13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-09, with 5,042 holding rows worth $2,311,120,189,000.
- Accession
- 0001086364-18-000095
- Filer
- CIK 1364742
- Filed
- 2018-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, 43,655 entries on the cover page, a total value of $2,311,120,189,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,311,120,189,000 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 Asset Management Canada Limited
- included managerBlackRock (Singapore) Limited
- 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 (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 (Luxembourg) S.A.
- included managerIShares (DE) I InvAG Mit Teilgesellschaftsvermogen
- included managerBlackRock Life Limited
- included managerBlackRock Fund Management Company S.A.
- included managerBlackRock Asset Management Schweiz AG
- included managerTennenbaum Capital Partners, LLC
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 |
|---|---|---|---|---|---|---|
| CZR | 127686103 | Stock | 500,000 | $5,125,000 | thousands by filing date | call |
| LEISURE ACQUISITION CORP | 52539T206 | UNIT 99/99/9999 | 500,000 | $5,100,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 2,786,505 | $5,099,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 339,900 | $5,098,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 211,138 | $5,088,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 304,369 | $5,083,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 4,729,829 | $5,061,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 2,200,000 | $5,049,000 | thousands by filing date | principal |
| ICONIX BRAND GROUP INC | 451055AG2 | NOTE 5.750% 8/1 | 10,000,000 | $5,000,000 | thousands by filing date | principal |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 292,130 | $4,966,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,528,947 | $4,877,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 819,477 | $4,875,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 1,127,592 | $4,859,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 102,619 | $4,847,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 57,605 | $4,811,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 459,128 | $4,790,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 532,322 | $4,785,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 138,950 | $4,752,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 85,469 | $4,698,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 81,000 | $4,688,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 1,464,519 | $4,672,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,140,738 | $4,596,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 559,787 | $4,590,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 168,400 | $4,580,000 | thousands by filing date | call |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 381,119 | $4,574,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 861,842 | $4,542,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 140,203 | $4,501,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 405,278 | $4,487,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 343,660 | $4,475,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W689 | CMN | 150,000 | $4,471,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 114,533 | $4,467,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 328,568 | $4,436,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 260,787 | $4,399,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 291,998 | $4,383,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,812,992 | $4,370,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 149,500 | $4,368,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 3,226,485 | $4,355,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 592,170 | $4,353,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 36,000 | $4,353,000 | thousands by filing date | put |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 28,225 | $4,340,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 603,953 | $4,336,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 555,238 | $4,303,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W663 | US CONSUMER FOC | 150,000 | $4,292,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 490,107 | $4,289,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 45,412 | $4,282,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 192,944 | $4,279,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 426,770 | $4,268,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 38,830 | $4,256,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 56,043 | $4,252,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 88,340 | $4,213,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 46,637 | $4,209,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 559,554 | $4,191,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 206,041 | $4,162,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 225,860 | $4,154,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 255,128 | $4,145,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 401,157 | $4,132,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 165,274 | $4,128,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W622 | INOVATIV HLTCR | 150,000 | $4,109,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 23,730 | $4,089,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 1,050,433 | $4,045,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 280,556 | $4,040,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 1,634,542 | $4,021,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 104,541 | $4,006,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 622,970 | $4,005,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 280,076 | $3,985,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 743,966 | $3,980,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 80,000 | $3,975,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 1,873,311 | $3,971,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 185,561 | $3,967,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 65,302 | $3,942,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 372,469 | $3,915,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 596,500 | $3,902,000 | thousands by filing date | put |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 248,560 | $3,895,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 540,824 | $3,894,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 275,879 | $3,862,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 438,014 | $3,832,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 188,446 | $3,819,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 113,100 | $3,808,000 | thousands by filing date | call |
| LRAD CORP | 50213V109 | COM | 1,243,976 | $3,807,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 521,249 | $3,785,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 53,564 | $3,782,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,215,355 | $3,766,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 2,373,118 | $3,725,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 208,034 | $3,724,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,887,278 | $3,695,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 589,341 | $3,683,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 378,173 | $3,680,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 314,980 | $3,669,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 150,000 | $3,663,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 12,500 | $3,659,000 | thousands by filing date | put |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 84,048 | $3,653,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 101,505 | $3,619,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 601,657 | $3,616,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 469,618 | $3,616,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 1,676,214 | $3,603,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 317,919 | $3,589,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 40,730 | $3,584,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 136,292 | $3,567,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 93,141 | $3,563,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 199,959 | $3,556,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 54,987 | $3,546,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 125,000 | $3,524,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 3,300,000 | $3,513,000 | thousands by filing date | principal |
