,412 | $102,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 6,648 | $102,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 8,121 | $102,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 22,285 | $101,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,188 | $101,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 53,427 | $101,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 220,300 | $101,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 24,980 | $101,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 9,424 | $101,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 41,750 | $101,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 6,557 | $100,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 35,181 | $100,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 6,477 | $99,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 570 | $99,000 | thousands by filing date | |
| 3PEA INTL INC | 88579C109 | COM | 26,857 | $99,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 11,732 | $98,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 901 | $98,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 4,839 | $98,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 3,207 | $98,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 921 | $98,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 116,000 | $98,000 | thousands by filing date | principal |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 7,000 | $98,000 | thousands by filing date | principal |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 34,142 | $97,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 17,700 | $96,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 3,819 | $95,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,280 | $95,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 543,750 | $95,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 12,509 | $95,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 5,366 | $94,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 15,721 | $94,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 2,732 | $94,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 8,351 | $93,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 4,202 | $93,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 16,510 | $93,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 7,981 | $93,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 15,211 | $93,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 25,700 | $92,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 36,520 | $92,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 2,868 | $92,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 62,000 | $92,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 17,120 | $92,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 1,918 | $92,000 | thousands by filing date | |
| AURIS MED HLDG AG | H0381L104 | COM | 252,764 | $92,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 3,974 | $91,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 15,822 | $90,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 3,727 | $90,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 26,967 | $90,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 5,300 | $90,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 177,314 | $90,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 2,246 | $88,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 5,562 | $87,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 42,276 | $87,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 53,000 | $87,000 | thousands by filing date | principal |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 179,600 | $86,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 15,992 | $86,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 89,000 | $86,000 | thousands by filing date | principal |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 1,202 | $85,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 10,339 | $85,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 12,373 | $85,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 6,187 | $84,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 4,387 | $84,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 85,000 | $84,000 | thousands by filing date | principal |
| SORL Auto Parts Inc | 78461U101 | COM | 19,869 | $83,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,812 | $82,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 7,185 | $82,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 36,000 | $82,000 | thousands by filing date | principal |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,239 | $82,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 1,780 | $82,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 2,863 | $81,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 7,558 | $81,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,074 | $81,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 74,000 | $81,000 | thousands by filing date | principal |
| RUBICON PROJ INC | 78112V102 | COM | 22,501 | $81,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 4,312 | $81,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E750 | FTSE RAFI ASIA | 1,487 | $81,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 8,854 | $80,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 8,078 | $80,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 78,400 | $80,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 4,423 | $80,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 29,852 | $80,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 8,617 | $80,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 5,100 | $79,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 4,776 | $79,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 2,564 | $78,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 981 | $77,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 6,671 | $77,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 1,008 | $77,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 3,554 | $76,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 4,447 | $76,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 42,685 | $76,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 16,962 | $76,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 4,000 | $76,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 16,145 | $75,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 4,633 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 1,839 | $75,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 3,676 | $75,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E677 | GLOBAL GLD PREC | 4,862 | $75,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 84,000 | $75,000 | thousands by filing date | principal |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 7,259 | $75,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 2,642 | $74,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 18,897 | $74,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 75,000 | $74,000 | thousands by filing date | principal |
| CONTINENTAL MATLS CORP | 211615307 | COM | 4,500 | $73,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 29,222 | $73,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 688 | $73,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,971 | $72,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 3,850 | $71,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 4,076 | $71,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,365 | $71,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,850 | $71,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 2,004 | $71,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 15,005 | $71,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 8,279 | $70,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 9,750 | $70,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 98,706 | $70,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 2,748 | $70,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 18,569 | $70,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 79,000 | $70,000 | thousands by filing date | principal |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 6,273 | $69,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 11,850 | $69,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 46,000 | $69,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 20,337 | $68,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 4,212 | $67,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 2,237 | $67,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 28,172 | $67,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 22,360 | $67,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 10,030 | $67,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 8,758 | $66,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 8,414 | $66,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 142,652 | $66,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y104 | WILSHR MICR CP | 1,744 | $65,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 7,420 | $64,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 11,698 | $64,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 65,000 | $64,000 | thousands by filing date | principal |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 23,607 | $64,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 5,003 | $63,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 4,446 | $63,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 23,950 | $63,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 11,014 | $63,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 22,745 | $62,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 5,414 | $61,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,654 | $61,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 2,168 | $61,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 8,269 | $61,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 48,000 | $61,000 | thousands by filing date | principal |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 10,846 | $61,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 56,000 | $61,000 | thousands by filing date | principal |
| INTEST CORP | 461147100 | COMMON STOCK | 7,807 | $60,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 13,537 | $60,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 14,992 | $60,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 28,591 | $60,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 22,369 | $60,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 6,852 | $60,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 1,625 | $60,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 41,000 | $60,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 6,362 | $60,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 2,774 | $60,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 8,766 | $59,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 5,155 | $59,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 1,685 | $58,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 16,521 | $58,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 58,000 | $58,000 | thousands by filing date | principal |
