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 |
|---|---|---|---|---|---|---|
| CELADON GROUP INC | 150838100 | COM | 4,289 | $27,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,158 | $27,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 7,412 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $27,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 29,919 | $27,000 | thousands by filing date | principal |
| CERECOR INC | 15671L109 | COM | 8,288 | $27,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 509 | $27,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 18,000 | $27,000 | thousands by filing date | principal |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 604 | $26,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 1,042 | $26,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 6,695 | $26,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 12,684 | $26,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 46,000 | $26,000 | thousands by filing date | principal |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,347 | $26,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 586 | $26,000 | thousands by filing date | |
| ABLYNX NV | 00372Y105 | SPONSORED ADR | 1,051 | $26,000 | thousands by filing date | |
| POWERSHARES S&P 500 EX-RATE SENSITIVE LOW VOLATILITY PORTFOLIO | 73937B563 | ETF | 766 | $26,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 71,818 | $26,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 10,761 | $25,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 10,952 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,529 | $25,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,101 | $25,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 25,000 | $25,000 | thousands by filing date | principal |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 6,117 | $25,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,134 | $25,000 | thousands by filing date | |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 25,000 | $25,000 | thousands by filing date | principal |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 10,388 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 801 | $24,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 6,406 | $24,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 6,736 | $24,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,855 | $24,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 1,814 | $24,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920101 | CL A ORD | 2,500 | $24,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 11,855 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 650 | $24,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 995 | $24,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 713 | $23,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 6,349 | $23,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 6,165 | $23,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 15,450 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 2,728 | $23,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,236 | $23,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $23,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,200 | $23,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 25,000 | $23,000 | thousands by filing date | principal |
| GREAT ELM CAP CORP | 390320109 | COM | 2,300 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 1,172 | $23,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,472 | $23,000 | thousands by filing date | |
| ENVIROTECH VHS INC | 00726a100 | COM | 5,232 | $23,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 2,201 | $23,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 18,000 | $23,000 | thousands by filing date | principal |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 4,759 | $23,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,215 | $22,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 978 | $22,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 28,012 | $22,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 864 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 1,379 | $22,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867206 | 6.50 PFD SER B | 300 | $22,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 999 | $21,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 5,900 | $21,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 7,950 | $21,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,515 | $21,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 13,590 | $21,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 17,848 | $21,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 3,355 | $21,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 527 | $21,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 497 | $21,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 6,785 | $21,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $21,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,200 | $21,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $21,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 5,999 | $21,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 16,011 | $21,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 1,000 | $20,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 7,571 | $20,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 15,000 | $20,000 | thousands by filing date | principal |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 19,093 | $20,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 1,300 | $20,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 838 | $20,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 4,000 | $20,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 5,516 | $20,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 115 | $20,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,150 | $20,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,120 | $20,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 6,800 | $20,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 16,000 | $20,000 | thousands by filing date | principal |
| SOUNDTHINKING INC | 82536T107 | COM | 1,370 | $19,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 900 | $19,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 7,337 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 324 | $19,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 7,283 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 800 | $19,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 3,000 | $19,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 627 | $19,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 11,283 | $19,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 278 | $19,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $18,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 4,185 | $18,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 5,500 | $18,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 12,038 | $18,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,000 | $18,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,000 | $18,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 6,000 | $18,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R117 | WARR | 7,703 | $18,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,000 | $18,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 3,167 | $18,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 7,253 | $18,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 4,700 | $18,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 3,316 | $18,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 3,955 | $18,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,196 | $18,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 1,034 | $18,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,874 | $17,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 759 | $17,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,203 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $17,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $17,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 6,500 | $17,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 8,386 | $17,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,600 | $17,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $17,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,689 | $17,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 1,885 | $17,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W107 | CL A | 1,728 | $17,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 16,000 | $17,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 17,000 | $17,000 | thousands by filing date | principal |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 303 | $16,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,354 | $16,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $16,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 1,550 | $16,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 637 | $16,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 500 | $16,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $16,000 | thousands by filing date | principal |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 3,032 | $16,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 5,415 | $16,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $16,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 449 | $16,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 6,712 | $16,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 25,147 | $16,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 12,235 | $16,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 14,000 | $16,000 | thousands by filing date | principal |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 6,962 | $15,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 4,838 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 500 | $15,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,996 | $15,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 300 | $15,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,300 | $15,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 118 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 2,578 | $15,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,408 | $15,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 10,235 | $14,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,612 | $14,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,500 | $14,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 