13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-12, with 5,061 holding rows worth $1,821,755,576,000.
- Accession
- 0001086364-17-000069
- Filer
- CIK 1364742
- Filed
- 2017-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A combination report, 43,430 entries on the cover page, a total value of $1,821,755,576,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,821,755,576,000 with VALUE read as thousands by filing date, 13F file number 028-12019. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRUSSELL FRANK CO
- reports for this filerNationwide Mutual Funds/Nationwide Fund Advisors
- reports for this filerNationwide Variable Insurance Trust and Nationwide Fund Advisors
- included managerBlackRock Financial Management, Inc.
- included managerBlackRock Investment Management (Taiwan) Limited
- included managerBlackRock Investment Management (Australia) Limited
- included managerBlackRock (Channel Islands) Limited
- included managerBlackRock Asset Management Australia Limited
- included managerBlackRock Asset Management Canada Limited
- included managerBlackRock (Isle of Man) Limited
- included managerBlackRock Fund Managers (Isle of Man) Limited
- included managerBlackRock Investments Canada, Inc.
- included managerBlackRock Asset Management International Inc
- included managerBlackRock Hong Kong Ltd
- included managerBlackRock (Singapore) Limited
- included managerBlackrock Realty Advisors, Inc.
- included managerBlackRock Asset Management North Asia Ltd
- included managerBlackRock Brasil Gestora de Investimentos Ltd.
- included managerFutureAdvisor, Inc.
- included managerBlackRock Investment Management, LLC
- included managerBlackRock Advisors LLC
- included managerBlackRock Capital Management, Inc.
- included managerBlackRock Fund Advisors
- included managerBlackRock Institutional Trust Company, N.A.
- included managerBlackRock Japan Co. Ltd
- included managerBlackRock Group LTD
- included managerBlackRock Fund Managers Limited
- included managerBlackRock Investment Management (UK) Limited
- included managerBlackRock Pensions Limited
- included managerBlackRock (Netherlands) B.V.
- included managerBlackRock International Limited
- included managerBlackRock Asset Management Ireland Limited
- included managerBlackRock Advisors (UK) Limited
- included managerBlackRock Asset Management Deutschland AG
- included managerBlackRock Asset Management Pensions Limited
- included managerBlackRock (Luxembourg) S.A.
- included managerIShares (DE) I InvAG Mit Teilgesellschaftsvermogen
- included managerBlackRock Life Limited
- included managerBlackRock Fund Management Company S.A.
- included managerBlackRock Private Equity Partners AG
- included managerBlackRock Investment Management (Korea) Ltd.
- included managerBlackRock Asset Management Schweiz AG
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 |
|---|---|---|---|---|---|---|
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 522,596 | $435,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 148,559 | $435,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 365,000 | $435,000 | thousands by filing date | principal |
| Walt Disney Co | 254687106 | COM | 3,800 | $431,000 | thousands by filing date | call |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 29,019 | $431,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 86,488 | $429,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 425,000 | $427,000 | thousands by filing date | principal |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 512,460 | $427,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 86,522 | $424,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 957,782 | $423,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 108,813 | $422,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,458 | $419,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 400,000 | $418,000 | thousands by filing date | principal |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 87,997 | $417,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701115 | WARRANT | 36,130 | $416,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 234,910 | $416,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 680,889 | $415,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 77,777 | $410,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 405,000 | $410,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 217,476 | $407,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 400,000 | $406,000 | thousands by filing date | principal |
| Cardconnect Corp | 14141X108 | COM | 30,455 | $402,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 400,000 | $401,000 | thousands by filing date | principal |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 171,887 | $400,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 390,582 | $398,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 405,000 | $397,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 355,000 | $397,000 | thousands by filing date | principal |
| Cbs Corporation Cl A New | 124857103 | CLA | 5,617 | $396,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 19,247 | $395,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 400,000 | $393,000 | thousands by filing date | principal |
| FATE THERAPEUTICS INC | 31189P102 | COM | 86,289 | $392,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 276,223 | $392,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 300,000 | $391,000 | thousands by filing date | principal |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 228,181 | $389,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 429,907 | $389,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 300,000 | $386,000 | thousands by filing date | principal |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 590,480 | $385,000 | thousands by filing date | |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 79,802 | $384,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 219,749 | $380,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 46,961 | $378,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 44,142 | $378,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 111,594 | $377,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 1,140,167 | $374,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 121,717 | $373,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 17,908 | $373,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 26,079 | $373,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 330,000 | $373,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 300,000 | $371,000 | thousands by filing date | principal |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 33,482 | $370,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 433,601 | $368,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 93,890 | $368,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 222,621 | $367,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 16,704 | $366,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 275,000 | $366,000 | thousands by filing date | principal |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 93,530 | $364,000 | thousands by filing date | |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 133,696 | $362,000 | thousands by filing date | |
| SCMP 3.25 12/21 | 864909AA4 | Bond 30/360P2 U | 365,000 | $361,000 | thousands by filing date | principal |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 795,101 | $360,000 | thousands by filing date | |
| YANDEX N.V. | 98474TAB3 | 1.125% CNV BDS 15/12/18 USD | 375,000 | $358,000 | thousands by filing date | principal |
| CRITEO S A SPONS ADS | 226718104 | ADR | 7,142 | $357,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 355,000 | $356,000 | thousands by filing date | principal |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 300,000 | $356,000 | thousands by filing date | principal |