| NCR VOYIX CORPORATION | 62886E108 | COM | 123,500 | $3,510,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 596,626 | $3,508,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 80,150 | $3,500,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 21,445 | $3,486,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,628,740 | $3,468,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 198,892 | $3,467,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,267,480 | $3,460,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 1,424,710 | $3,447,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W671 | CONSUMER STPLS | 137,000 | $3,439,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 242,900 | $3,435,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 137,264 | $3,432,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 648,957 | $3,375,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,472,598 | $3,357,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,198,789 | $3,356,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 103,247 | $3,340,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 66,769 | $3,335,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 733,262 | $3,307,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 12,260 | $3,274,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 118,500 | $3,269,000 | thousands by filing date | put |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 105,494 | $3,255,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870206 | UNIT 10/19/2022 | 312,000 | $3,239,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 1,727,098 | $3,230,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 30,776 | $3,223,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 380,976 | $3,193,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 529,530 | $3,177,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 413,931 | $3,175,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 260,537 | $3,173,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 588,653 | $3,172,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 443,688 | $3,163,000 | thousands by filing date | |
| ENDO INTL PLC | G30401956 | PUT | 187,000 | $3,147,000 | thousands by filing date | put |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 2,475,000 | $3,145,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 128,400 | $3,138,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 725,000 | $3,136,000 | thousands by filing date | principal |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 889,440 | $3,113,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 47,449 | $3,084,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 1,386,707 | $3,051,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 129,000 | $3,037,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 1,898,033 | $3,036,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,408,316 | $3,027,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 786,034 | $3,026,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 112,100 | $3,024,000 | thousands by filing date | call |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 814,382 | $3,013,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 275,188 | $3,007,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 203,465 | $3,001,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 195,706 | $2,984,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 392,925 | $2,907,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,767,055 | $2,898,000 | thousands by filing date | |
| ISHARES TR | 46435G649 | ADAPTV JPN ETF | 95,981 | $2,893,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 594,478 | $2,884,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 679,564 | $2,867,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 105,000 | $2,865,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 792,302 | $2,853,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 324,636 | $2,847,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 451,088 | $2,846,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 365,637 | $2,837,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 100,000 | $2,826,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 567,992 | $2,817,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 196,657 | $2,798,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 402,418 | $2,797,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 391,284 | $2,778,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 111,506 | $2,776,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 44,488 | $2,764,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 859,389 | $2,751,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 478,657 | $2,743,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 717,286 | $2,741,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 5,386,426 | $2,738,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 293,500 | $2,715,000 | thousands by filing date | put |
| MAGNA INTL INC COM | 559222401 | Stock | 51,662 | $2,714,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 567,203 | $2,700,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 269,521 | $2,698,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 224,650 | $2,695,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 39,738 | $2,690,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 153,610 | $2,688,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 286,718 | $2,666,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 430,369 | $2,659,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 1,750,000 | $2,656,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 978,123 | $2,651,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W630 | MEDIA ENTRNMNT | 95,000 | $2,651,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 494,433 | $2,640,000 | thousands by filing date | |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 105,000 | $2,639,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 331,180 | $2,623,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 238,160 | $2,618,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 885,753 | $2,605,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 391,592 | $2,592,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 16,090 | $2,591,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 199,621 | $2,585,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 1,001,851 | $2,575,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 1,189,383 | $2,533,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 936,624 | $2,529,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 548,172 | $2,521,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 76,190 | $2,510,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 335,728 | $2,505,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 225,706 | $2,487,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 828,925 | $2,487,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 