| CROWN CRAFTS INC | 228309100 | COM | 10,008 | $57,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $57,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 3,177 | $57,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J817 | BULSHS 2025 HY | 2,338 | $57,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 39,522 | $57,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 22,000 | $56,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P555 | FUND | 1,312 | $56,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 5,968 | $56,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,298 | $56,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 3,691 | $56,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 4,333 | $55,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 4,000 | $55,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 1,156 | $55,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 18,456 | $55,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 1,405 | $55,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 2,294 | $55,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 52,000 | $55,000 | thousands by filing date | principal |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 20,216 | $55,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 3,954 | $54,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,251 | $54,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 22,326 | $54,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 7,777 | $54,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 2,379 | $54,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,840 | $54,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 3,017 | $53,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 10,148 | $53,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 83,900 | $53,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 5,630 | $53,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 1,142 | $52,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 23,532 | $52,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 4,423 | $52,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 40,000 | $52,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 1,576 | $52,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 584 | $50,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 2,316 | $50,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 16,559 | $50,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 17,102 | $50,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 12,709 | $50,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 1,911 | $50,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,957 | $49,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,900 | $49,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 3,563 | $49,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 56,000 | $49,000 | thousands by filing date | principal |
| UNITED GUARDIAN INC | 910571108 | COM | 2,979 | $48,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 48,000 | $48,000 | thousands by filing date | principal |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,294 | $48,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 2,025 | $48,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 900 | $48,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,698 | $48,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 12,779 | $48,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 1,722 | $47,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 6,565 | $47,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 10,500 | $47,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 22,965 | $47,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,986 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 400 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 1,611 | $46,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 4,416 | $46,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 15,632 | $46,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G603 | HRZNS S&P500 COV | 884 | $46,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 39,943 | $46,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 46,000 | $46,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 29,000 | $46,000 | thousands by filing date | principal |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 2,591 | $45,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 65,000 | $45,000 | thousands by filing date | principal |
| VITAL THERAPIES INC | 92847R104 | COM | 162,710 | $45,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 3,223 | $45,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 4,426 | $45,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 9,500 | $44,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,659 | $44,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 15,000 | $44,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 3,254 | $43,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 3,225 | $43,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 2,680 | $43,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 23,911 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 730 | $43,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 31,009 | $43,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 451 | $42,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 83,940 | $42,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,275 | $42,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 10,824 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 866 | $42,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 2,316 | $42,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 5,226 | $42,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 23,598 | $42,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 2,601 | $41,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 10,053 | $41,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 5,222 | $41,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 4,150 | $41,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 1,542 | $41,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 2,293 | $41,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 1,544 | $40,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 798 | $40,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,980 | $40,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 4,934 | $40,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,244 | $40,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 37,793 | $40,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 35,000 | $40,000 | thousands by filing date | principal |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,688 | $40,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 4,601 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 3,250 | $40,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 16,033 | $40,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 3,518 | $40,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 6,227 | $39,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,418 | $39,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 15,925 | $39,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,174 | $39,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 32,000 | $39,000 | thousands by filing date | principal |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 4,064 | $39,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 31,000 | $39,000 | thousands by filing date | principal |
| ALTIMMUNE INC | 02155H200 | COM NEW | 8,575 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 2,209 | $38,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 5,826 | $38,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,586 | $38,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,195 | $38,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 5,300 | $38,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 38,000 | $38,000 | thousands by filing date | principal |
| JETPAY CORP | 477177109 | COM | 20,024 | $38,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 8,765 | $37,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 13,642 | $37,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 1,518 | $37,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 970 | $37,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,124 | $37,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 3,138 | $37,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,030 | $37,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 9,795 | $37,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 29,046 | $37,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,517 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 500 | $37,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E792 | EMRNG MKT INFR | 1,022 | $37,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,848 | $36,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 4,585 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 500 | $36,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,499 | $36,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,811 | $36,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,831 | $36,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 1,470 | $36,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 427 | $36,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 157,090 | $36,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 1,145 | $36,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 805 | $36,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 36,000 | $36,000 | thousands by filing date | principal |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 1,250 | $35,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 3,630 | $35,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 36,089 | $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 |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,820 | $34,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 647 | $34,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 9,259 | $34,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 5,744 | $34,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,343 | $34,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 1,901 | $34,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,163 | $34,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 12,336 | $34,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 4,073 | $34,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 6,350 | $34,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 7,890 | $34,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 3,148 | $33,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,800 | $33,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 5,258 | $33,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000603 | superseded | 2018-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-18-000620 | this filing | 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 |