| MIND C T I LTD | M70240102 | ORD | 145,177 | $353,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 459,405 | $351,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 59,548 | $346,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 30,573 | $345,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 38,957 | $343,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 42,200 | $342,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 86,411 | $342,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 100,811 | $342,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 310,000 | $341,000 | thousands by filing date | principal |
| SYNACOR INC | 871561106 | COM | 81,620 | $339,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 87,892 | $339,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 82,534 | $339,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 396,859 | $338,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 300,000 | $337,000 | thousands by filing date | principal |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 12,633 | $335,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 94,417 | $335,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 143,654 | $333,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 22,370 | $332,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 48,197 | $332,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 30,261 | $331,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 282,455 | $330,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 77,075 | $327,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 300,000 | $326,000 | thousands by filing date | principal |
| VBI VACCINES INC | 91822J103 | COM NEW | 59,192 | $325,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 300,000 | $325,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 300,000 | $325,000 | thousands by filing date | principal |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 5,216 | $323,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 380,000 | $323,000 | thousands by filing date | principal |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 51,189 | $321,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 187,978 | $318,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 310,000 | $318,000 | thousands by filing date | principal |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 15,402 | $314,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 20,027 | $314,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 400,000 | $313,000 | thousands by filing date | principal |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 79,801 | $313,000 | thousands by filing date | |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 375,000 | $311,000 | thousands by filing date | principal |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 37,749 | $308,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 300,000 | $308,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 330,000 | $308,000 | thousands by filing date | principal |
| ENERGY FUELS INC | 292671708 | COM NEW | 141,540 | $307,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 24,709 | $307,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 45,981 | $307,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 325,000 | $307,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 300,000 | $306,000 | thousands by filing date | principal |
| WHEELER REIT | 963025101 | COM | 176,584 | $305,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 6,316 | $302,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 83,175 | $302,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 5,385 | $301,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 300,000 | $301,000 | thousands by filing date | principal |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 258,435 | $300,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 300,000 | $300,000 | thousands by filing date | principal |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 1,040,377 | $300,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 19,577 | $299,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 129,678 | $298,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 321,242 | $298,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 300,000 | $298,000 | thousands by filing date | principal |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 300,000 | $295,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 300,000 | $293,000 | thousands by filing date | principal |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 52,681 | $292,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 245,000 | $292,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 255,000 | $291,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 255,000 | $291,000 | thousands by filing date | principal |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 15,374 | $284,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 4,746 | $283,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 12,323 | $283,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 300,000 | $282,000 | thousands by filing date | principal |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 250,000 | $282,000 | thousands by filing date | principal |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 34,531 | $281,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 26,437 | $281,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 30,766 | $280,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 7,822 | $279,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 34,743 | $277,000 | thousands by filing date | |
| SUNTRUST BKS INC | 867914111 | *W EXP 11/14/201 | 20,654 | $274,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 7,942 | $271,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 15,153 | $271,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 5,432 | $270,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 192,677 | $269,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 300,000 | $269,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 493,946 | $269,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,807 | $268,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 16,882 | $268,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 223,539 | $268,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 318,551 | $267,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 270,000 | $267,000 | thousands by filing date | principal |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 91,169 | $266,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 177,485 | $263,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 47,491 | $262,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 19,114 | $261,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 3,810 | $261,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767EAB8 | NOTE 2.000 8/1 | 325,000 | $260,000 | thousands by filing date | principal |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 12,204 | $258,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 25,953 | $257,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 30,797 | $257,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 10,987 | $257,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 116,122 | $256,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 31,097 | $256,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 16,885 | $255,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 245,000 | $253,000 | thousands by filing date | principal |