992,158 | $2,480,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 146,285 | $2,468,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 239,422 | $2,464,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 156,562 | $2,463,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 145,018 | $2,453,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 185,987 | $2,446,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 603,914 | $2,446,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 76,685 | $2,445,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,521,565 | $2,441,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 213,741 | $2,437,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 106,297 | $2,435,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 298,355 | $2,435,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 862,411 | $2,432,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 466,744 | $2,426,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 87,394 | $2,417,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 327,792 | $2,406,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 264,921 | $2,398,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 27,344 | $2,395,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 514,819 | $2,395,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 326,987 | $2,388,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 168,946 | $2,372,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 274,839 | $2,348,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 337,880 | $2,331,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 243,000 | $2,323,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 517,000 | $2,322,000 | thousands by filing date | put |
| China Yuchai Intl Ltd | G21082105 | COM | 134,000 | $2,314,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 142,936 | $2,309,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 309,140 | $2,306,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 106,369 | $2,296,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 165,300 | $2,293,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 312,700 | $2,283,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 50,000 | $2,281,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 285,800 | $2,278,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 9,758 | $2,273,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 420,708 | $2,272,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 41,897 | $2,272,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 159,599 | $2,260,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 341,483 | $2,254,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 193,200 | $2,251,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 42,260 | $2,245,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 283,303 | $2,238,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 176,400 | $2,237,000 | thousands by filing date | |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 84,849 | $2,231,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 194,500 | $2,231,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 254,000 | $2,230,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 805,624 | $2,215,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 152,152 | $2,214,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 793,994 | $2,208,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 347,100 | $2,201,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 1,475,000 | $2,187,000 | thousands by filing date | principal |
| MEI PHARMA INC | 55279B202 | COM NEW | 504,312 | $2,174,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 575,000 | $2,170,000 | thousands by filing date | principal |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 1,080,979 | $2,162,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 1,450,000 | $2,162,000 | thousands by filing date | principal |
| EXONE CO | 302104104 | COM | 228,102 | $2,162,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 123,540 | $2,158,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 159,700 | $2,143,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 375,911 | $2,125,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 483,369 | $2,122,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 280,243 | $2,116,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 2,200,000 | $2,104,000 | thousands by filing date | principal |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 171,000 | $2,079,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 200,000 | $2,075,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 75,261 | $2,067,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 106,059 | $2,066,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 171,629 | $2,062,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 351,149 | $2,061,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 1,567,510 | $2,054,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RXR7 | MTNF 0.250% 6/2 | 2,360,000 | $2,052,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 562,000 | $2,049,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 1,725,000 | $2,047,000 | thousands by filing date | principal |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 73,561 | $2,044,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 190,568 | $2,039,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 248,410 | $2,030,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 340,660 | $2,010,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 1,625,000 | $2,008,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 2,025,000 | $2,008,000 | thousands by filing date | principal |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 84,055 | $2,006,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 176,098 | $2,006,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 151,555 | $2,000,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 72,734 | $1,991,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 175,281 | $1,989,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 29,800 | $1,977,000 | thousands by filing date | put |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 144,699 | $1,968,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 68,093 | $1,960,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 281,606 | $1,957,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 615,860 | $1,952,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 51,625 | $1,944,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 721,508 | $1,934,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 184,916 | $1,918,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827102 | UNIT 99/99/9999 | 180,000 | $1,908,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 297,862 | $1,891,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 77,500 | $1,890,000 | thousands by filing date | put |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 174,424 | $1,889,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 72,226 | $1,886,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 2,000,000 | $1,883,000 | thousands by filing date | principal |
| MASTECH HLDGS INC | 57633B100 | COM | 195,351 | $1,869,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 285,312 | $1,869,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 357,068 | $1,867,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 251,083 | $1,866,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 177,976 | $1,865,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 77,806 | $1,853,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 24,315 | $1,852,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 1,525,000 | $1,852,000 | thousands by filing date | principal |
