13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 5,010 holding rows worth $1,981,844,815,000.
- Accession
- 0001086364-17-000128
- Filer
- CIK 1364742
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A combination report, 43,326 entries on the cover page, a total value of $1,981,844,815,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,981,844,815,000 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 |
|---|---|---|---|---|---|---|
| NEVSUN RES LTD | 64156L101 | COM | 19,617 | $43,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 31,547 | $43,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,461 | $42,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 1,184 | $42,000 | thousands by filing date | |
| TapImmune Inc | 876033408 | COM | 13,834 | $42,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 161 | $41,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 30,524 | $41,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203101 | COM | 77,995 | $41,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 15,981 | $41,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 30,550 | $41,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 820 | $39,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,495 | $39,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 15,525 | $39,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 5,424 | $38,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 12,556 | $38,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 900 | $37,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,035 | $36,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 5,014 | $35,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 232 | $35,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 988 | $35,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 8,015 | $35,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 18,730 | $34,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 21,521 | $34,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 7,520 | $34,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,187 | $33,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 8,995 | $33,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 4,730 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 850 | $32,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 247 | $31,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,443 | $31,000 | thousands by filing date | |
| RESHAPE LIFESCIENCES INC NEW | 29365M505 | Common Stock | 17,668 | $31,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 3,870 | $31,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 1,547 | $31,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255708 | COM PAR | 15,291 | $31,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 59,617 | $31,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 330 | $30,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 7,817 | $30,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 3,875 | $30,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 4,116 | $30,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 796 | $29,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 10,983 | $29,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 616 | $29,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,470 | $29,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 1,480 | $29,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 524 | $28,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,624 | $28,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 5,718 | $28,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 19,179 | $28,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 1,425 | $28,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 10,601 | $28,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 20,390 | $28,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 77,259 | $28,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 94,494 | $28,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,443 | $27,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 510 | $27,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 1,466 | $27,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 10,646 | $27,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 78,199 | $27,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 308 | $26,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 406 | $26,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 7,095 | $26,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 1,125 | $26,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 5,409 | $26,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,178 | $26,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 4,004 | $26,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 15,325 | $26,000 | thousands by filing date | |
| DIGILITI MONEY GROUP INC | 25381F102 | COM | 24,073 | $26,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 217 | $25,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 250 | $25,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,010 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 1,451 | $25,000 | thousands by filing date | |
| WOLVERINE BANCORP INC | 977880103 | COM | 576 | $25,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,623 | $25,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 35,653 | $25,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 3,461 | $25,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 500 | $24,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 20,599 | $24,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 1,500 | $24,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 637 | $24,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 1,230 | $24,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 8,000 | $24,000 | thousands by filing date | principal |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,654 | $23,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 714 | $23,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 7,382 | $23,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 24,793 | $23,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 770 | $22,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 307 | $22,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 447 | $22,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 640 | $22,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 1,706 | $22,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,723 | $22,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 6,929 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 242 | $22,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 14,044 | $22,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 913 | $21,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 120 | $21,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 1,157 | $21,000 | thousands by filing date | |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 10,456 | $21,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 242 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 89 | $20,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 14,002 | $20,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 1,110 | $20,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 1,318 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 696 | $20,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 6,136 | $20,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 246 | $19,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 117 | $19,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 64,210 | $19,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 1,249 | $19,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 8,573 | $19,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 620 | $19,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 3,049 | $19,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 303 | $19,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 913 | $19,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,871 | $19,000 | thousands by filing date | |
| MELROSE BANCORP INC | 585553100 | COM | 983 | $19,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 2,626 | $18,000 | thousands by filing date | |
| BIOPTIX INC | 09074N101 | COM | 3,556 | $18,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 47,029 | $18,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 2,942 | $18,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 10,561 | $18,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 8,000 | $18,000 | thousands by filing date | principal |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,016 | $17,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 3,678 | $17,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 695 | $17,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 13,286 | $17,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 4,106 | $17,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 154 | $16,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,665 | $16,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 106,886 | $16,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C201 | COM | 78,405 | $16,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 5,380 | $16,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 8,264 | $16,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 23,768 | $16,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 412 | $15,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 298 | $15,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,295 | $15,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,800 | $15,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 533 | $15,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 3,860 | $15,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 16,610 | $14,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 448 | $14,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 500 | $14,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 499 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 348 | $14,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 4,009 | $14,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 651 | $14,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 14,975 | $14,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 