| BOVIE MEDICAL CORP | 10211F100 | COM | 94,900 | $253,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 12,957 | $253,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 8,405 | $252,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 24,807 | $251,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 33,979 | $250,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 270,000 | $250,000 | thousands by filing date | principal |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 319,053 | $249,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 250,000 | $249,000 | thousands by filing date | principal |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 10,250 | $248,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 3,900 | $248,000 | thousands by filing date | put |
| MOSYS INC | 619718208 | COM NEW | 118,907 | $248,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 15,600 | $246,000 | thousands by filing date | put |
| Schwab US TIPS ETF | 808524870 | SHS | 4,415 | $245,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 74,118 | $242,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,791 | $241,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 87,208 | $241,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 2,171 | $240,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 22,617 | $239,000 | thousands by filing date | |
| ALLERGAN PLC | SBY9D5468 | OPTIONS | 1,000 | $239,000 | thousands by filing date | call |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 245,000 | $238,000 | thousands by filing date | principal |
| RANDOLPH BANCORP INC | 752378109 | COM | 15,300 | $237,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 18,405 | $234,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 56,227 | $234,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 89,592 | $233,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 22,186 | $233,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 54,430 | $232,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 17,028 | $231,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 35,545 | $229,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 448,008 | $229,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 1,829,012 | $225,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 31,604 | $224,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 196,091 | $224,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 610,141 | $224,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 29,951 | $223,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 72,901 | $220,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 230,000 | $217,000 | thousands by filing date | principal |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 50,389 | $217,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 10,796 | $216,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 100,000 | $216,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 28,594 | $214,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,801 | $213,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 20,573 | $213,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 80,390 | $212,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 2,464,010 | $211,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 36,965 | $209,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 134,260 | $208,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 412,943 | $207,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 20,715 | $206,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 200,000 | $205,000 | thousands by filing date | principal |
| HP INC COM | 40434L105 | Stock | 11,300 | $202,000 | thousands by filing date | call |
| ARK RESTAURANTS CORP | 040712101 | COM | 7,994 | $202,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 17,135 | $202,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 2,099 | $201,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 329,025 | $199,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 27,596 | $198,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 62,483 | $197,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 144,370 | $196,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 28,862 | $195,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 39,333 | $195,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 75,000 | $195,000 | thousands by filing date | principal |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 206,081 | $194,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 216,796 | $194,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 107,709 | $193,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 14,504 | $192,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 12,385 | $191,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 77,136 | $190,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 48,461 | $189,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 2,361 | $188,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 10,340 | $188,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 63,655 | $188,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 1,836 | $187,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 123,278 | $187,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 21,144 | $186,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 108,497 | $186,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 34,593 | $184,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 3,860 | $182,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 8,763 | $182,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 33,140 | $180,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 332,837 | $180,000 | thousands by filing date | principal |
| Blackrock 2022 Global In | 09258P104 | ETF | 17,919 | $179,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,322 | $178,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 97,549 | $176,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 35,095 | $175,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 86,635 | $172,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 89,604 | $171,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 72,893 | $171,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 81,924 | $171,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 21,387 | $169,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 480,249 | $169,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 22,419 | $168,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 3,712 | $167,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 40,575 | $167,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 5,900 | $165,000 | thousands by filing date | put |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 34,727 | $165,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 7,184 | $164,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 14,500 | $162,000 | thousands by filing date | call |
| FULL HSE RESORTS INC | 359678109 | COM | 66,786 | $162,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 137,413 | $162,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 3,700 | $159,000 | thousands by filing date | call |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 32,960 | $159,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 8,135 | $158,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 30,979 | $158,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 42,059 | $158,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 60,000 | $158,000 | thousands by filing date | principal |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 5,000 | $155,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 32,284 | $154,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 105,728 | $153,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 109,450 | $153,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 152,906 | $151,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 64,485 | $149,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 52,553 | $149,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,000 | $146,000 | thousands by filing date | put |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 