900 | $14,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 6,500 | $14,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 21,860 | $14,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 8,138 | $14,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 9,000 | $14,000 | thousands by filing date | principal |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 2,502 | $14,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 745 | $14,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 774 | $14,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 4,000 | $14,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 111 | $14,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 1,620 | $14,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 10,375 | $14,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 1,369 | $14,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $13,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,681 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 773 | $13,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 33,863 | $13,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,604 | $13,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 1,420 | $13,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 14,841 | $13,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 950 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 392 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,865 | $13,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 5,000 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRADED FD | 18386R403 | GUGGENHEIM 2025 | 524 | $13,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 3,774 | $12,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 2,265 | $12,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 430 | $12,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 403 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 200 | $12,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,003 | $12,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,037 | $12,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 2,000 | $12,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,984 | $12,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 9,403 | $12,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 3,805 | $12,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 5,350 | $12,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $12,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 10,631 | $11,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,341 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 180 | $11,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,003 | $11,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 640 | $11,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,628 | $11,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,356 | $11,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 340 | $11,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 10,000 | $11,000 | thousands by filing date | principal |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $11,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 7,260 | $11,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 8,712 | $11,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 7,010 | $11,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 9,000 | $11,000 | thousands by filing date | principal |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,164 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 112 | $10,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 437 | $10,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,325 | $10,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 275 | $10,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 833 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 614 | $10,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 321 | $10,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 24,200 | $10,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 21,268 | $10,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 862 | $10,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 300 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $10,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 12,062 | $10,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,223 | $10,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 37,420 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRADED FD | 18386R205 | GUGGENHEIM BULET | 493 | $10,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 679 | $9,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,400 | $9,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,171 | $9,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $9,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 500 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $9,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 691 | $9,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,058 | $9,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 366 | $9,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 586 | $9,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 320 | $9,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 376 | $9,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 2,350 | $9,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 1,601 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $9,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 2,307 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 420 | $9,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 5,400 | $9,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 5,651 | $9,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 887 | $9,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 6,713 | $9,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 790 | $9,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 119 | $9,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 2,301 | $9,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 591 | $8,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,752 | $8,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $8,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 512 | $8,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 586 | $8,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 4,705 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,367 | $8,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,000 | $8,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 895 | $8,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 3,725 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 139 | $8,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 240 | $8,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 14,500 | $8,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,355 | $8,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,901 | $8,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,125 | $8,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,690 | $8,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 5,774 | $8,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 1,585 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 100 | $8,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 850 | $8,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 5,049 | $7,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 1,183 | $7,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 440 | $7,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,092 | $7,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 220 | $7,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 1,900 | $7,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 3,900 | $7,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 750 | $7,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 2,452 | $7,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 277 | $7,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 5,326 | $7,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $7,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 13,198 | $7,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 3,997 | $7,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 9,000 | $7,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 700 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 200 | $7,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 2,000 | $7,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 5,215 | $7,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,856 | $7,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 849 | $7,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,829 | $7,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 8,000 | $7,000 | thousands by filing date | principal |
| MY SIZE INC | 62844N109 | COM | 11,343 | $7,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P201 | SHS | 10,660 | $7,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 636 | $6,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 151 | $6,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $6,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 898 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 200 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 196 | $6,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,349 | $6,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 219 | $6,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 600 | $6,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 4,019 | $6,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $6,000 | thousands by filing date | principal |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 501 | $6,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 930 | $6,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 186 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 786 | $6,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $6,000 | thousands by filing date | principal |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 5,000 | $6,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 3,000 | $6,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,001 | $6,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 100 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 136 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 600 | $6,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 9,167 | $6,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $6,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 6,316 | $6,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 6,000 | $6,000 | thousands by filing date | principal |
