13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 6,811 holding rows worth $430,004,068,000.
- Accession
- 0000895421-20-000215
- Filer
- CIK 895421
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 22,495 entries on the cover page, a total value of $430,004,068,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $430,004,068,000 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 & 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 |
|---|---|---|---|---|---|---|
| DURECT CORP | 266605104 | COM | 7,854 | $30,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 9,513 | $30,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 26,906 | $30,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 1,164 | $30,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 757 | $30,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 2,000 | $30,000 | thousands by filing date | |
| PROSHARES TR ULTPRO SHT 2017 | 74348A152 | CEF | 1,679 | $30,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 588 | $29,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 6,550 | $29,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 14,000 | $29,000 | thousands by filing date | principal |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 19,929 | $29,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 25,000 | $29,000 | thousands by filing date | principal |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 12,115 | $29,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 46,990 | $29,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 90,399 | $29,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 796 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 1,000 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 691 | $28,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,131 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 1,622 | $28,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 610 | $28,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L201 | SHS NEW | 3,504 | $28,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 762 | $28,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 8,710 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 432 | $27,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 3,694 | $27,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 835 | $27,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,728 | $27,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 70,224 | $27,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 56,411 | $27,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 14,466 | $27,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 77,007 | $27,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 12,227 | $27,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 6,737 | $27,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 12,700 | $27,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 168 | $27,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 5,470 | $27,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 90,181 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 515 | $27,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 66,022 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 500 | $26,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 4,164 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 229 | $26,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,674 | $26,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 16,568 | $26,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 14,048 | $26,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 805 | $26,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 62,476 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E828 | DAILY RUSSIA 3X | 3,901 | $26,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P678 | FTSE UNTD KGDM | 967 | $25,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 2,000 | $25,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 486 | $25,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 91,668 | $25,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 1,733 | $25,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 2,512 | $25,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 25,000 | $25,000 | thousands by filing date | principal |
| Wellesley Bancorp. | 949485106 | COM | 547 | $25,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 27,000 | $25,000 | thousands by filing date | principal |
| AURYN RES INC | 05208W108 | COM | 17,400 | $25,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 29,421 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,925 | $25,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 1,372 | $24,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $24,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 4,021 | $24,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 29,061 | $24,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 3,000 | $24,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 400 | $24,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 3,052 | $24,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 2,409 | $24,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 4,604 | $23,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 18,409 | $23,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 2,825 | $23,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 12,935 | $23,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 2,425 | $23,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 630 | $23,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,300 | $23,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 23,921 | $23,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 580 | $22,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,384 | $22,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 6,103 | $22,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 750 | $22,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 987 | $22,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 529 | $22,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,889 | $22,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,261 | $22,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 22,000 | $22,000 | thousands by filing date | principal |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,044 | $22,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 22,000 | $22,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $22,000 | thousands by filing date | principal |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 894 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 621 | $21,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 3,500 | $21,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 1,909 | $21,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,894 | $21,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 757 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 1,400 | $21,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 20,154 | $21,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 6,000 | $20,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 7,343 | $20,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 53,859 | $20,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 13,992 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 625 | $20,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 2,351 | $20,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q829 | MANAGED FUTURE | 882 | $20,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 661 | $19,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,500 | $19,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 530 | $19,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 955 | $19,000 | thousands by filing date | |
| VANECK LONG/FLAT TREND ETF | 92189F148 | LONG/FLAT TREND | 632 | $19,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,138 | $19,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 17,000 | $19,000 | thousands by filing date | principal |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 3,519 | $19,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 2,801 | $19,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 1,208 | $19,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 8,700 | $19,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 463 | $18,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 694 | $18,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 4,500 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 700 | $18,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 2,157 | $18,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,263 | $18,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 740 | $18,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,085 | $18,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 2,369 | $18,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,023 | $18,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 7,506 | $18,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 17,391 | $18,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 14,888 | $18,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 15,000 | $18,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 1,024 | $18,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 400 | $17,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 651 | $17,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 330 | $17,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 18,345 | $17,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 24,615 | $17,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,001 | $17,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 878 | $17,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 1,666 | $17,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 250 | $17,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 329 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 497 | $17,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 12,500 | $17,000 | thousands by filing date | principal |
| TWILIO INC | 90138FAB8 | NOTE 0.250% 6/0 | 11,000 | $17,000 | thousands by filing date | principal |
