13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-10, with 5,068 holding rows worth $1,885,689,636,000.
- Accession
- 0001086364-17-000071
- Filer
- CIK 1364742
- Filed
- 2017-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A combination report, 43,880 entries on the cover page, a total value of $1,885,689,636,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,885,689,634,000 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 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 |
|---|---|---|---|---|---|---|
| LEAF GROUP LTD | 52177G102 | COM | 566,315 | $4,417,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 127,951 | $4,388,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,236,327 | $4,388,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 439,291 | $4,350,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 159,473 | $4,344,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 362,902 | $4,340,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 539,526 | $4,333,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 249,835 | $4,322,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 280,636 | $4,304,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 416,821 | $4,269,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 577,525 | $4,256,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 188,924 | $4,251,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 97,956 | $4,241,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 303,530 | $4,237,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 326,741 | $4,231,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,416,930 | $4,224,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 252,000 | $4,181,000 | thousands by filing date | put |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 153,516 | $4,152,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 139,000 | $4,151,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 1,868,220 | $4,147,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 76,689 | $4,136,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 129,002 | $4,115,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 1,039,099 | $4,074,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 2,396,440 | $4,050,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 37,458 | $4,048,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 91,045 | $4,003,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 227,099 | $3,997,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 2,464,607 | $3,993,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 955,000 | $3,987,000 | thousands by filing date | principal |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 126,789 | $3,981,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 103,911 | $3,959,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,552,285 | $3,957,000 | thousands by filing date | |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 5,000,000 | $3,938,000 | thousands by filing date | principal |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 809,511 | $3,934,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 254,061 | $3,915,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 200,806 | $3,906,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 896,126 | $3,898,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 77,520 | $3,889,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 239,399 | $3,848,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 185,509 | $3,844,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 105,722 | $3,831,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 398,222 | $3,827,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 265,008 | $3,827,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,735,516 | $3,817,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 119,100 | $3,806,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 2,175,330 | $3,785,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 742,306 | $3,748,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 152,256 | $3,730,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 227,750 | $3,715,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 3,759,000 | $3,687,000 | thousands by filing date | principal |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 800,823 | $3,683,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 103,345 | $3,658,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 543,361 | $3,580,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 484,269 | $3,579,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 268,812 | $3,575,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 698,675 | $3,542,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 471,152 | $3,529,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 162,449 | $3,522,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 17,867 | $3,513,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,058,241 | $3,492,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 351,923 | $3,487,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 491,182 | $3,463,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 69,025 | $3,451,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 5,642,043 | $3,430,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 621,092 | $3,416,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 253,255 | $3,406,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 170,022 | $3,397,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 506,729 | $3,370,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 1,676,000 | $3,305,000 | thousands by filing date | principal |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 85,243 | $3,303,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 80,150 | $3,285,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 38,080 | $3,276,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 197,924 | $3,273,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 415,659 | $3,266,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 244,883 | $3,257,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 997,000 | $3,252,000 | thousands by filing date | principal |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,158,930 | $3,244,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 101,624 | $3,218,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 288,362 | $3,216,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 338,338 | $3,203,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 60,200 | $3,201,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 40,891 | $3,187,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 2,433,000 | $3,180,000 | thousands by filing date | principal |
| Akoustis Technologies Inc | 00973N102 | COM | 362,895 | $3,172,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 129,000 | $3,166,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 128,400 | $3,164,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 116,182 | $3,161,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 33,608 | $3,136,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 803,100 | $3,132,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 75,100 | $3,127,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 327,172 | $3,039,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 222,613 | $2,994,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 57,191 | $2,921,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 239,372 | $2,908,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 153,437 | $2,908,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 174,228 | $2,894,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 310,398 | $2,887,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 113,323 | $2,878,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 432,000 | $2,872,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 608,221 | $2,858,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 174,882 | $2,844,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 257,340 | $2,818,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 109,858 | $2,818,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 739,907 | $2,812,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 222,968 | $2,812,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 400,445 | $2,803,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 976,279 | $2,783,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 283,381 | $2,777,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 335,515 | $2,771,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 1,081,989 | $2,769,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 143,012 | $2,767,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 269,529 | $2,749,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 316,990 | $2,745,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 46,838 | $2,731,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 155,770 | $2,711,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 50,500 | $2,697,000 | thousands by filing date | put |
| COMSTOCK RES INC COM | 205768302 | Stock | 378,698 | $2,677,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 544,100 | $2,661,000 | thousands by filing date | |
| MATLIN & PARTNE | 57682V205 | Common Stock | 263,863 | $2,647,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 2,160,607 | $2,636,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 2,174,000 | $2,610,000 | thousands by filing date | principal |