| GNC Holdings | 36191GAB3 | CONV BOND | 2,400,000 | $1,848,000 | thousands by filing date | principal |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,517,640 | $1,836,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 142,204 | $1,835,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 777,527 | $1,834,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 429,912 | $1,827,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 60,018 | $1,826,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 356,238 | $1,810,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 316,232 | $1,805,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 1,171,531 | $1,804,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 157,445 | $1,800,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 856,709 | $1,799,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 27,741 | $1,790,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 1,750,000 | $1,785,000 | thousands by filing date | principal |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 93,872 | $1,783,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 39,902 | $1,777,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 185,498 | $1,772,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 386,519 | $1,767,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 217,238 | $1,759,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 680,403 | $1,755,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 35,500 | $1,737,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 190,300 | $1,734,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 481,499 | $1,733,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 1,950,000 | $1,728,000 | thousands by filing date | principal |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 117,434 | $1,717,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 3,801,667 | $1,715,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 1,000,000 | $1,705,000 | thousands by filing date | principal |
| IDENTIV INC | 45170X205 | COM NEW | 285,458 | $1,701,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 402,268 | $1,694,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 322,991 | $1,686,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 27,990 | $1,669,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 272,239 | $1,642,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 194,663 | $1,636,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 187,133 | $1,622,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 1,675,000 | $1,622,000 | thousands by filing date | principal |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 103,358 | $1,611,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 226,121 | $1,610,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 1,610,226 | $1,610,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 1,110,000 | $1,610,000 | thousands by filing date | principal |
| STEIN MART INC | 858375108 | COM | 682,182 | $1,604,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 1,072,497 | $1,587,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 533,229 | $1,578,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 78,494 | $1,567,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 1,695,000 | $1,560,000 | thousands by filing date | principal |
| VERSARTIS INC | 92529L102 | COM | 1,112,860 | $1,557,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 369,612 | $1,552,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 44,900 | $1,551,000 | thousands by filing date | |
| INTELSAT S A | L5140P901 | CALL | 51,500 | $1,545,000 | thousands by filing date | call |
| SUNOPTA INC | 8676EP108 | COM | 206,643 | $1,519,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 122,727 | $1,514,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 64,832 | $1,511,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 13,187 | $1,510,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 111,074 | $1,509,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 331,327 | $1,494,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 29,029 | $1,486,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 613,077 | $1,472,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 108,128 | $1,470,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 132,032 | $1,460,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 132,902 | $1,455,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 1,150,000 | $1,455,000 | thousands by filing date | principal |
| CURIS INC | 231269200 | COM | 796,373 | $1,417,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 361,147 | $1,417,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 183,750 | $1,412,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 623,115 | $1,408,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 270,532 | $1,404,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 76,311 | $1,400,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 675,038 | $1,391,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 30,973 | $1,385,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 1,175,000 | $1,373,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 328,977 | $1,365,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 505,000 | $1,362,000 | thousands by filing date | principal |
| RADISYS CORP | 750459109 | COM | 834,942 | $1,361,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 469,181 | $1,360,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 254,218 | $1,355,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 370,794 | $1,354,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 50,848 | $1,349,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 98,961 | $1,343,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 276,497 | $1,335,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 502,104 | $1,335,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 44,147 | $1,327,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 47,036 | $1,326,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 1,315,000 | $1,325,000 | thousands by filing date | principal |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 228,037 | $1,322,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 133,926 | $1,319,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 1,402,920 | $1,319,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 800,000 | $1,315,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,250,000 | $1,313,000 | thousands by filing date | principal |
| EMCORE CORP | 290846203 | COM | 274,622 | $1,304,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,128,742 | $1,297,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 219,356 | $1,294,000 | thousands by filing date | |
| NEW YORK REIT INC liquidation shs | 64976L208 | COMMON STOCK | 70,677 | $1,282,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 274,321 | $1,279,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 189,636 | $1,276,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 15,889 | $1,274,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 57,297 | $1,268,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 113,700 | $1,260,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 285,949 | $1,258,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 616,570 | $1,257,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 369,098 | $1,256,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 126,779 | $1,247,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 51,500 | $1,241,000 | thousands by filing date | put |
| IMAGE SENSING SYS INC | 45244C104 | COM | 206,829 | $1,241,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 1,100,000 | $1,235,000 | thousands by filing date | principal |