17,496 | $143,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 1,154 | $142,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 20,540 | $142,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 5,390 | $141,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1,866 | $141,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 125,640 | $141,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 69,846 | $140,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 102,302 | $139,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q102 | CL A | 13,881 | $139,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 40,363 | $137,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 49,526 | $136,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 136,580 | $136,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 27,203 | $136,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 32,851 | $136,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 24,882 | $134,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 26,690 | $134,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 34,617 | $133,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 7,829 | $132,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 1,674 | $130,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 41,803 | $130,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 138,953 | $129,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 49,630 | $128,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 7,401 | $127,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 8,021 | $126,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 11,619 | $125,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 20,986 | $124,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 1,199 | $123,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 132,645 | $123,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 2,008 | $121,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 4,151 | $118,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 11,117 | $118,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 41,407 | $117,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 1,293 | $116,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 4,594 | $115,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 30,003 | $113,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 4,604 | $113,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 15,155 | $113,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 94,350 | $113,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 63,510 | $113,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 5,118 | $112,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 3,276 | $111,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 41,091 | $111,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 327,660 | $110,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 20,305 | $109,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 1,445 | $108,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 25,454 | $107,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 21,691 | $107,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 13,224 | $107,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 25,302 | $106,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 49,230 | $105,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 12,924 | $105,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 6,786 | $103,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 193,755 | $103,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 13,976 | $102,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 3,539 | $101,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q260 | IPATH S&P MT ETN | 3,834 | $101,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 14,698 | $100,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 21,093 | $100,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 12,534 | $99,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 96,912 | $97,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 226,845 | $97,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 23,457 | $97,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 5,600 | $96,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 3,603 | $96,000 | thousands by filing date | |
| VELOCITYSHARES INV VIX SH-TM | 22542D795 | INVR | 1,317 | $96,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 68,734 | $96,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 83,335 | $95,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 294,218 | $94,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 658 | $93,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 19,069 | $93,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 206,352 | $93,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 2,808 | $93,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 52,361 | $93,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 41,468 | $92,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 40,167 | $92,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 3,202 | $92,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 29,718 | $92,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 3,400 | $90,000 | thousands by filing date | call |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 7,226 | $90,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 3,048 | $90,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 63,971 | $90,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 1,640 | $89,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 9,459 | $89,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 27,422 | $89,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 70,394 | $88,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 13,100 | $87,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 8,748 | $87,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 13,074 | $86,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 100,000 | $85,000 | thousands by filing date | principal |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 60,059 | $85,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 3,343 | $84,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 1,500 | $83,000 | thousands by filing date | put |
| EDUCATIONAL DEV CORP | 281479105 | COM | 12,258 | $83,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 41,827 | $83,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 44,855 | $83,000 | thousands by filing date | |
| TRANSOCEAN LTD | SB3KFWW16 | OPTIONS | 6,700 | $83,000 | thousands by filing date | call |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 591 | $82,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 62,374 | $82,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 721 | $81,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 3,728 | $81,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 7,656 | $81,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 129,632 | $81,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 41,486 | $80,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 55,354 | $80,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3,752 | $80,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 38,469 | $80,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 561 | $79,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 22,580 | $79,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M205 | STOCK UNIT | 6,800 | $79,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 19,446 | $78,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 4,930 | $78,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 56,395 | $78,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 1,322 | $77,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 46,465 | $77,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 4,988 | $76,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 36,089 | $75,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 3,558 | $75,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 7,306 | $75,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 33,227 | $75,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 1,500 | $74,000 | thousands by filing date | put |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 1,500 | $74,000 | thousands by filing date | call |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 3,395 | $74,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 6,080 | $74,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 4,226 | $74,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 6,989 | $74,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 14,503 | $72,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 3,398 | $72,000 | thousands by filing date | |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L109 | UNIT 99/99/9999 | 7,000 | $72,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 4,024 | $71,000 | thousands by filing date | |
