13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 6,812 holding rows worth $334,173,053,000.
- Accession
- 0000895421-19-000365
- Filer
- CIK 895421
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 22,744 entries on the cover page, a total value of $334,173,053,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $334,173,053,000 with VALUE read as thousands by filing date, 13F file number 028-03432. The quarter's positions are built on this report. 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
- included managerMorgan Stanley Asia Ltd
- included managerMorgan Stanley Wealth Management Australia Pty Ltd
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 |
|---|---|---|---|---|---|---|
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,582 | $21,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,278 | $21,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 14,432 | $21,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 8,973 | $21,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 9,192 | $21,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 740 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 772 | $21,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 23,000 | $21,000 | thousands by filing date | principal |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,431 | $21,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 19,802 | $21,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 709 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 500 | $21,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 1,098 | $21,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q829 | MANAGED FUTURE | 882 | $21,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,600 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 659 | $20,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 11,322 | $20,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,374 | $20,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 988 | $20,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 37,123 | $20,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 1,008 | $20,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED NEW | Y27265407 | COM | 6,802 | $20,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 2,001 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 6,435 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 732 | $19,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 2,420 | $19,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 916 | $19,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 750 | $19,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 2,000 | $19,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 1,100 | $19,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 3,768 | $19,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $19,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4,426 | $19,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 20,000 | $19,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 19,000 | $19,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 685 | $19,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 34,954 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 691 | $18,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,333 | $18,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,011 | $18,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $18,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 18,000 | $18,000 | thousands by filing date | principal |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 6,047 | $17,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 576 | $17,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 10,824 | $17,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 800 | $17,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 250 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 600 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 752 | $17,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 7,174 | $17,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 850 | $17,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 86,539 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,044 | $17,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 7,480 | $17,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 26,285 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 679 | $16,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,550 | $16,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 934 | $16,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 210 | $16,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,398 | $16,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 4,136 | $16,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 4,078 | $16,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 157,090 | $16,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 7,606 | $16,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $16,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 3,700 | $16,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 14,000 | $16,000 | thousands by filing date | principal |
| ENTREE RES LTD COM | 29384j103 | CS | 40,700 | $16,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 3,381 | $16,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 5,825 | $16,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 805 | $16,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $16,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 1,255 | $16,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 3,400 | $16,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,000 | $15,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 32,358 | $15,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 1,017 | $15,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,037 | $15,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 22,212 | $15,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 34,370 | $15,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 555 | $15,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 17,785 | $15,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 719 | $15,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 501 | $15,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 81,127 | $15,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 24,369 | $15,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 38,687 | $15,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 10,000 | $15,000 | thousands by filing date | principal |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $14,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,800 | $14,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 12,800 | $14,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 13,531 | $14,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 8,031 | $14,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 7,914 | $14,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 42,400 | $14,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,045 | $14,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 22,500 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 420 | $14,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 75,272 | $14,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 12,253 | $14,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 15,000 | $14,000 | thousands by filing date | principal |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,400 | $14,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 1,800 | $14,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 2,544 | $14,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 1,096 | $13,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,122 | $13,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 460 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,400 | $13,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 699 | $13,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,421 | $13,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $13,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $13,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 400 | $13,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,803 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 184 | $13,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $13,000 | thousands by filing date | principal |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 295 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 796 | $13,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,501 | $13,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 323 | $13,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $13,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 6,000 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 300 | $13,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,478 | $13,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 1,238 | $13,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 751 | $13,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 7,607 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 500 | $12,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 8,000 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 329 | $12,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 14,752 | $12,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $12,000 | thousands by filing date | principal |
| BOWL AMER INC BWL | 102565108 | COMMON | 775 | $12,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 10,000 | $12,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,800 | $12,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 2,712 | $11,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 645 | $11,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 250 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 202 | $11,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 3,907 | $11,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 4,941 | $11,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 8,000 | $11,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 2,565 | $11,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 958 | $11,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 14,000 | $11,000 | thousands by filing date | principal |
