13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 6,826 holding rows worth $377,757,476,000.
- Accession
- 0000895421-19-000629
- Filer
- CIK 895421
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 22,789 entries on the cover page, a total value of $377,757,476,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $377,757,476,000 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 |
|---|---|---|---|---|---|---|
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $21,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 10,000 | $21,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 1,509 | $21,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 2,892 | $21,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 6,482 | $21,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22542D290 | VELOCITY SHS ETN | 250 | $21,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 3,832 | $21,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 428 | $21,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 18,686 | $21,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 24,000 | $21,000 | thousands by filing date | principal |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 2,046 | $21,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 9,446 | $20,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,425 | $20,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 3,500 | $20,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 8,500 | $20,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,324 | $20,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 987 | $20,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 53,958 | $20,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 11,875 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,044 | $20,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 781 | $20,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,305 | $20,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 9,000 | $20,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 28,124 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,042 | $20,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,501 | $19,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 1,230 | $19,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 4,978 | $19,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 4,802 | $19,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,078 | $19,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 39,927 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 1,400 | $19,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 2,714 | $19,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 498 | $19,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 600 | $19,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 21,000 | $19,000 | thousands by filing date | principal |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 10,270 | $19,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 2,025 | $19,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $19,000 | thousands by filing date | principal |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 1,208 | $19,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 661 | $18,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 694 | $18,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 623 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 700 | $18,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,400 | $18,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,085 | $18,000 | thousands by filing date | |
| TWILIO INC | 90138FAB8 | NOTE 0.250% 6/0 | 11,000 | $18,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P563 | FUND | 529 | $18,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 4,879 | $18,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 7,662 | $18,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 13,628 | $18,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 7,454 | $18,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 8,261 | $18,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 907 | $18,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 15,538 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 672 | $18,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 463 | $17,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 480 | $17,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 146 | $17,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,944 | $17,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 740 | $17,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 17,000 | $17,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 17,000 | $17,000 | thousands by filing date | principal |
| IMAC HLDGS INC | 44967K104 | COM | 4,647 | $17,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 3,342 | $17,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 10,430 | $17,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 12,000 | $17,000 | thousands by filing date | principal |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 8,591 | $17,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 3,500 | $16,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,478 | $16,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 859 | $16,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 4,005 | $16,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 612 | $16,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 28,529 | $16,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 1,725 | $16,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 8,206 | $16,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 16,000 | $16,000 | thousands by filing date | principal |
| EMCLAIRE FINL CORP | 290828102 | COM | 500 | $16,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 10,551 | $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 |
| EVOGENE LTD | M4119S104 | SHS | 10,052 | $16,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $16,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 15,000 | $16,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,612 | $16,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 400 | $15,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 4,155 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 522 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 250 | $15,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 600 | $15,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 490 | $15,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 2,786 | $15,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 39,332 | $15,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 225 | $15,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,500 | $15,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $15,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 17,000 | $15,000 | thousands by filing date | principal |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $15,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 14,000 | $15,000 | thousands by filing date | principal |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 5,777 | $15,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 430 | $15,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 4,382 | $15,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 805 | $15,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 1,531 | $15,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 11,549 | $15,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 15,000 | $15,000 | thousands by filing date | principal |
| MIDATECH PHARMA PLC SPONSORED | 59564R203 | ADR | 12,000 | $15,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 496 | $14,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,371 | $14,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 851 | $14,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,565 | $14,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 769 | $14,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 6,252 | $14,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,642 | $14,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 4,811 | $14,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 9,369 | $14,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 5,227 | $14,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 9,354 | $14,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 14,000 | $14,000 | thousands by filing date | principal |
| WEIDAI LTD | 94861A108 | SPONS ADS | 2,280 | $14,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,398 | $14,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 986 | $14,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 3,472 | $14,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 886 | $13,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 4,030 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 435 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A446 | OPUS SML CP VL | 500 | $13,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 2,698 | $13,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,543 | $13,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 3,416 | $13,000 | thousands by filing date | |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 700 | $13,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $13,000 | thousands by filing date | |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 3,300 | $13,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 2,532 | $13,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 837 | $13,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $13,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 12,559 | $13,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 15,981 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 435 | $13,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 1,488 | $13,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 6,000 | $13,000 | thousands by filing date | principal |
| POLAR PWR INC | 73102V105 | COM | 4,006 | $13,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 8,000 | $13,000 | thousands by filing date | principal |
| KEMPHARM INC COM NEW | 488445107 | Stock | 18,350 | $13,000 | thousands by filing date | |