| SYNLOGIC | 60470J103 | Stock | 32,379 | $71,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357124 | SHS | 7,100 | $71,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 507 | $70,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 38,465 | $69,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 75,000 | $69,000 | thousands by filing date | principal |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 780 | $68,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 53,567 | $68,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 2,249 | $67,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,124 | $67,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 60,092 | $67,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 14,393 | $67,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 1,895 | $66,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 3,093 | $66,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 60,140 | $66,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 64,039 | $66,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 3,120 | $66,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 1,505 | $65,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 22,786 | $65,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 19,197 | $65,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 9,035 | $64,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 156,298 | $64,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 747 | $63,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 11,838 | $63,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 6,100 | $63,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 2,924 | $62,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 7,373 | $62,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 3,373 | $62,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 6,468 | $62,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 9,678 | $62,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 1,367 | $61,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 47,888 | $61,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 46,197 | $61,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931503 | COM PAR NEW | 47,947 | $61,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,899 | $60,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 11,580 | $60,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 60,265 | $60,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,551 | $59,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 5,519 | $59,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K102 | COM | 161,118 | $59,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 5,181 | $58,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 9,194 | $58,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 14,316 | $58,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 3,237 | $57,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 548 | $57,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 1,136 | $57,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 2,336 | $57,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 13,507 | $57,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 13,932 | $57,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,552 | $56,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 37,971 | $56,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 3,544 | $56,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 3,985 | $55,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 27,018 | $55,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 6,629 | $55,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 1,323 | $54,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 48,644 | $54,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 4,239 | $54,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 3,400 | $54,000 | thousands by filing date | call |
| Capnia, Inc. | 14066L105 | Common | 77,088 | $54,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 822 | $53,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,822 | $53,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 11,179 | $53,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 104,429 | $53,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 1,630 | $52,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 2,815 | $52,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 9,591 | $52,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 4,615 | $51,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 50,000 | $50,000 | thousands by filing date | principal |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 879 | $49,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 274 | $48,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 439 | $48,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 3,992 | $48,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 35,449 | $48,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 5,291 | $48,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 4,409 | $48,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 344 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 350 | $47,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 4,900 | $47,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 58,980 | $47,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 9,416 | $46,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 2,745 | $46,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 3,465 | $46,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 34,915 | $46,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 20,390 | $46,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 26,379 | $45,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104209 | Common Stock | 52,681 | $45,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 1,200 | $44,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 2,274 | $44,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 11,374 | $44,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 43,038 | $44,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 3,040 | $42,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,234 | $42,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 646 | $41,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,461 | $41,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 10,076 | $41,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 11,448 | $41,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 26,650 | $41,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,371 | $41,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 16,044 | $41,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-17-000069 | this filing | 2017-05-12 | acceptance time not in the bulk data set |