462 | $13,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 1,300 | $13,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,402 | $13,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 8,843 | $13,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 1,052 | $13,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 15,410 | $13,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 4,820 | $13,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 36,436 | $13,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 275 | $12,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 3,025 | $12,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,039 | $12,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 938 | $12,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 24,083 | $12,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 115 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 227 | $11,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 850 | $11,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 775 | $11,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 1,017 | $11,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 21,251 | $11,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 3,603 | $11,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 4,931 | $11,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 180 | $10,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 85 | $10,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 200 | $10,000 | thousands by filing date | put |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 500 | $10,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 90 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 174 | $10,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 1,300 | $10,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 113 | $10,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 11,476 | $10,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 194 | $10,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 200 | $10,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 686 | $10,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 1,030 | $10,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 11,354 | $10,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 4,638 | $10,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 5,290 | $10,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 105 | $9,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 1,012 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 220 | $9,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 266 | $9,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 139 | $9,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 9,913 | $9,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,200 | $9,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 14,803 | $9,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 6,905 | $9,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 7,071 | $9,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 10,814 | $9,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 4,000 | $9,000 | thousands by filing date | principal |
| PRESBIA PLC | G7234P100 | SHS | 2,007 | $9,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 84 | $8,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 100 | $8,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 900 | $8,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 140 | $8,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 322 | $8,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 665 | $8,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 537 | $8,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 687 | $8,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 3,525 | $8,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 8,000 | $8,000 | thousands by filing date | principal |
| Medovex Corp | 58504H101 | COM | 6,961 | $8,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 82 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 174 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 127 | $7,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 246 | $7,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 7,462 | $7,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 170 | $7,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 177 | $7,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 6,972 | $7,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 3,978 | $7,000 | thousands by filing date | |
| Jacksonville Bancorp, Inc. (IL) | 46924R106 | Common Stock | 232 | $7,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 535 | $7,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 267 | $7,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 368 | $7,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 524 | $7,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 4,758 | $7,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 90 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 127 | $6,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 58 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 60 | $6,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 3,918 | $6,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 210 | $6,000 | thousands by filing date | |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 7,522 | $6,000 | thousands by filing date | |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 3,190 | $6,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 8,000 | $6,000 | thousands by filing date | principal |
| LM FDG AMER INC | 502074107 | COM | 3,327 | $6,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 226 | $5,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 164 | $5,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 75 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 77 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 124 | $5,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 100 | $5,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 736 | $5,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 222 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 1,852 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 178 | $5,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 3,709 | $5,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 519 | $5,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 689 | $5,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 152 | $5,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 13,503 | $5,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 356 | $5,000 | thousands by filing date | |
| ICC HOLDINGS INC | 44931Q104 | COM | 265 | $5,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 13,303 | $5,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 800 | $5,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 10,902 | $5,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 13200M102 | Stock | 26,984 | $5,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 33 | $4,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 32 | $4,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 109 | $4,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 605 | $4,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 655 | $4,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 28 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 100 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 80 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 39 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 99 | $4,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 3,661 | $4,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 283 | $4,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 117 | $4,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 11,476 | $4,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 10,458 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 132 | $4,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 750 | $4,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 99 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 665 | $4,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 175 | $4,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 3,063 | $4,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 885 | $4,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 249 | $4,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 11,706 | $4,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 135 | $4,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 136 | $4,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 664 | $4,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 364 | $4,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 6,794 | $4,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 3,032 | $4,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 8,040 | $4,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 8,242 | $4,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 67 | $3,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 22 | $3,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 22 | $3,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 29 | $3,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 24 | $3,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 20 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 111 | $3,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 200 | $3,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 24 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 68 | $3,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 30 | $3,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 44 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 5,000 | $3,000 | thousands by filing date | principal |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 2,014 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 126 | $3,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 24 | $3,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 320 | $3,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 113 | $3,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 100 | $3,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 7,995 | $3,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 59 | $3,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 7,536 | $3,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 134 | $3,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 185 | $3,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 111 | $3,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 3,725 | $3,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 124 | $3,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 121 | $3,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 124 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 134 | $3,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 199 | $3,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,364 | $3,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 3,074 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 123 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 134 | $3,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 124 | $3,000 | thousands by filing date | |