| IMEDIA BRANDS INC COM CL A | 452465107 | Stock | 23,800 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS APTUS FORTIFIED | 26922A610 | Stock | 500 | $13,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 61,229 | $13,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 3,001 | $12,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 21,551 | $12,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,261 | $12,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $12,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,613 | $12,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 11,000 | $12,000 | thousands by filing date | principal |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 1,699 | $12,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 15,990 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $12,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 2,000 | $12,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 3,180 | $12,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 8,483 | $12,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 9,934 | $12,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 16,285 | $12,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 5,000 | $12,000 | thousands by filing date | principal |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 912 | $12,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 5,869 | $12,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 352 | $12,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L205 | UNIT 05/11/2025 | 1,037 | $12,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 5,803 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 429 | $11,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,047 | $11,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 2,250 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 199 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 157 | $11,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 1,107 | $11,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 1,033 | $11,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 21,280 | $11,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,253 | $11,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A101 | CL A COM | 1,038 | $11,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 13,035 | $11,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 1,078 | $11,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 4,541 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 360 | $11,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978AAA2 | NOTE 1.500%11/0 | 6,000 | $11,000 | thousands by filing date | principal |
| B RILEY PRINCIPAL MERGER CORP | 05586Y106 | Com | 1,064 | $11,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,003 | $11,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 1,057 | $11,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 1,062 | $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 |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 1,045 | $11,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 549 | $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 | 422 | $10,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 792 | $10,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 3,053 | $10,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 488 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 362 | $10,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 100 | $10,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $10,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 6,206 | $10,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,648 | $10,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 301 | $10,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 956 | $10,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 610 | $10,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,044 | $10,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K104 | COM | 1,051 | $10,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 289 | $10,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 3,573 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 691 | $10,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 675 | $10,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 20,000 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $10,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 4,977 | $10,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,340 | $10,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 9,452 | $10,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 22,276 | $10,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 1,038 | $10,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 1,066 | $10,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 2,150 | $10,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 886 | $10,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,205 | $10,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 1,000 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| HAYMAKER ACQUISITION CORP II | 42087L101 | COM CL A | 1,040 | $10,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884104 | COM CL A | 1,066 | $10,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 1,015 | $10,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 953 | $10,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 1,026 | $10,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 960 | $10,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M100 | COM CL A | 1,012 | $10,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131301 | COM | 1,564 | $10,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | 81728P105 | CL A | 1,015 | $10,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 900 | $10,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 348 | $9,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 220 | $9,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,405 | $9,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 331 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,400 | $9,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 3,751 | $9,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 1,115 | $9,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 505 | $9,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,726 | $9,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 2,343 | $9,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,209 | $9,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,641 | $9,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 1,265 | $9,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,300 | $9,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 11,398 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 302 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $9,000 | thousands by filing date | |
| FIRST SEACOAST BANCORP | 33631P102 | COM | 999 | $9,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 48,500 | $9,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 5,000 | $9,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 830 | $9,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 513 | $9,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 9,417 | $9,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 9,000 | $9,000 | thousands by filing date | principal |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 1,598 | $9,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E208 | UNIT 01/30/2023 | 873 | $9,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 12,000 | $9,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 901 | $9,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAB9 | NOTE 2.00012/0 | 5,000 | $9,000 | thousands by filing date | principal |
| TECNOGLASS INC | G87264100 | ORD SHS | 943 | $8,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,200 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 293 | $8,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 921 | $8,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,000 | $8,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 400 | $8,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 6,715 | $8,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 2,227 | $8,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 4,104 | $8,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,154 | $8,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,909 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 796 | $8,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 3,789 | $8,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,565 | $8,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 346 | $8,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 686 | $8,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 484 | $8,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 785 | $8,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,800 | $8,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 8,804 | $8,000 | thousands by filing date | |
| UPHEALTH INC | 375036100 | Common Stock | 806 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $8,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 5,221 | $8,000 | thousands by filing date | |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 1,554 | $8,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 722 | $8,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 2,022 | $7,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 13,500 | $7,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 687 | $7,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $7,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 209 | $7,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 670 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 166 | $7,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,180 | $7,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 347 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 3,301 | $7,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 8,000 | $7,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 541 | $7,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,740 | $7,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 3,861 | $7,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 4,000 | $7,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 228 | $7,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 1,609 | $7,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 3,000 | $7,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 737 | $7,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 3,500 | $7,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 7,000 | $7,000 | thousands by filing date | principal |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $7,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 1,185 | $7,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 60,219 | $7,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 1,300 | $7,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 1,571 | $7,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 9,689 | $7,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 3,413 | $7,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 1,518 | $7,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 664 | $7,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 10,551 | $7,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 7,000 | $7,000 | thousands by filing date | principal |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 402 | $6,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 259 | $6,000 | thousands by filing date | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 797 | $6,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 69 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 250 | $6,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,340 | $6,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 515 | $6,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 150 | $6,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $6,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,001 | $6,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $6,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 1,700 | $6,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 3,000 | $6,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 3,217 | $6,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 280 | $6,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,801 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 234 | $6,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 171 | $6,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 1,341 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 140 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $6,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 563 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 71 | $6,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,179 | $6,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 589 | $6,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 3,076 | $6,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 4,062 | $6,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 2,340 | $6,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 1,000 | $6,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 234 | $6,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 1,300 | $6,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 580 | $6,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 3,132 | $6,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 230 | $6,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 636 | $6,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,017 | $5,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 1,030 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 93 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 200 | $5,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 480 | $5,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $5,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $5,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 516 | $5,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 250 | $5,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 2,500 | $5,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 69 | $5,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 5,000 | $5,000 | thousands by filing date | principal |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 1,988 | $5,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,171 | $5,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,035 | $5,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 328 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,850 | $5,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 3,120 | $5,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 4,102 | $5,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 2,000 | $5,000 | thousands by filing date | principal |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,845 | $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 | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,580 | $5,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 476 | $5,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,552 | $5,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 558 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 200 | $5,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 455 | $5,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 518 | $5,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641106 | CL A | 482 | $5,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 470 | $5,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 5,102 | $5,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 3,916 | $5,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 49 | $5,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 302 | $4,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,000 | $4,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 250 | $4,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,086 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,250 | $4,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 500 | $4,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 138 | $4,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,013 | $4,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 2,000 | $4,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,040 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,400 | $4,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W395 | FUND | 69 | $4,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 8,700 | $4,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 3,436 | $4,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,100 | $4,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 11,454 | $4,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 1,908 | $4,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $4,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 5,000 | $4,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L306 | COM | 1,815 | $4,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,505 | $4,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 8,277 | $4,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 392 | $4,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 668 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 187 | $4,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 356 | $4,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 1,218 | $4,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC COM NE | 67424l209 | COM | 1,852 | $4,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 412 | $4,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 435 | $4,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 2,301 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 46 | $3,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 858 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,455 | $3,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 501 | $3,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 100 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 90 | $3,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,528 | $3,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 900 | $3,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,011 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 101 | $3,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 450 | $3,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 2,500 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $3,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 299 | $3,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 1,814 | $3,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 150 | $3,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $3,000 | thousands by filing date | principal |
| HMN FINL INC | 40424G108 | COM | 150 | $3,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 2,573 | $3,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,201 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,700 | $3,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 13,720 | $3,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,768 | $3,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 339 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,137 | $3,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,632 | $3,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 2,376 | $3,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 513 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 5,000 | $3,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,000 | $3,000 | thousands by filing date | principal |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 141 | $3,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 605 | $3,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 113 | $3,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22542d316 | COM | 20 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 142 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 13,807 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 160 | $3,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 327 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 73 | $2,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 131 | $2,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 217 | $2,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,204 | $2,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 541 | $2,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,576 | $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 | |
| NANOVIRICIDES INC | 630087302 | COM | 894 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 600 | $2,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 128 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 83 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 120 | $2,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,500 | $2,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,300 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 1,864 | $2,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 229 | $2,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 493 | $2,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 415 | $2,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 1,200 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 7,402 | $2,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 850 | $2,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 100 | $2,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 1,125 | $2,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 100 | $2,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 500 | $2,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 3,890 | $2,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 800 | $2,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 4,009 | $2,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 1,238 | $2,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,425 | $2,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 3,400 | $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 | |
| SORL Auto Parts Inc | 78461U101 | COM | 610 | $2,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 1,300 | $2,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 1,499 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-19-000629 | this filing | 2019-11-14 | acceptance time not in the bulk data set |