| SMTC CORP | 832682207 | COM NEW | 4,928 | $17,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,180 | $17,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B193 | ULTRAPRO SHORT N | 1,905 | $17,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,067 | $16,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J102 | COM | 1,000 | $16,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 29,000 | $16,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 497 | $16,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,104 | $16,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 9,701 | $16,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 600 | $16,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 292 | $16,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $16,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 225 | $16,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 20,000 | $16,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 500 | $16,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 15,000 | $16,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 2,214 | $16,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 294 | $16,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 1,000 | $16,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 745 | $15,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 750 | $15,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $15,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,400 | $15,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,750 | $15,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,565 | $15,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $15,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,918 | $15,000 | thousands by filing date | |
| BREAKWAVE DRY BULK SHIPPING ETF | 26923H200 | ETF | 950 | $15,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 3,383 | $15,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 10,430 | $15,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 3,276 | $15,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 482 | $15,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 1,495 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 435 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 216 | $14,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $14,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 764 | $14,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 7,000 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 157 | $14,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 10,008 | $14,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 254 | $14,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $14,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 9,000 | $14,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 3,256 | $14,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 18,763 | $14,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 25,532 | $14,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978AAA2 | NOTE 1.500%11/0 | 6,000 | $14,000 | thousands by filing date | principal |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 1,285 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 500 | $13,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,336 | $13,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 538 | $13,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 1,280 | $13,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 840 | $13,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 5,253 | $13,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,500 | $13,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 10,551 | $13,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 3,000 | $13,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 1,236 | $13,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 2,691 | $13,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 11,100 | $13,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 1,351 | $13,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 1,140 | $13,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,396 | $13,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641106 | CL A | 1,262 | $13,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884104 | COM CL A | 1,307 | $13,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 1,203 | $13,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 429 | $12,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,350 | $12,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 5,252 | $12,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,047 | $12,000 | thousands by filing date | |
| US VEGAN CLIMATE ETF | 26922A297 | ETF | 450 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 669 | $12,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,516 | $12,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 332 | $12,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 10,593 | $12,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,407 | $12,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,141 | $12,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 11,000 | $12,000 | thousands by filing date | principal |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 1,202 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $12,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 6,077 | $12,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 1,155 | $12,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 1,186 | $12,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 1,179 | $12,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 1,179 | $12,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C109 | COM CL A | 1,193 | $12,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 5,000 | $12,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 360 | $12,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 1,133 | $12,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 1,145 | $12,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 1,150 | $12,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 1,136 | $12,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 5,648 | $11,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 443 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 180 | $11,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 5,350 | $11,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 289 | $11,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 6,152 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 691 | $11,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 2,062 | $11,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 22,276 | $11,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,800 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 487 | $11,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 1,078 | $11,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 348 | $10,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 458 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 116 | $10,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,500 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 362 | $10,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 331 | $10,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 100 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 400 | $10,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 550 | $10,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 2,000 | $10,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,224 | $10,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 853 | $10,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,457 | $10,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 17,147 | $10,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 2,700 | $10,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 675 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 302 | $10,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,850 | $10,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| MONGODB INC | 60937PAB2 | NOTE | 5,000 | $10,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 826 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 511 | $10,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 886 | $10,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 1,508 | $10,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,622 | $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 |
| DESTINATION XL GROUP INC | 25065K104 | COM | 7,080 | $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 | 3,761 | $9,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 2,176 | $9,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,800 | $9,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 11,401 | $9,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,044 | $9,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,000 | $9,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 12,544 | $9,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 4,079 | $9,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,300 | $9,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 345 | $9,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,047 | $9,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 896 | $9,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 5,215 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 200 | $9,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 925 | $9,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R104 | COM CL A | 900 | $9,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,000 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 939 | $9,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 708 | $9,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 917 | $9,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 925 | $9,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 900 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 127 | $8,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,337 | $8,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,000 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 420 | $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 | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 2,216 | $8,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 670 | $8,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 2,269 | $8,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 2,500 | $8,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 9,412 | $8,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 557 | $8,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 2,000 | $8,000 | thousands by filing date | principal |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 1,300 | $8,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,680 | $8,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 11,955 | $8,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 4,000 | $8,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 4,593 | $8,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,565 | $8,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 10,503 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 228 | $8,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 1,865 | $8,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $8,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 5,614 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 331 | $8,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 3,324 | $8,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 8,000 | $8,000 | thousands by filing date | principal |