| RMG NETWORKS HLDG CORP | 74966K300 | COM NEW | 1,604 | $3,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 10,458 | $3,000 | thousands by filing date | |
| TEARLAB CORP | 878193200 | COM | 2,326 | $3,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 30 | $2,000 | thousands by filing date | |
| MGC | 921910873 | COM | 19 | $2,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 14 | $2,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 300 | $2,000 | thousands by filing date | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 36 | $2,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 100 | $2,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 34 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 19 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 11 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 52 | $2,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 100 | $2,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 29 | $2,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 200 | $2,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 478 | $2,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 21 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 32 | $2,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 311 | $2,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 519 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 709 | $2,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 90 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 56 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 38 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 53 | $2,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 622 | $2,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 229 | $2,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 360 | $2,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 43 | $2,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 708 | $2,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 836 | $2,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 510 | $2,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 24 | $2,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 104 | $2,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 147 | $2,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 708 | $2,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 7,047 | $2,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 237 | $2,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 4,656 | $2,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 303 | $2,000 | thousands by filing date | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 643 | $2,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 1,563 | $2,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 4,088 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 123 | $2,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 100 | $2,000 | thousands by filing date | |
| REVEN HSG REIT INC | 761378207 | COM NEW | 477 | $2,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 317 | $2,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 620 | $2,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 3,588 | $2,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 25 | $1,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 54 | $1,000 | thousands by filing date | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 43 | $1,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 18 | $1,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 15 | $1,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 5 | $1,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 13 | $1,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 48 | $1,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 10 | $1,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 201 | $1,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 443 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 23 | $1,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 7 | $1,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 25 | $1,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 11 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 12 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 20 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 11 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 59 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 12 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 7 | $1,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 703 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 76 | $1,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 7 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 42 | $1,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 100 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 42 | $1,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 17 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 42 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 14 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 257 | $1,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 304 | $1,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 622 | $1,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 222 | $1,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 131 | $1,000 | thousands by filing date | |
| INCOME OPPORTUNITY RLTY INVS | 452926108 | COM | 108 | $1,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 42 | $1,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 42 | $1,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 42 | $1,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 18 | $1,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 771 | $1,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 800 | $1,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 24 | $1,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 40 | $1,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 113 | $1,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 285 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 25 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 35 | $1,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 10 | $1,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 5 | $1,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 26 | $1,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 39 | $1,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 8,000 | $1,000 | thousands by filing date | principal |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 22 | $1,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 869 | $1,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 905 | $1,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 226 | $1,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 374 | $1,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 3,159 | $1,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 230 | $1,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 1,000 | $1,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 568 | $1,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 877 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 1,441 | $1,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 796 | $1,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 597 | $1,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 7,054 | $1,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 4,074 | $1,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 984 | $1,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 729 | $1,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 4,646 | $1,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 1,455 | $1,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 908 | $1,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 865 | $1,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 635 | $1,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 460 | $1,000 | thousands by filing date | |
| MAGNEGAS CORP COM PAR | 55939L301 | Stock | 1,374 | $1,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOKIA CORP | 654902204 | SPONSORED ADR | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SASOL LTD | 803866300 | SPONSORED ADR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 75 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES | 73935X286 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URBAN ONE INC | 91705J105 | CL A | 233 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GSV CAPITAL CORP | 36191J101 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 202 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 1,826 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VOXELJET AG | 92912L107 | ADS | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A804 | COM PAR | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHF SOLUTIONS INC | 12542Q102 | COM | 190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 672 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIVEO CORP CDA | 17878Y108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 47,320 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 307 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPHERIX INC | 84842R403 | COM PAR NEW | 238 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 74 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-17-000128 | this filing | 2017-11-14 | acceptance time not in the bulk data set |