13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2017-12-31, filed 2019-04-23, with 6,757 holding rows worth $365,347,404,000.
- Accession
- 0000895421-19-000446
- Filer
- CIK 895421
- Filed
- 2019-04-23
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, amendment of type restatement, 25,517 entries on the cover page, a total value of $365,347,404,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $365,347,404,000 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 Ltd028-19343
- included managerMorgan Stanley Wealth Management Australia Pty Ltd028-19344
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 |
|---|---|---|---|---|---|---|
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 173,800 | $478,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 36,170 | $476,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 148,853 | $476,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 11,310 | $474,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 29,518 | $473,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 26,790 | $471,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 79,417 | $468,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 39,862 | $468,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 34,708 | $468,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 91,538 | $468,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 10,025 | $467,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 22,112 | $466,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 19,107 | $466,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 45,386 | $466,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 52,959 | $464,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 8,008 | $464,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 33,301 | $464,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 32,205 | $464,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 15,496 | $464,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 161,850 | $460,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 33,351 | $459,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 39,583 | $458,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 5,580 | $458,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 38,183 | $456,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 38,049 | $456,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 48,645 | $456,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 31,343 | $455,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 21,949 | $455,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 39,483 | $454,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 19,594 | $454,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 2,645 | $453,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 124,538 | $452,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 5,471 | $451,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 56,788 | $451,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 95,683 | $451,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 113,068 | $451,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 40,577 | $451,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 25,054 | $450,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 404,728 | $449,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 15,067 | $445,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 87,304 | $445,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 19,092 | $443,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 22,307 | $441,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 44,079 | $440,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 50,784 | $440,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 183,520 | $440,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 361,607 | $438,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 77,868 | $437,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 10,937 | $436,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 17,193 | $436,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 26,690 | $435,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 57,222 | $435,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 65,844 | $434,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 56,325 | $433,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 19,723 | $433,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 48,681 | $431,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 9,874 | $431,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 12,528 | $429,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 33,781 | $429,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 28,758 | $428,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 11,016 | $427,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 410,000 | $427,000 | thousands by filing date | principal |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 29,286 | $425,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 47,667 | $424,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 9,572 | $424,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 175,254 | $423,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 16,074 | $421,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 26,334 | $421,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 17,436 | $420,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 36,399 | $419,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 20,541 | $417,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 11,444 | $417,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 56,788 | $417,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 17,539 | $416,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 45,847 | $414,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 394,147 | $414,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 16,601 | $413,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 13,863 | $411,000 | thousands by filing date | |
| CLEMENTIA PHARMACEUTICALS IN | 185575107 | COM | 21,645 | $411,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 18,908 | $410,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 30,930 | $410,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 138,835 | $410,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 60,663 | $409,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 95,540 | $408,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 41,479 | $406,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 27,067 | $406,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 60,639 | $405,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 13,778 | $403,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 16,146 | $403,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 18,192 | $402,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 12,998 | $402,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 8,650 | $400,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 12,700 | $399,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 19,894 | $399,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 219,098 | $396,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 17,893 | $395,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 42,863 | $394,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 21,669 | $394,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 11,092 | $393,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 5,398 | $393,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 15,034 | $393,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 35,406 | $393,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B301 | I EM QUALITY ETF | 24,567 | $391,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 10,424 | $390,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 20,179 | $389,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 81,103 | $388,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 188,800 | $388,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 138,926 | $388,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 70,759 | $388,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 16,877 | $386,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 18,627 | $385,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 18,574 | $385,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 22,144 | $385,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 7,445 | $385,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 17,755 | $384,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 35,403 | $384,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 549,000 | $382,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 13,926 | $382,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 105,560 | $382,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 8,161 | $381,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 4,249 | $381,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 69,832 | $381,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 6,664 | $380,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 4,887 | $380,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 39,996 | $380,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 51,635 | $379,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 410,706 | $379,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 96,697 | $378,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 77,100 | $378,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 23,942 | $377,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 24,021 | $377,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 46,249 | $377,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 14,724 | $377,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 10,800 | $376,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 13,949 | $376,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 38,118 | $370,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 112,328 | $370,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 16,855 | $370,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 14,781 | $369,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 16,288 | $369,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 15,906 | $368,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 5,600 | $368,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 13,254 | $368,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 24,942 | $367,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 13,527 | $367,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 35,416 | $366,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 261 | $366,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 41,575 | $365,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 11,264 | $365,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 52,060 | $364,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 32,057 | $363,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 23,936 | $362,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 14,809 | $362,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 16,471 | $360,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 88,849 | $360,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 37,317 | $359,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 78,126 | $359,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 17,700 | $358,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 13,980 | $358,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 61,255 | $356,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 6,535 | $356,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 264,614 | $355,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 20,472 | $355,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 343,000 | $355,000 | thousands by filing date | principal |