| HAYMAKER ACQUISITION CORP | 420870107 | COM CLASS A | 1,124 | $11,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $11,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 7,898 | $11,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 5,000 | $11,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 1,168 | $11,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 1,142 | $11,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 1,172 | $11,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 1,167 | $11,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 4,693 | $10,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,894 | $10,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,400 | $10,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 785 | $10,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 239 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 457 | $10,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 530 | $10,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,725 | $10,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 418 | $10,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 4,144 | $10,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 2,209 | $10,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 337 | $10,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 22,033 | $10,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 850 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $10,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 700 | $10,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 12,000 | $10,000 | thousands by filing date | principal |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 7,000 | $10,000 | thousands by filing date | principal |
| BIOLASE INC | 090911207 | COM NEW | 9,988 | $10,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 950 | $10,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 11,900 | $10,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 1,017 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 506 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 500 | $10,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 1,774 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 500 | $9,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $9,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 6,208 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 700 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $9,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,635 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $9,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 301 | $9,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,013 | $9,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 402 | $9,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,008 | $9,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 3,752 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 355 | $9,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 1,764 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 2,691 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 193 | $9,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,215 | $9,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22542d316 | COM | 98 | $9,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 5,709 | $9,000 | thousands by filing date | |
| BK TECHNOLOGIES INC | 09180A100 | COM | 2,390 | $9,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 23,800 | $9,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 9,000 | $9,000 | thousands by filing date | principal |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 421 | $9,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 10,000 | $9,000 | thousands by filing date | principal |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 850 | $9,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 841 | $9,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 858 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 148 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 362 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 700 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 383 | $8,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,206 | $8,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,908 | $8,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,341 | $8,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 2,550 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $8,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,873 | $8,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 864 | $8,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 625 | $8,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,263 | $8,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 563 | $8,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,886 | $8,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,196 | $8,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 2,682 | $8,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,257 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $8,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 664 | $8,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 230 | $8,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 5,220 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 221 | $8,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 883 | $8,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 806 | $8,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 340 | $7,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,435 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 195 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 925 | $7,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,111 | $7,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 220 | $7,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,156 | $7,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 400 | $7,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 241 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 231 | $7,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 300 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 339 | $7,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 8,785 | $7,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 4,986 | $7,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 4,250 | $7,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 11,737 | $7,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 3,802 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 337 | $7,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,091 | $7,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 8,493 | $7,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 771 | $7,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 6,920 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $7,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 5,222 | $7,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L106 | COM CL A | 700 | $7,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 700 | $6,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $6,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,752 | $6,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 2,231 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,510 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 209 | $6,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,229 | $6,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $6,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 781 | $6,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 2,667 | $6,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 501 | $6,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 612 | $6,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 5,481 | $6,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 568 | $6,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,600 | $6,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 6,165 | $6,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 3,551 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 796 | $6,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 2,622 | $6,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 3,133 | $6,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 6,699 | $6,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 2,601 | $6,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,901 | $6,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 3,950 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 205 | $6,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 4,737 | $6,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 617 | $6,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 14,932 | $6,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 10,625 | $6,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 10,000 | $6,000 | thousands by filing date | principal |
| OPES ACQUISITION CORP | 68373P100 | COM | 633 | $6,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 6,715 | $6,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 97 | $5,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 390 | $5,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 345 | $5,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,000 | $5,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 2,043 | $5,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 202 | $5,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,005 | $5,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 500 | $5,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,620 | $5,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,660 | $5,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $5,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 3,849 | $5,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 712 | $5,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $5,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,223 | $5,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,250 | $5,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 280 | $5,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 298 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 140 | $5,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 11,588 | $5,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 4,000 | $5,000 | thousands by filing date | principal |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 511 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 71 | $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 | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 3,137 | $5,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 8,091 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 200 | $5,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E208 | UNIT 01/30/2023 | 499 | $5,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 507 | $5,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 2,000 | $5,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 4,560 | $5,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 542 | $5,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 1,767 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 150 | $5,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T107 | COM | 9,700 | $5,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAB9 | NOTE 2.00012/0 | 5,000 | $5,000 | thousands by filing date | principal |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 975 | $4,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 402 | $4,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 540 | $4,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 740 | $4,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 577 | $4,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $4,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $4,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 662 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $4,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 4,612 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 319 | $4,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 200 | $4,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 216 | $4,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 2,841 | $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 |
