13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-15, with 6,775 holding rows worth $353,274,848,000.
- Accession
- 0000895421-19-000487
- Filer
- CIK 895421
- Filed
- 2019-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 22,379 entries on the cover page, a total value of $353,274,848,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $353,274,848,000 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 |
|---|---|---|---|---|---|---|
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 5,229 | $21,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 41,241 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,044 | $21,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 2,250 | $21,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 20,310 | $21,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 998 | $21,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 5,916 | $21,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q829 | MANAGED FUTURE | 882 | $21,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,128 | $20,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 7,784 | $20,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,156 | $20,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 800 | $20,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,333 | $20,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 20,427 | $20,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 992 | $20,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 22,500 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $20,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,418 | $20,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 200 | $20,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 1,670 | $19,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 4,243 | $19,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 621 | $19,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 250 | $19,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 9,629 | $19,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 21,000 | $19,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 616 | $19,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 12,011 | $19,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4,360 | $19,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,314 | $19,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 6,480 | $19,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 194 | $19,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 19,000 | $19,000 | thousands by filing date | principal |
| LOOP INDS INC | 543518104 | COM | 2,310 | $18,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,566 | $18,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,249 | $18,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 530 | $18,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,473 | $18,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 8,400 | $18,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 13,209 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 529 | $18,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 19,369 | $18,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 19,000 | $18,000 | thousands by filing date | principal |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,933 | $18,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,561 | $18,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 100 | $18,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 4,343 | $18,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 9,621 | $18,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,116 | $18,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $18,000 | thousands by filing date | principal |
| CELLECT BIOTECHNOLOGY LTD | 15116C102 | SPON ADS | 18,005 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 1,255 | $18,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,387 | $17,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 3,535 | $17,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 2,088 | $17,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 740 | $17,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,118 | $17,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,572 | $17,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 17,000 | $17,000 | thousands by filing date | principal |
| GRITSTONE BIO INC | 39868T105 | COM | 1,311 | $17,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 713 | $17,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 16,000 | $17,000 | thousands by filing date | principal |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $17,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 2,000 | $17,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,673 | $17,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 7,318 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 2,734 | $17,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 4,623 | $17,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 4,622 | $17,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 162 | $17,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 14,540 | $17,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025102 | COM | 50,040 | $17,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 480 | $16,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 704 | $16,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 793 | $16,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 16,000 | $16,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 12,544 | $16,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 3,000 | $16,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 691 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 420 | $16,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 2,259 | $16,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 14,000 | $16,000 | thousands by filing date | principal |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,740 | $16,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 17,000 | $16,000 | thousands by filing date | principal |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 3,959 | $16,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,805 | $16,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 17,000 | $16,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,624 | $16,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,935 | $16,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 10,000 | $16,000 | thousands by filing date | principal |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 2,149 | $15,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 687 | $15,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 747 | $15,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 371 | $15,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,220 | $15,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 600 | $15,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 15,000 | $15,000 | thousands by filing date | principal |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 872 | $15,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 7,653 | $15,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 501 | $15,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 1,100 | $15,000 | thousands by filing date | |
| NABORS INDS INC | 62957HAB1 | BOND | 21,000 | $15,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 15,000 | $15,000 | thousands by filing date | principal |
| MSB FINL CORP NEW | 55352L101 | COM | 845 | $15,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 420 | $14,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $14,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $14,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,780 | $14,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $14,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 4,372 | $14,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 23,734 | $14,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $14,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 742 | $14,000 | thousands by filing date | |
| AVEDRO INC | 05355N109 | COM | 1,129 | $14,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 10,000 | $14,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,439 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 905 | $14,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410208 | SPONSORED ADR NE | 7,898 | $14,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 61,421 | $14,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,795 | $13,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,061 | $13,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 269 | $13,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 28,429 | $13,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 2,000 | $13,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 6,130 | $13,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 5,038 | $13,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 11,181 | $13,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 13,000 | $13,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 8,641 | $13,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 713 | $13,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 1,150 | $13,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 15,830 | $13,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,000 | $12,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 405 | $12,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,426 | $12,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,816 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 203 | $12,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,148 | $12,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,725 | $12,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $12,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R125 | WARR | 3,499 | $12,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 12,298 | $12,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 10,430 | $12,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 781 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $12,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 14,000 | $12,000 | thousands by filing date | principal |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 11,173 | $12,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 193 | $12,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 16,000 | $12,000 | thousands by filing date | principal |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 2,800 | $12,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 8,622 | $12,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 2,358 | $11,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 4,756 | $11,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 2,855 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 267 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 457 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 157 | $11,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,574 | $11,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 978 | $11,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 10,000 | $11,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 3,719 | $11,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 658 | $11,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 2,200 | $11,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 11,000 | $11,000 | thousands by filing date | principal |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 414 | $11,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,201 | $11,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 10,000 | $11,000 | thousands by filing date | principal |