| GSV CAPITAL CORP | 36191J101 | COM | 64,696 | $353,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 148,467 | $353,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 17,163 | $352,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 34,350 | $352,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 293,250 | $352,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K760 | TECH BEAR 3X SHS | 50,967 | $352,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 43,256 | $351,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 207,707 | $351,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 57,816 | $350,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 11,925 | $350,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 8,269 | $349,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 37,762 | $349,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 117,700 | $346,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 18,658 | $344,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 4,700 | $344,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 11,540 | $343,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 21,200 | $342,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 28,237 | $340,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 37,065 | $340,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 24,411 | $340,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 5,100 | $337,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 479,049 | $336,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 24,807 | $334,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 33,340 | $333,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 33,528 | $333,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 8,323 | $333,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 5,544 | $332,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 9,393 | $332,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 17,153 | $332,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 34,926 | $332,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 13,369 | $331,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 25,915 | $331,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 18,015 | $331,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 89,075 | $330,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 59,833 | $329,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 59,328 | $329,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 33,380 | $329,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 16,670 | $329,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 26,500 | $329,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 24,475 | $328,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 27,073 | $327,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 169,187 | $327,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 101,214 | $326,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 14,398 | $326,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 384,390 | $326,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 116,053 | $325,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 16,801 | $325,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 54,343 | $324,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 8,020 | $324,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 22,274 | $324,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 35,994 | $324,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 327,000 | $324,000 | thousands by filing date | principal |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 21,973 | $324,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 7,808 | $323,000 | thousands by filing date | |
| EATON VANCE MA MUNI INCOME T | 27826E104 | SH BEN INT | 24,599 | $323,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 48,628 | $323,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 21,618 | $320,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 22,316 | $320,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 16,089 | $319,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 319,000 | $319,000 | thousands by filing date | principal |
| GEOPARK LTD USD SHS | G38327105 | Stock | 32,041 | $318,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 13,867 | $318,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 195,204 | $318,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 15,849 | $318,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 29,607 | $318,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 46,764 | $317,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 14,700 | $316,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 317,000 | $315,000 | thousands by filing date | principal |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 18,219 | $314,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 25,328 | $314,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 27,004 | $313,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 21,068 | $313,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 17,036 | $311,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 195,858 | $311,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 24,695 | $311,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 30,741 | $310,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 9,067 | $309,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 37,515 | $308,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 171,808 | $308,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 27,981 | $308,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 32,115 | $307,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 14,097 | $306,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 32,813 | $306,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 69,528 | $303,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 16,703 | $303,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 7,913 | $303,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 30,736 | $302,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 15,238 | $301,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 35,367 | $301,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 9,788 | $301,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 91,770 | $300,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 53,892 | $299,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 24,589 | $298,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 16,932 | $298,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 7,354 | $297,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 274,333 | $297,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 60,787 | $295,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 15,994 | $295,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 21,975 | $291,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 15,246 | $291,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 15,857 | $290,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 25,439 | $289,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 7,068 | $289,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 8,554 | $289,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 107,737 | $289,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 84,296 | $288,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 15,670 | $288,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 18,533 | $287,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 5,950 | $287,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 38,094 | $287,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 37,549 | $286,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 12,917 | $285,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 68,210 | $284,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 17,615 | $283,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 14,398 | $283,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 32,045 | $282,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 5,528 | $282,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 27,031 | $282,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 1,213,837 | $281,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 32,108 | $281,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y454 | DLY ENERBR3X NEW | 31,118 | $280,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 175,684 | $279,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 14,594 | $278,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 34,903 | $278,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 28,103 | $277,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 9,313 | $277,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 22,377 | $276,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 6,721 | $275,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 4,346 | $273,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 27,464 | $273,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 17,560 | $273,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 44,273 | $272,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS LTD | M1492T105 | SHS | 34,126 | $271,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 15,682 | $270,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 21,771 | $270,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 9,415 | $270,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 9,056 | $270,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 31,900 | $270,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 14,614 | $269,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 10,710 | $269,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 266,427 | $267,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 9,882 | $267,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 27,144 | $265,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 6,135 | $265,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 26,657 | $264,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 12,476 | $264,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 17,700 | $264,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 1,668 | $263,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 4,411 | $262,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 35,280 | $261,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 1,989 | $261,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 52,408 | $260,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 113,403 | $259,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 18,884 | $258,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 22,300 | $257,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 30,633 | $257,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 19,474 | $257,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 53,933 | $256,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 65,670 | $256,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 52,958 | $256,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 6,061 | $255,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 10,528 | $255,000 | thousands by filing date | |