| AMERANT BANCORP INC | 023576200 | CL B | 500 | $8,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER CORP | 05586Y106 | Com | 816 | $8,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 748 | $8,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 3,000 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 350 | $8,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 782 | $8,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 900 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 218 | $7,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 502 | $7,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $7,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 1,710 | $7,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 402 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 250 | $7,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 6,336 | $7,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,176 | $7,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 430 | $7,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 334 | $7,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $7,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,037 | $7,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 2,407 | $7,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,827 | $7,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 4,628 | $7,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 280 | $7,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 3,738 | $7,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 4,635 | $7,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 2,615 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 265 | $7,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 350 | $7,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 651 | $7,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T116 | *W EXP 02/28/202 | 4,498 | $7,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 1,555 | $6,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,000 | $6,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 322 | $6,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,340 | $6,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $6,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,992 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 147 | $6,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 150 | $6,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 726 | $6,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,468 | $6,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,993 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 234 | $6,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 2,095 | $6,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 9,142 | $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 | 2,373 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,421 | $6,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 200 | $6,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 1,598 | $6,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 668 | $6,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 612 | $6,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 572 | $6,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 10,480 | $6,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 10,412 | $6,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 699 | $5,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 623 | $5,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 49 | $5,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,086 | $5,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 429 | $5,000 | thousands by filing date | |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 968 | $5,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 6,550 | $5,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,431 | $5,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 2,409 | $5,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 5,000 | $5,000 | thousands by filing date | principal |
| BEYOND AIR INC | 08862L103 | COM | 1,000 | $5,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $5,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 14,720 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 450 | $5,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 11,436 | $5,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,630 | $5,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 284 | $5,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,701 | $5,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 2,000 | $5,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 192 | $5,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,111 | $5,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 14,250 | $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 | 1,300 | $5,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 1,050 | $5,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 14,758 | $5,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 1,930 | $4,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,017 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 100 | $4,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 151 | $4,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 328 | $4,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,075 | $4,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 2,084 | $4,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 113 | $4,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 278 | $4,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 542 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,253 | $4,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 101 | $4,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 2,500 | $4,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 480 | $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 | 4,426 | $4,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,740 | $4,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,773 | $4,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 339 | $4,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 1,000 | $4,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 4,076 | $4,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 3,899 | $4,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $4,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 1,183 | $4,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 563 | $4,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q204 | ADR | 1,134 | $4,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 3,670 | $4,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 7,658 | $4,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 361 | $4,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 2,196 | $4,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 6,592 | $4,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 122 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 75 | $3,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 814 | $3,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,451 | $3,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 138 | $3,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 500 | $3,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 150 | $3,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 369 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 1,153 | $3,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 900 | $3,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 117 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 54 | $3,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $3,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 100 | $3,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 1,511 | $3,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,001 | $3,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 144 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,000 | $3,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 2,000 | $3,000 | thousands by filing date | principal |
| HMN FINL INC | 40424G108 | COM | 150 | $3,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 270 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 95 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,137 | $3,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 695 | $3,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 668 | $3,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 91 | $3,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22542d316 | COM | 20 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 107 | $3,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 200 | $3,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 6,850 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 12,519 | $3,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 1,000 | $3,000 | thousands by filing date | principal |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 2,600 | $3,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 333 | $3,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 190 | $3,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 533 | $3,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 327 | $3,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 1,090 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 561 | $2,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 42 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 1,725 | $2,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 262 | $2,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,500 | $2,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 635 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 50 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,528 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,086 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 500 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 83 | $2,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 1,132 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-20-000215 | this filing | 2020-02-14 | acceptance time not in the bulk data set |