| ARQULE INC | 04269E107 | COM | 2,103,629 | $2,609,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 781,773 | $2,603,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 1,959,000 | $2,591,000 | thousands by filing date | principal |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 182,735 | $2,578,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 11,550 | $2,564,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 594,697 | $2,563,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 188,629 | $2,562,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 150,455 | $2,531,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 415,872 | $2,517,000 | thousands by filing date | |
| ISHARES TR | 46435G649 | ADAPTV JPN ETF | 95,981 | $2,488,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 535,403 | $2,484,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,162,295 | $2,475,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 2,175,000 | $2,473,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 471,033 | $2,450,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 813,967 | $2,426,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 1,076,941 | $2,423,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 394,738 | $2,421,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 469,330 | $2,417,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 285,285 | $2,411,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 375,014 | $2,396,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 130,754 | $2,381,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 40,981 | $2,376,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,578,252 | $2,368,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 29,158 | $2,367,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 308,656 | $2,361,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 462,642 | $2,360,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 274,682 | $2,337,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 286,421 | $2,319,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 421,530 | $2,318,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 984,114 | $2,313,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 1,837,000 | $2,308,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,991,000 | $2,300,000 | thousands by filing date | principal |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 231,734 | $2,285,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 155,659 | $2,241,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 443,775 | $2,237,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 352,851 | $2,237,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 137,531 | $2,235,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 224,252 | $2,231,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 2,165,197 | $2,231,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 342,561 | $2,227,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 327,833 | $2,223,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,267,000 | $2,219,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 42,260 | $2,194,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,018,319 | $2,190,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 1,499,142 | $2,188,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 40,735 | $2,180,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 68,273 | $2,166,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 165,689 | $2,155,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 39,096 | $2,116,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 1,242,772 | $2,113,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,526,791 | $2,106,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 24,667 | $2,075,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 47,065 | $2,073,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 265,211 | $2,066,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 155,358 | $2,063,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 411,348 | $2,044,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 1,193,276 | $2,040,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 224,112 | $2,039,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 458,306 | $2,038,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 420,173 | $2,037,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 62,081 | $2,023,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 455,413 | $2,004,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 184,036 | $1,988,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 638,385 | $1,979,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 247,385 | $1,962,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 327,131 | $1,952,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 280,542 | $1,951,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 1,927,000 | $1,950,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 1,646,000 | $1,949,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 1,140,000 | $1,949,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 205,927 | $1,936,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 68,054 | $1,912,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 203,611 | $1,902,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 371,684 | $1,900,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 367,800 | $1,894,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 596,883 | $1,881,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 308,775 | $1,881,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 276,138 | $1,864,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 68,093 | $1,847,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 716,000 | $1,844,000 | thousands by filing date | principal |
| ATYR PHARMA INC | 002120103 | COM | 542,198 | $1,844,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 51,379 | $1,841,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 68,218 | $1,835,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 327,458 | $1,832,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 141,379 | $1,829,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 28,585 | $1,827,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 1,575,000 | $1,803,000 | thousands by filing date | principal |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 188,817 | $1,802,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 321,100 | $1,797,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 401,007 | $1,790,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 88,499 | $1,776,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 664,109 | $1,767,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 35,889 | $1,760,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 417,146 | $1,748,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 71,790 | $1,743,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 485,480 | $1,733,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 351,287 | $1,732,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 113,199 | $1,724,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 91,217 | $1,719,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 184,561 | $1,711,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 259,398 | $1,699,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 688,459 | $1,687,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 600,077 | $1,686,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 18,634 | $1,686,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 110,569 | $1,682,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 1,217,000 | $1,680,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 1,832,000 | $1,676,000 | thousands by filing date | principal |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 93,842 | $1,670,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 511,031 | $1,666,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 97,511 | $1,641,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 150,256 | $1,636,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 95,988 | $1,630,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 406,286 | $1,625,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 96,578 | $1,617,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 1,097,000 | $1,611,000 | thousands by filing date | principal |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 847,964 | $1,611,000 | thousands by filing date | |