| LONGFIN CORP CLASS A | 54304F106 | COMMON STOCK | 4,511 | $254,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 132,000 | $254,000 | thousands by filing date | principal |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 18,038 | $250,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 21,760 | $250,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 5,756 | $250,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 145,035 | $249,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 9,043 | $248,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 132,000 | $248,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 91,004 | $248,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 9,150 | $247,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 15,506 | $245,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 28,595 | $245,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 8,528 | $244,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 9,522 | $244,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 2,337 | $244,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 24,567 | $243,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 36,175 | $242,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 102,507 | $242,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 4,179 | $241,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 4,859 | $241,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 20,389 | $240,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 9,037 | $239,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 19,242 | $239,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 14,429 | $237,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 69,055 | $237,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 10,301 | $235,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 75,681 | $234,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 4,527 | $233,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 84,740 | $232,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 25,632 | $231,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 17,564 | $229,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 7,152 | $228,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 5,129 | $228,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 187,449 | $228,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 51,791 | $227,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 25,354 | $226,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 5,198 | $226,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 7,067 | $224,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 11,770 | $223,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 27,812 | $222,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 16,680 | $222,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 10,521 | $222,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 8,868 | $222,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 219,687 | $222,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 22,162 | $221,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 121,000 | $221,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 9,228 | $221,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 14,865 | $220,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 136,181 | $220,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 8,093 | $219,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 34,012 | $219,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 200,000 | $219,000 | thousands by filing date | principal |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 6,687 | $218,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 21,602 | $218,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 17,407 | $216,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 14,596 | $215,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 64,782 | $214,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 147,812 | $214,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 14,826 | $214,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 5,684 | $214,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 216,000 | $214,000 | thousands by filing date | principal |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 5,764 | $210,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 48,884 | $210,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 4,155 | $209,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 58,122 | $209,000 | thousands by filing date | |
| ROSETTA GENOMICS | M82183209 | Equities | 376,230 | $209,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 18,432 | $208,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 24,300 | $207,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 46,690 | $206,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 51,258 | $206,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 17,393 | $205,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 35,154 | $205,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 208,000 | $204,000 | thousands by filing date | principal |
| KOREA FD INC | 500634209 | COM NEW | 4,914 | $202,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 3,381 | $202,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 6,786 | $201,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 21,437 | $201,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 6,837 | $200,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 13,566 | $200,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 84,791 | $200,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 11,737 | $199,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 25,322 | $199,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 153,188 | $199,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 15,972 | $198,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 14,672 | $196,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 7,539 | $196,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 77,756 | $196,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,804 | $196,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 16,500 | $196,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 32,474 | $195,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 49,670 | $194,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 161,577 | $194,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 21,848 | $194,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 35,865 | $194,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 6,523 | $193,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 3,800 | $192,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 30,821 | $192,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 9,425 | $192,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 5,553 | $191,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 49,255 | $191,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 32,101 | $190,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 10,100 | $190,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 1,636 | $190,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 827 | $189,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 6,367 | $188,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 23,851 | $188,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 5,854 | $188,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 42,665 | $188,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 18,073 | $187,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 9,290 | $187,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 59,344 | $187,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 22,049 | $186,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 63,400 | $186,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 28,305 | $186,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 14,503 | $184,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E836 | DLY SEMICNDTR 3X | 11,154 | $184,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 10,540 | $183,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 128,873 | $183,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 5,693 | $183,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 7,081 | $182,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 29,395 | $182,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 6,695 | $181,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 179,000 | $181,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 260,000 | $180,000 | thousands by filing date | principal |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 17,508 | $180,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 2,608 | $180,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 3,448 | $180,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 111,837 | $179,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 11,995 | $177,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 10,155 | $177,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 126,396 | $177,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 12,619 | $176,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 2,825 | $176,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 3,619 | $175,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 6,346 | $174,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 178,000 | $174,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 125,000 | $173,000 | thousands by filing date | principal |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 76,950 | $173,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 5,194 | $171,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 16,660 | $171,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 83,902 | $171,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 59,525 | $170,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 179,128 | $170,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 4,123 | $170,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 42,014 | $170,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 13,497 | $169,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 2,374 | $168,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 740 | $168,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 5,049 | $167,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 28,905 | $166,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 3,532 | $165,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 33,200 | $165,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 36,650 | $164,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 87,460 | $163,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 11,102 | $162,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 47,304 | $162,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 13,261 | $162,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 4,443 | $161,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 64,482 | $161,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 21,270 | $160,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 25,046 | $160,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 76,298 | $160,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 9,100 | $160,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,832 | $159,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 10,837 | $159,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 30,314 | $159,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 524,250 | $159,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 7,126 | $159,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 8,579 | $158,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 14,981 | $158,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 16,219 | $157,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 21,388 | $156,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 39,465 | $155,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 1,788 | $155,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000333 | superseded | 2018-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-19-000446 | this filing | 2019-04-23 | acceptance time not in the bulk data set |