| EVINE LIVE INC | 300487105 | CL A | 23,800 | $11,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 11,000 | $11,000 | thousands by filing date | principal |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 6,200 | $11,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 1,268 | $11,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 116 | $10,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 423 | $10,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,959 | $10,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,105 | $10,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 3,346 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 350 | $10,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,400 | $10,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 736 | $10,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,341 | $10,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 1,478 | $10,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 374 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 405 | $10,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 2,582 | $10,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,049 | $10,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 8,000 | $10,000 | thousands by filing date | principal |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 2,611 | $10,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 14,892 | $10,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 14,192 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 290 | $10,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $10,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 169 | $10,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 600 | $10,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 12,000 | $10,000 | thousands by filing date | principal |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 395 | $10,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 2,139 | $10,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,478 | $10,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,084 | $10,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 18,150 | $10,000 | thousands by filing date | |
| NAVIOS MARITIME CHG CONTAINERS LP UNIT REPSTG LP INT | Y62151108 | COM UNIT RP LP | 4,403 | $10,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 936 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 362 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 700 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 300 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,400 | $9,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,152 | $9,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 6,715 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 300 | $9,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 384 | $9,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 215 | $9,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,641 | $9,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 676 | $9,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 5,481 | $9,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 1,212 | $9,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 289 | $9,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,407 | $9,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,577 | $9,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 9,214 | $9,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 26,000 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 35,925 | $9,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 511 | $9,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 1,052 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505814 | ETF IND EX FIN | 500 | $9,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 31,775 | $9,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 4,443 | $9,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 860 | $9,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 379 | $9,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 1,667 | $9,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 405 | $8,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 494 | $8,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 301 | $8,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 2,383 | $8,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 7,512 | $8,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,090 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 107 | $8,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,781 | $8,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 4,978 | $8,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 22,033 | $8,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 3,363 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $8,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 4,977 | $8,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,000 | $8,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 563 | $8,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 838 | $8,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 5,886 | $8,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 6,000 | $8,000 | thousands by filing date | principal |
| NANTHEALTH INC | 630104107 | CMN | 7,981 | $8,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 8,000 | $8,000 | thousands by filing date | principal |
| MOTUS GI HLDGS INC | 62014P108 | COM | 2,100 | $8,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 1,667 | $8,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 8,392 | $8,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 6,900 | $8,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 836 | $8,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 832 | $8,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 5,222 | $8,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 738 | $8,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,435 | $7,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 948 | $7,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $7,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 2,377 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,017 | $7,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 772 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 332 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 209 | $7,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,200 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 113 | $7,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,400 | $7,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 275 | $7,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 280 | $7,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 282 | $7,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 4,568 | $7,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 6,162 | $7,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 721 | $7,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 14,807 | $7,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 6,820 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $7,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 230 | $7,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 4,763 | $7,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 696 | $7,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 376 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 93 | $6,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 2,456 | $6,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,200 | $6,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $6,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 104 | $6,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 300 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 125 | $6,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 501 | $6,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $6,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 1,632 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 796 | $6,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $6,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,256 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 9,113 | $6,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 339 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 249 | $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 | |
| FLEXSHARES TR | 33939L852 | COM | 140 | $6,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 758 | $6,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 4,136 | $6,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T217 | VLCTYSHS 3X S&P | 203 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 71 | $6,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 2,257 | $6,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $6,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 3,137 | $6,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 3,642 | $6,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 640 | $6,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 1,524 | $6,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 382 | $6,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 560 | $6,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 10,399 | $6,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | 81728P105 | CL A | 581 | $6,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAB9 | NOTE 2.00012/0 | 5,000 | $6,000 | thousands by filing date | principal |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 97 | $5,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 416 | $5,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 38 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 189 | $5,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,206 | $5,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 500 | $5,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $5,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 2,667 | $5,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,660 | $5,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 1,500 | $5,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,740 | $5,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 223 | $5,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 541 | $5,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 2,817 | $5,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 1,709 | $5,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 1,671 | $5,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 328 | $5,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,100 | $5,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 701 | $5,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 18,228 | $5,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 11,479 | $5,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 4,145 | $5,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 10,037 | $5,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,250 | $5,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 4,490 | $5,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 212 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 200 | $5,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 356 | $5,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 1,305 | $5,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $5,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 400 | $4,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 90 | $4,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,000 | $4,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 645 | $4,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 402 | $4,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,017 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,500 | $4,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,107 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 829 | $4,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 2,204 | $4,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,406 | $4,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 3,009 | $4,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,044 | $4,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 4,525 | $4,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 4,000 | $4,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 3,527 | $4,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 3,400 | $4,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 308 | $4,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,341 | $4,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 1,731 | $4,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 18,398 | $4,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 3,231 | $4,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 4,000 | $4,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 2,000 | $4,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 4,050 | $4,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 1,069 | $4,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,481 | $4,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 18,370 | $4,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 448 | $4,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A307 | COM PAR | 2,000 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W221 | ULTRAPRO 3X CR | 152 | $4,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 4,507 | $4,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 364 | $4,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 201 | $4,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 400 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 45 | $3,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 487 | $3,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,010 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 100 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 432 | $3,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 954 | $3,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 1,030 | $3,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 492 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 210 | $3,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 100 | $3,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 530 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 100 | $3,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,840 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 885 | $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 | |
| INTERGROUP CORP | 458685104 | COM | 104 | $3,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 494 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 114 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $3,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 1,019 | $3,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 15,000 | $3,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 850 | $3,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 14,552 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,520 | $3,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,613 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,137 | $3,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 50 | $3,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 169 | $3,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 12,542 | $3,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 2,053 | $3,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $3,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 940 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 141 | $3,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 5,718 | $3,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 1,000 | $3,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 1,300 | $3,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 5,123 | $3,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 1,404 | $3,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,634 | $3,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C724 | RUSL 1000 DYNM | 116 | $3,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 522 | $3,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 160 | $3,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 2,000 | $3,000 | thousands by filing date | principal |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 2,533 | $3,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 322 | $3,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 1,000 | $3,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 2,932 | $3,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 67 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D838 | ETRACS MNT ETN | 220 | $3,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L106 | COM CL A | 271 | $3,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A202 | UNIT 09/30/2023 | 300 | $3,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | G21225100 | SHS | 903 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B193 | ULTRAPRO SHORT N | 224 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 800 | $2,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 1,500 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 73 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 145 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 50 | $2,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 517 | $2,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 187 | $2,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 630 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,147 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 112 | $2,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 1,900 | $2,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 200 | $2,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 2,500 | $2,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 362 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,318 | $2,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 1,350 | $2,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 416 | $2,000 | thousands by filing date | |
| ZK INTL GROUP CO LTD SHS NEW | G9892K100 | Stock | 1,000 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 280 | $2,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 896 | $2,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 100 | $2,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 416 | $2,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 2,000 | $2,000 | thousands by filing date | principal |
| EMAGIN CORP | 29076N206 | COM | 2,077 | $2,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 500 | $2,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 8,720 | $2,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 933 | $2,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 1,580 | $2,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 121 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 150 | $2,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 3,000 | $2,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 1,000 | $2,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 100 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,876 | $2,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 535 | $2,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 668 | $2,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,544 | $2,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 11,806 | $2,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 1,981 | $2,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 100 | $2,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 839 | $2,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 668 | $2,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,377 | $2,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 666 | $2,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 3,410 | $2,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 2,316 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 1,955 | $2,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 6,875 | $2,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 116 | $2,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 4,018 | $2,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 1,400 | $2,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 53 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 61 | $2,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R100 | SHS CLASS A | 183 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 84 | $2,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 200 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 5,000 | $2,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 110 | $1,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 284 | $1,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 110 | $1,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 100 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 30 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-19-000487 | this filing | 2019-05-15 | acceptance time not in the bulk data set |