13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2018-03-31, filed 2019-04-23, with 6,773 holding rows worth $360,297,078,000.
- Accession
- 0000895421-19-000449
- 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 Q1 2018
A holdings report, amendment of type restatement, 25,821 entries on the cover page, a total value of $360,297,078,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $360,297,078,000 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 |
|---|---|---|---|---|---|---|
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 10,917 | $33,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 11,006 | $33,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 4,989 | $33,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 15,452 | $33,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 28,000 | $33,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 34,000 | $33,000 | thousands by filing date | principal |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 33,000 | $33,000 | thousands by filing date | principal |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 5,366 | $33,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 3,503 | $32,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,500 | $32,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 27,660 | $32,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 925 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 1,277 | $32,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 55,077 | $32,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 4,723 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 981 | $32,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC | G3206V100 | SHS | 3,179 | $32,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2,400 | $31,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,031 | $31,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 76,322 | $31,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,299 | $31,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 4,415 | $31,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 54,790 | $31,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 1,055 | $30,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $30,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 1,250 | $30,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 2,933 | $30,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 16,602 | $30,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 951 | $30,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 2,820 | $30,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 4,314 | $30,000 | thousands by filing date | |
| CAPITOL INVT CORP IV | G18920101 | CL A ORD | 3,100 | $30,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,000 | $30,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 30,000 | $30,000 | thousands by filing date | principal |
| INFINERA CORPORATION | 45667GAB9 | DBCV 1.750% 6/0 | 29,000 | $30,000 | thousands by filing date | principal |
| INFOSONICS CORP | 456784305 | COM PAR | 3,879 | $30,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 593 | $29,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 718 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,296 | $29,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,006 | $29,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 11,000 | $29,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 21,829 | $29,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 4,035 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 4,104 | $29,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 7,841 | $29,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 2,747 | $29,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 906 | $29,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 7,646 | $29,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 75 | $29,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,794 | $28,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 28,000 | $28,000 | thousands by filing date | principal |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 13,800 | $28,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 15,375 | $28,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,250 | $28,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 23,000 | $28,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 3,850 | $28,000 | thousands by filing date | |
| CDTI ADVANCED MATLS INC | 12514V105 | COM | 28,355 | $28,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 611 | $28,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 30,000 | $28,000 | thousands by filing date | principal |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 2,875 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 615 | $27,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 9,079 | $27,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 12,001 | $27,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 7,047 | $27,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 284 | $27,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 15,861 | $27,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 3,301 | $27,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 16,169 | $27,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $27,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 7,808 | $27,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 22,000 | $27,000 | thousands by filing date | principal |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 15,000 | $27,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRADED FD | 18386R403 | GUGGENHEIM 2025 | 1,137 | $27,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 2,090 | $26,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,917 | $26,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,800 | $26,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 4,150 | $26,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 3,513 | $26,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 1,100 | $26,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 4,022 | $26,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $26,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,331 | $25,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 5,099 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 310 | $25,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 500 | $25,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 37,467 | $25,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 4,305 | $25,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 2,207 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 1,000 | $25,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 17,000 | $25,000 | thousands by filing date | principal |
| LAKELAND INDS INC | 511795106 | COM | 1,888 | $24,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $24,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 340 | $24,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 632 | $24,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,158 | $24,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,866 | $23,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 987 | $23,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,729 | $23,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $23,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 978 | $23,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 17,700 | $23,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 11,821 | $23,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 7,710 | $23,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 197 | $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 |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 9,010 | $22,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 988 | $22,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,598 | $22,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 15,450 | $22,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,033 | $22,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 6,967 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 650 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K869 | DAIL CSI 300 ETF | 700 | $21,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 1,200 | $21,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 39,400 | $21,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 13,710 | $21,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 1,405 | $21,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 5,100 | $21,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 54,992 | $21,000 | thousands by filing date | |
| FQF TR | 351680848 | O SHS FTSE EUR | 864 | $21,000 | thousands by filing date | |
| ABILITY INC | G8789K124 | SHS | 6,460 | $21,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 599 | $21,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 760 | $21,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC | Y2069P507 | SHS PAR | 13,680 | $21,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,531 | $21,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,056 | $20,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 2,280 | $20,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 5,675 | $20,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 5,221 | $20,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 2,776 | $20,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 6,406 | $20,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 1,300 | $20,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 5,756 | $20,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 4,000 | $20,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 678 | $20,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 8,198 | $20,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 6,297 | $20,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325K529 | VELOCITYSHS SHRT | 1,098 | $20,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 269 | $20,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 6,332 | $19,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 7,300 | $19,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 6,189 | $19,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 2,087 | $19,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 20,000 | $19,000 | thousands by filing date | principal |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 8,984 | $19,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 3,400 | $19,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 9,120 | $19,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,705 | $19,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 5,515 | $18,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 10,009 | $18,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 10,952 | $18,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $18,000 | thousands by filing date | principal |