| SYNACOR INC | 871561106 | COM | 2,937 | $4,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 328 | $4,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,100 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $4,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 301 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,000 | $4,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 2,174 | $4,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $4,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 300 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 172 | $4,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 10,782 | $4,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 3,350 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $4,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 1,305 | $4,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 10,207 | $4,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 5,864 | $4,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 4,507 | $4,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 400 | $4,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 201 | $4,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $4,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 10,855 | $4,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 109 | $3,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 976 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 130 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 100 | $3,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 1,032 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,738 | $3,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 100 | $3,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 480 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 104 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,800 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $3,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 15,000 | $3,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,107 | $3,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 850 | $3,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 11,720 | $3,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 250 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 150 | $3,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 521 | $3,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 228 | $3,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,341 | $3,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 1,300 | $3,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 13,792 | $3,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 545 | $3,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 13,866 | $3,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 2,839 | $3,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 4,007 | $3,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 4,000 | $3,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,000 | $3,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 358 | $3,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 4,160 | $3,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,000 | $3,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 1,100 | $3,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 165 | $3,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 1,050 | $3,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 3,028 | $3,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 302 | $3,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 3,000 | $3,000 | thousands by filing date | principal |
| ISHARES TR | 46435G102 | CONV BD ETF | 45 | $2,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 510 | $2,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,010 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 41 | $2,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 76 | $2,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 309 | $2,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 247 | $2,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 404 | $2,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 100 | $2,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 65 | $2,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 452 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 1,500 | $2,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 499 | $2,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 1,262 | $2,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 98 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 280 | $2,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 800 | $2,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 371 | $2,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,077 | $2,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 1,535 | $2,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,714 | $2,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 867 | $2,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 416 | $2,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 3,025 | $2,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 2,021 | $2,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 366 | $2,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 3,000 | $2,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 366 | $2,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 169 | $2,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 3,000 | $2,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 5,100 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 100 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 134 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 124 | $2,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 2,007 | $2,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 2,604 | $2,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 668 | $2,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 100 | $2,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 1,650 | $2,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 11,650 | $2,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 900 | $2,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 554 | $2,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 871 | $2,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 2,166 | $2,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 5,718 | $2,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 6,754 | $2,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 1,005 | $2,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,964 | $2,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 1,300 | $2,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 3,882 | $2,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 2,316 | $2,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,634 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,476 | $2,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 470 | $2,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 200 | $2,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 2,000 | $2,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489303 | CL A NEW | 215 | $2,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 152 | $2,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 2,700 | $2,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 2,533 | $2,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 1,741 | $2,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 44 | $2,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 8,580 | $2,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V115 | *W EXP 07/24/202 | 2,213 | $2,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260508 | COM NEW | 1,010 | $2,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 2,000 | $2,000 | thousands by filing date | principal |
| INPIXON | 45790J503 | COM PAR | 700 | $2,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 200 | $2,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 1,000 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 5,000 | $2,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 110 | $1,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 287 | $1,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 1,500 | $1,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 110 | $1,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 574 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 50 | $1,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 267 | $1,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 114 | $1,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 558 | $1,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 682 | $1,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 230 | $1,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 200 | $1,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 715 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,413 | $1,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 130 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 60 | $1,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 70 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 50 | $1,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 820 | $1,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 100 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 500 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 259 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,147 | $1,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 100 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-19-000365 | this filing | 2019-02-14 | acceptance time not in the bulk data set |