| COGENTIX MED INC COM | 19243A104 | Stock | 2,000 | $6,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 200 | $6,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 132 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 283 | $5,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 170 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 142 | $5,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 512 | $5,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 3,000 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $5,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 1,667 | $5,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,750 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,416 | $5,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 5,790 | $5,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,500 | $5,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 11,572 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 200 | $5,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $5,000 | thousands by filing date | principal |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 200 | $5,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,869 | $5,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 8,088 | $5,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 349 | $5,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 5,000 | $5,000 | thousands by filing date | principal |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 173 | $5,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 5,000 | $5,000 | thousands by filing date | principal |
| FORM HLDGS CORP COM | 34634E102 | Stock | 4,091 | $5,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 11,030 | $5,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC | 761123108 | COM | 3,368 | $5,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 366 | $4,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 187 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 84 | $4,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 600 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 100 | $4,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 375 | $4,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 3,600 | $4,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 2,800 | $4,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 3,190 | $4,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 1,876 | $4,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 2,735 | $4,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 3,001 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 263 | $4,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 197 | $4,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 4,000 | $4,000 | thousands by filing date | principal |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 500 | $4,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 2,000 | $4,000 | thousands by filing date | principal |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 2,037 | $4,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $4,000 | thousands by filing date | |
| WESTMORELAND RESOURCE PARTNE COM UNIT RP LP | 96108P103 | Stock | 1,472 | $4,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 185 | $4,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 152 | $4,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 6,850 | $4,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $4,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 10,000 | $4,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 182 | $4,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 2,541 | $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 | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 146 | $4,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W204 | SPONSRD ADR NEW | 866 | $4,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $3,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 355 | $3,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,150 | $3,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 41 | $3,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 113 | $3,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 128 | $3,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 881 | $3,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 2,500 | $3,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 480 | $3,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 224 | $3,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 1,915 | $3,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 334 | $3,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 452 | $3,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 2,100 | $3,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 500 | $3,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 2,872 | $3,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $3,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 1,000 | $3,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 106 | $3,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 14,500 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 170 | $3,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 169 | $3,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 229 | $3,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 1,650 | $3,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 2,768 | $3,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 1,051 | $3,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 8,527 | $3,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 5,145 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,750 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 42 | $3,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 1,500 | $3,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 2,000 | $3,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 1,047 | $3,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 597 | $3,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 466 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G871 | VIRTUS CUMBRLAND | 107 | $3,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 1,139 | $3,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 3,410 | $3,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AD6 | NOTE 3.250%10/0 | 3,000 | $3,000 | thousands by filing date | principal |
| YANDEX N.V. | 98474TAB3 | 1.125% CNV BDS 15/12/18 USD | 3,000 | $3,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 100 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 335 | $3,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,404 | $2,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 65 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,363 | $2,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 301 | $2,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 101 | $2,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 700 | $2,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 416 | $2,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 850 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 5,000 | $2,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 761 | $2,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 6,019 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 250 | $2,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 2,364 | $2,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 850 | $2,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 250 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 165 | $2,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 320 | $2,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 130 | $2,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,000 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,045 | $2,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 521 | $2,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 116 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 138 | $2,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 712 | $2,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 100 | $2,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 600 | $2,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 814 | $2,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 1,520 | $2,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 500 | $2,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 132 | $2,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 10,281 | $2,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 2,100 | $2,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,500 | $2,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 202 | $2,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 633 | $2,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 1,057 | $2,000 | thousands by filing date | |
| TOP SHIPS INC COM | Y8897Y701 | Stock | 9,000 | $2,000 | thousands by filing date | |
| FORUM MERGER CORP | 34985B103 | COM CL A | 200 | $2,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 215 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 493 | $1,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 40 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 50 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 51 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 60 | $1,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 100 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 60 | $1,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 50 | $1,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 41 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 51 | $1,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 110 | $1,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 148 | $1,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 60 | $1,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 170 | $1,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 40 | $1,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 35 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 61 | $1,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 905 | $1,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 100 | $1,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 68 | $1,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 1,000 | $1,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 333 | $1,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| ALIMERA SCIENCES INC | 016259103 | COM | 400 | $1,000 | 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 |