| STEIN MART INC | 858375108 | COM | 11,998 | $18,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,996 | $18,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 4,317 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 300 | $17,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 9,500 | $17,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 1,327 | $17,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 672 | $17,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $17,000 | thousands by filing date | principal |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 800 | $17,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 751 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $17,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 8,109 | $17,000 | thousands by filing date | |
| DITECH HLDG CORP | 25501G105 | COM | 1,927 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 2,000 | $17,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 4,406 | $16,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,000 | $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 | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 5,279 | $16,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 12,915 | $16,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 400 | $16,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 38,784 | $16,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,000 | $16,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 5,397 | $16,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 449 | $16,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 39,500 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 395 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $16,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 5,316 | $16,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 8,000 | $16,000 | thousands by filing date | principal |
| CYTRX CORP | 232828608 | COM PAR | 10,030 | $16,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 108 | $16,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 16,000 | $16,000 | thousands by filing date | principal |
| GORES HLDGS II INC | 382867208 | UNIT 99/99/9999 | 1,500 | $16,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 248 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 1,577 | $16,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 1,502 | $16,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 308 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 200 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 281 | $15,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 6,500 | $15,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 3,600 | $15,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 720 | $15,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V206 | UNIT 99/99/9999 | 1,452 | $15,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 67,019 | $15,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 10,956 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 230 | $14,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 34,512 | $14,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 2,000 | $14,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 2,767 | $14,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 3,792 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $14,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 2,000 | $14,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,100 | $14,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,402 | $14,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 591 | $14,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 23,077 | $14,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 16,011 | $14,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 645 | $13,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 144 | $13,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,500 | $13,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 454 | $13,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,106 | $13,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,035 | $13,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 21,860 | $13,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 35,000 | $13,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 1,250 | $13,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 1,095 | $13,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 346 | $13,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 4,408 | $13,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 150 | $13,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 403 | $12,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 701 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 200 | $12,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 2,838 | $12,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,479 | $12,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,604 | $12,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 8,700 | $12,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 9,000 | $12,000 | thousands by filing date | principal |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 3,316 | $12,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 11,000 | $12,000 | thousands by filing date | principal |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 10,671 | $12,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $12,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656103 | CL A | 1,200 | $12,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 2,553 | $11,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 4,521 | $11,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 8,000 | $11,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,443 | $11,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,038 | $11,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 4,919 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 184 | $11,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 340 | $11,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,552 | $11,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 862 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H230 | ETN DJUBSSOFT 38 | 392 | $11,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 4,635 | $11,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 10,000 | $11,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 11,000 | $11,000 | thousands by filing date | principal |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 402 | $11,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 10,000 | $11,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 9,000 | $11,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TR | 301505830 | REX VOLMAX SHORT | 4,231 | $11,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $10,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 324 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 500 | $10,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,200 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 623 | $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 | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 615 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 275 | $10,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 379 | $10,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $10,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 788 | $10,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 1,500 | $10,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 501 | $10,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 7,137 | $10,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 7,050 | $10,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 699 | $10,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 376 | $10,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $10,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 748 | $10,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,752 | $9,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,212 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 283 | $9,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 972 | $9,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 301 | $9,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,341 | $9,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $9,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 328 | $9,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,265 | $9,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 1,000 | $9,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,700 | $9,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 289 | $9,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 3,500 | $9,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,036 | $9,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 21,700 | $9,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 366 | $9,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 320 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $9,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 4,450 | $9,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $9,000 | thousands by filing date | |