| ISHARES TR | 46435G664 | ADAPTV EUR ETF | 58,989 | $1,607,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 162,879 | $1,601,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 564,204 | $1,586,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 86,570 | $1,585,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 31,323 | $1,582,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 28,013 | $1,581,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 583,793 | $1,577,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 21,642 | $1,560,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 137,850 | $1,559,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 51,583 | $1,555,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 37,293 | $1,548,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 34,439 | $1,546,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 538,620 | $1,524,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 1,325,000 | $1,514,000 | thousands by filing date | principal |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 648,000 | $1,512,000 | thousands by filing date | principal |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 102,956 | $1,505,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 246,971 | $1,504,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 96,683 | $1,483,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 11,826 | $1,462,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 647,251 | $1,450,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 108,036 | $1,438,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 154,059 | $1,438,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 273,692 | $1,437,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 913,460 | $1,435,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 109,279 | $1,422,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 273,439 | $1,422,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 583,812 | $1,419,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 531,761 | $1,415,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 355,011 | $1,403,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 1,017,000 | $1,403,000 | thousands by filing date | principal |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 650,347 | $1,398,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 26,832 | $1,396,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 1,433,231 | $1,391,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 986,125 | $1,390,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 295,239 | $1,388,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 408,000 | $1,387,000 | thousands by filing date | principal |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 115,259 | $1,375,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 4,677 | $1,374,000 | thousands by filing date | |
| LIBERTY INTERACTIVE LLC | 530610AD6 | NOTE 1.750% 9/1 | 1,187,000 | $1,357,000 | thousands by filing date | principal |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 26,603 | $1,356,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 987,218 | $1,333,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 48,188 | $1,326,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 362,841 | $1,325,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 312,344 | $1,321,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 25,763 | $1,313,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 101,708 | $1,310,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 372,476 | $1,307,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 81,704 | $1,284,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 128,612 | $1,283,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 386,769 | $1,281,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 441,104 | $1,280,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 1,018,601 | $1,272,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 326,756 | $1,268,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 2,480,771 | $1,265,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 63,243 | $1,262,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 388,157 | $1,253,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 239,828 | $1,243,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 79,455 | $1,239,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 49,097 | $1,228,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 356,108 | $1,221,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 106,000 | $1,219,000 | thousands by filing date | put |
| CHAMPION HOMES INC | 830830105 | COM | 201,555 | $1,213,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 61,208 | $1,209,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,288,808 | $1,205,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 689,000 | $1,205,000 | thousands by filing date | principal |
| MEI PHARMA INC | 55279B202 | COM NEW | 501,696 | $1,199,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 38,248 | $1,198,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 102,278 | $1,198,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 513,778 | $1,197,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 273,952 | $1,197,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 87,118 | $1,194,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 1,407,270 | $1,194,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 166,131 | $1,194,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 16,398 | $1,189,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 812,000 | $1,187,000 | thousands by filing date | principal |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 438,133 | $1,183,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 98,296 | $1,174,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 181,942 | $1,170,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 158,925 | $1,169,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 289,849 | $1,166,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,074,286 | $1,161,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 1,117,000 | $1,159,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 1,202,000 | $1,158,000 | thousands by filing date | principal |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 368,075 | $1,152,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 408,000 | $1,137,000 | thousands by filing date | principal |
| VIDEOCON D2H LTD | 92657J101 | ADR | 116,669 | $1,137,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 355,601 | $1,131,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 640,347 | $1,122,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 1,012,000 | $1,118,000 | thousands by filing date | principal |
| VITAL THERAPIES INC | 92847R104 | COM | 385,051 | $1,116,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 1,331,350 | $1,106,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 35,185 | $1,096,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,096,332 | $1,096,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 321,873 | $1,095,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 298,849 | $1,090,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 60,681 | $1,085,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 217,928 | $1,074,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 232,225 | $1,073,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 1,327,612 | $1,068,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 1,034,459 | $1,055,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 801,000 | $1,050,000 | thousands by filing date | principal |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 800,357 | $1,048,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 181,324 | $1,045,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 762,950 | $1,045,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 1,100,000 | $1,039,000 | thousands by filing date | principal |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 513,000 | $1,039,000 | thousands by filing date | principal |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 172,319 | $1,034,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 197,699 | $1,027,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 353,539 | $1,014,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 26,000 | $1,012,000 | thousands by filing date | call |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 75,429 | $1,011,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 74,197 | $1,008,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 502,683 | $1,006,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 791,000 | $1,001,000 | thousands by filing date | principal |
| HUDSON GLOBAL INC | 443787106 | COM | 739,754 | $991,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 740,705 | $986,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 471,801 | $981,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,700 | $976,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 997,000 | $976,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 873,000 | $970,000 | thousands by filing date | principal |
| ROSETTA RES INC COM | 777385105 | Stock | 116,057 | $968,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 485,928 | $962,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 710,000 | $961,000 | thousands by filing date | principal |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 7,796 | $960,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 884,000 | $960,000 | thousands by filing date | principal |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 11,162 | $958,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 385,748 | $953,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 937,000 | $950,000 | thousands by filing date | principal |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 457,272 | $946,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 59,474 | $945,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 53,670 | $941,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 15,032 | $937,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 710,455 | $916,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 109,134 | $901,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 10,627 | $900,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 773,000 | $897,000 | thousands by filing date | principal |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 276,386 | $893,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 833,000 | $886,000 | thousands by filing date | principal |