| ICAD INC | 44934S206 | COM NEW | 424,101 | $1,234,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 600,000 | $1,225,000 | thousands by filing date | principal |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 141,820 | $1,217,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 81,435 | $1,210,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 126,599 | $1,203,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 423,413 | $1,203,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 1,140,000 | $1,202,000 | thousands by filing date | principal |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 71,437 | $1,194,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 747,800 | $1,189,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 28,509 | $1,183,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 660,211 | $1,182,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 473,888 | $1,180,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 765,000 | $1,173,000 | thousands by filing date | principal |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 458,359 | $1,165,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 750,000 | $1,162,000 | thousands by filing date | principal |
| THL CREDIT INC | 872438106 | COM | 142,629 | $1,151,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 1,160,000 | $1,151,000 | thousands by filing date | principal |
| REALPAGE INC | 75606NAB5 | NOTE | 700,000 | $1,144,000 | thousands by filing date | principal |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 950,000 | $1,137,000 | thousands by filing date | principal |
| B2GOLD CORP COM | 11777Q209 | Stock | 494,115 | $1,136,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 159,636 | $1,133,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 76,517 | $1,129,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 121,600 | $1,126,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 131,404 | $1,119,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 108,100 | $1,118,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 57,895 | $1,113,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 339,726 | $1,104,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 790,000 | $1,100,000 | thousands by filing date | principal |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 92,100 | $1,099,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 725,000 | $1,093,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 1,025,000 | $1,092,000 | thousands by filing date | principal |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 1,075,000 | $1,092,000 | thousands by filing date | principal |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 70,200 | $1,090,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 275,588 | $1,089,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 631,860 | $1,087,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 99,213 | $1,083,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 500,000 | $1,081,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 600,000 | $1,080,000 | thousands by filing date | principal |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 114,375 | $1,067,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 31,991 | $1,061,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 414,995 | $1,058,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 52,500 | $1,057,000 | thousands by filing date | put |
| SIGMATRON INTL INC | 82661L101 | COM | 183,258 | $1,054,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 700,000 | $1,052,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 1,115,000 | $1,049,000 | thousands by filing date | principal |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 28,192 | $1,045,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 491,813 | $1,043,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 940,000 | $1,043,000 | thousands by filing date | principal |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 812,463 | $1,040,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 658,473 | $1,034,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 128,731 | $1,030,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 113,586 | $1,013,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 16,502 | $1,011,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,000,000 | $1,011,000 | thousands by filing date | principal |
| MEDLEY CAP CORP | 58503F106 | COM | 264,349 | $1,010,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 100,700 | $1,007,000 | thousands by filing date | |
| MYLAN N V | N59465959 | PUT | 27,300 | $1,000,000 | thousands by filing date | put |
| FTD COS INC | 30281V108 | COM | 377,948 | $994,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 72,766 | $993,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 50,000 | $981,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AD2 | NOTE 6/1 | 810,000 | $979,000 | thousands by filing date | principal |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 1,025,000 | $978,000 | thousands by filing date | principal |
| BROADWIND INC | 11161T207 | CMN | 448,096 | $976,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 530,000 | $973,000 | thousands by filing date | principal |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 569,825 | $969,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 100,000 | $969,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 298,676 | $964,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 67,502 | $963,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 783,145 | $963,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 223,727 | $962,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 487,604 | $960,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 645,225 | $948,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 355,638 | $947,000 | thousands by filing date | |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 575,000 | $943,000 | thousands by filing date | principal |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 1,065,000 | $932,000 | thousands by filing date | principal |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 62,769 | $918,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 18,579 | $914,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 800,000 | $914,000 | thousands by filing date | principal |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 172,500 | $913,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 850,000 | $908,000 | thousands by filing date | principal |
| VIVUS INC | 928551308 | COM NEW | 205,046 | $904,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 102,551 | $903,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 307,863 | $902,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 535,734 | $895,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 47,345 | $894,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 114,693 | $894,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 353,064 | $890,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 685,000 | $889,000 | thousands by filing date | principal |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 28,088 | $885,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 749,000 | $880,000 | thousands by filing date | principal |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 130,400 | $879,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 675,000 | $877,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 615,000 | $877,000 | thousands by filing date | principal |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 815,000 | $876,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 925,000 | $865,000 | thousands by filing date | principal |
| IAMGOLD CORP COM | 450913108 | Stock | 234,204 | $862,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 364,612 | $857,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-18-000095 | this filing | 2018-11-09 | acceptance time not in the bulk data set |