| FEDERAL STR ACQUISITION CORP | 31421V107 | CL A | 902 | $9,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 119 | $9,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 6,722 | $9,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828103 | UNIT 99/99/9999 | 850 | $9,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 6,000 | $9,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 300 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,657 | $8,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,000 | $8,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,400 | $8,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 5,444 | $8,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 272 | $8,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 1,301 | $8,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 2,404 | $8,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 201 | $8,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $8,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 549 | $8,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 200 | $8,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,505 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,367 | $8,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 1,210 | $8,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 1,080 | $8,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 284 | $8,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 300 | $8,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,901 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 201 | $8,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 8,210 | $8,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 2,693 | $8,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 8,000 | $8,000 | thousands by filing date | principal |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 2,035 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $8,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 8,000 | $8,000 | thousands by filing date | principal |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 14,223 | $8,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 10,088 | $8,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 7,000 | $8,000 | thousands by filing date | principal |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 220 | $7,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 554 | $7,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 750 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 4,476 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X138 | BASIC MAT NEW | 493 | $7,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 22,268 | $7,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,312 | $7,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 360 | $7,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 8,867 | $7,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 3,686 | $7,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,455 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $7,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 1,106 | $7,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 3,510 | $7,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 3,576 | $7,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 7,191 | $7,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 10,000 | $7,000 | thousands by filing date | principal |
| PERSHING GOLD CORP | 715302204 | COM NEW | 3,384 | $7,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 4,653 | $7,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 391 | $7,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 8,649 | $7,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 1,883 | $7,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 11,030 | $7,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 800 | $7,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 470 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 367 | $6,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 672 | $6,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 5,000 | $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 | 900 | $6,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,510 | $6,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,232 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $6,000 | thousands by filing date | |
| 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 | 815 | $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 |
| INTERSECTIONS INC | 460981301 | COM | 3,738 | $6,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,356 | $6,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 368 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 1,000 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 136 | $6,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 300 | $6,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 606 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 205 | $6,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 5,215 | $6,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 16,648 | $6,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 585 | $6,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $6,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 2,382 | $6,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 97 | $5,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 196 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 213 | $5,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 721 | $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 | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 2,100 | $5,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 2,860 | $5,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 3,602 | $5,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 1,667 | $5,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $5,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| OVASCIENCE INC | 69014Q101 | COM | 6,405 | $5,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| S&W SEED COMPANY COM | 785135104 | COM | 1,318 | $5,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 501 | $5,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 336 | $5,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 4,157 | $5,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 68 | $5,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $5,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 3,498 | $5,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 2,089 | $5,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 3,162 | $5,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $5,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 630 | $5,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 173 | $5,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 990 | $5,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 4,007 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G830 | VIRTUS GLOVIST | 207 | $5,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 200 | $5,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 2,220 | $5,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 800 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 175 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 84 | $4,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 201 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 112 | $4,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 191 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 1,133 | $4,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,001 | $4,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 4,588 | $4,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 962 | $4,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| AMERI HLDGS INC | 02362F104 | COM | 2,718 | $4,000 | thousands by filing date | |
| 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 |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,780 | $4,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 2,037 | $4,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 4,527 | $4,000 | thousands by filing date | |
| LONG BLOCKCHAIN CORP | 542614102 | COM | 1,515 | $4,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 1,142 | $4,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,135 | $4,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 201 | $4,000 | thousands by filing date | |
| XPRESSPA GROUP INC | 98420U109 | COM | 5,631 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 275 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 100 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 61 | $3,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 354 | $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 | |
| SACHEM CAP CORP | 78590A109 | COM | 900 | $3,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 300 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 158 | $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 | 1,901 | $3,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 100 | $3,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 1,015 | $3,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 1,303 | $3,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 850 | $3,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 151 | $3,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,347 | $3,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 1,715 | $3,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 3,097 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 3,175 | $3,000 | thousands by filing date | |
| E-TRACS UBS LONG PLATINUM ETN | 902641786 | COM | 352 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 50 | $3,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 1,156 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 106 | $3,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 87 | $3,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 3,001 | $3,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 15,356 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,991 | $3,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 169 | $3,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 2,378 | $3,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 14,006 | $3,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 229 | $3,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 2,639 | $3,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,125 | $3,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 358 | $3,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 300 | $3,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 2,250 | $3,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 1,000 | $3,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 1,010 | $3,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 3,000 | $3,000 | thousands by filing date | principal |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 331 | $3,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 1,000 | $3,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 7,721 | $3,000 | thousands by filing date | |
| YANDEX N.V. | 98474TAB3 | 1.125% CNV BDS 15/12/18 USD | 3,000 | $3,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 15,319 | $3,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W107 | COM | 300 | $3,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,150 | $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 | |
| BROADWIND INC | 11161T207 | CMN | 1,043 | $2,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 245 | $2,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 1,500 | $2,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 101 | $2,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 764 | $2,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 1,051 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-18-000422 | superseded | 2018-05-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-19-000449 | this filing | 2019-04-23 | acceptance time not in the bulk data set |