| GTX INC DEL | 40052B207 | COM NEW | 167,535 | $885,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 872,000 | $881,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 330,266 | $879,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 927,000 | $875,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 496,133 | $868,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 209,014 | $867,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 394,247 | $859,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 120,970 | $857,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 117,989 | $850,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 27,152 | $846,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 337,966 | $845,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 128,500 | $844,000 | thousands by filing date | call |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 648,000 | $842,000 | thousands by filing date | principal |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 26,379 | $836,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 86,671 | $836,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 327,771 | $836,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 917,000 | $835,000 | thousands by filing date | principal |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 205,280 | $825,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 100,349 | $823,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 758,000 | $813,000 | thousands by filing date | principal |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 648,000 | $812,000 | thousands by filing date | principal |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 92,508 | $810,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 32,417 | $809,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 633,000 | $807,000 | thousands by filing date | principal |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 173,463 | $806,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 677,000 | $805,000 | thousands by filing date | principal |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 222,649 | $801,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 114,204 | $798,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 43,031 | $798,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 294,965 | $796,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 623,000 | $796,000 | thousands by filing date | principal |
| QAD INC-B | 74727D207 | Common | 29,459 | $793,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 317,652 | $792,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 271,142 | $791,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 126,569 | $785,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 216,452 | $779,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 936,480 | $777,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 750,000 | $772,000 | thousands by filing date | principal |
| PULMATRIX INC | 74584P103 | COM | 323,834 | $772,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 185,303 | $769,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 25,789 | $766,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 717,000 | $760,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 174,652 | $760,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 550,000 | $751,000 | thousands by filing date | principal |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 12,153 | $744,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 72,728 | $743,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 28,989 | $742,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 596,946 | $740,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 205,303 | $739,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 90,091 | $738,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 604,130 | $737,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 732,000 | $735,000 | thousands by filing date | principal |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 548,000 | $733,000 | thousands by filing date | principal |
| OVASCIENCE INC | 69014Q101 | COM | 467,532 | $729,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 304,126 | $722,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 484,213 | $721,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 83,932 | $718,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 1,137,081 | $713,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 837,000 | $712,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 379,000 | $711,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 641,000 | $699,000 | thousands by filing date | principal |
| SESEN BIO, INC. | 286221106 | COM | 445,404 | $699,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 159,955 | $696,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 29,323 | $694,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 408,000 | $691,000 | thousands by filing date | principal |
| MASTECH HLDGS INC | 57633B100 | COM | 105,816 | $685,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 658,000 | $678,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 52,900 | $675,000 | thousands by filing date | put |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 7,654 | $670,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 9,875 | $667,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 313,448 | $659,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 1,162,408 | $658,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 648,000 | $658,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 673,000 | $656,000 | thousands by filing date | principal |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 5,876 | $655,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 224,904 | $653,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 656,000 | $643,000 | thousands by filing date | principal |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 337,563 | $641,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 508,000 | $640,000 | thousands by filing date | principal |
| ISHARES TR | 46435G805 | MSCI MEXICO | 30,000 | $640,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 598,000 | $638,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 455,000 | $636,000 | thousands by filing date | principal |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 58,500 | $635,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 1,214,869 | $634,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 917,000 | $633,000 | thousands by filing date | principal |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 129,201 | $631,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 5,352 | $630,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,596,771 | $627,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 346,728 | $626,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 77,626 | $626,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 329,384 | $625,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 550,000 | $624,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 563,000 | $622,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 633,000 | $616,000 | thousands by filing date | principal |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 89,124 | $615,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 562,000 | $606,000 | thousands by filing date | principal |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 45,000 | $599,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 44,541 | $596,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 39,813 | $596,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 600,000 | $596,000 | thousands by filing date | principal |
| WALTER INVT MGMT CORP | 93317W102 | COM | 627,246 | $594,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 577,000 | $594,000 | thousands by filing date | principal |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 7,293 | $588,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 10,165 | $587,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 223,201 | $587,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 557,000 | $583,000 | thousands by filing date | principal |
| GENERAL MILLS INC COM | 370334104 | Stock | 10,500 | $581,000 | thousands by filing date | call |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 1,566,551 | $579,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 30,442 | $575,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 404,000 | $575,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 573,000 | $574,000 | thousands by filing date | principal |
| Vanguard Growth | 922908736 | COM | 4,511 | $573,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 598,000 | $567,000 | thousands by filing date | principal |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 130,111 | $564,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 563,000 | $561,000 | thousands by filing date | principal |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 113,669 | $560,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 37,610 | $560,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 3,500 | $559,000 | thousands by filing date | put |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 458,000 | $556,000 | thousands by filing date | principal |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 19,807 | $554,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 107,362 | $554,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 343,247 | $550,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 558,000 | $548,000 | thousands by filing date | principal |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 874,313 | $547,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 508,000 | $546,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-17-000071 | this filing | 2017-08-10 | acceptance time not in the bulk data set |