13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-16, with 7,404 holding rows worth $422,080,234,000.
- Accession
- 0001140361-16-052859
- Filer
- CIK 70858
- Filed
- 2016-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 20,331 entries on the cover page, a total value of $422,080,234,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $422,080,234,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerMERRILL LYNCH GROUP, INC.028-12505
- included managerBlue Ridge Investments, L.L.C.028-16009
- included managerEQUITY FINANCE DELAWARE, LLC028-16012
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
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 |
|---|---|---|---|---|---|---|
| SANOFI | 80105N113 | COMMON STOCK-FO | 483,554 | $55,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 10,415 | $55,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 19,129 | $55,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 6,567 | $55,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 3,416 | $55,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $54,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 1,000 | $54,000 | thousands by filing date | put |
| LADDER CAP CORP CL A | 505743104 | REIT | 4,378 | $54,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,300 | $54,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 6,523 | $54,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 1,505 | $54,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 2,292 | $54,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 20,000 | $54,000 | thousands by filing date | call |
| GAMCO INVS INC COM | 361438104 | COM | 1,739 | $54,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 3,724 | $54,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 2,118 | $54,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 39,025 | $54,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 17,528 | $54,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 2,223 | $53,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 7,976 | $53,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 1,884 | $53,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 1,301 | $53,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 500 | $53,000 | thousands by filing date | call |
| AGENUS INC | 00847G705 | COM NEW | 11,699 | $53,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 10,105 | $53,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 2,476 | $52,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 6,287 | $52,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 3,941 | $52,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 2,286 | $52,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 1,000 | $52,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 3,148 | $52,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 600 | $51,000 | thousands by filing date | put |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 14,712 | $51,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 2,308 | $51,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 31,384 | $51,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 11,456 | $51,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 49,469 | $51,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 407 | $51,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 3,003 | $51,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 14,850 | $51,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 9,437 | $50,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 3,681 | $50,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,768 | $50,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 4,100 | $50,000 | thousands by filing date | call |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 10,860 | $50,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 5,560 | $50,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 4,403 | $50,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 3,100 | $49,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 2,340 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 1,220 | $49,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,088 | $49,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 28,000 | $49,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 7,154 | $49,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 1,675 | $49,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 1,953 | $49,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 5,071 | $48,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 9,468 | $48,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 7,596 | $48,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 23,703 | $48,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 7,663 | $48,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 13,859 | $48,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,411 | $48,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 16,425 | $47,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 2,066 | $47,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 743 | $47,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 29,392 | $47,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 3,780 | $47,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 2,257 | $47,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 1,350 | $47,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 893 | $46,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 2,289 | $46,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,218 | $46,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 2,417 | $46,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,776 | $46,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 6,000 | $46,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 24,812 | $46,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 21,119 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 990 | $46,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 7,935 | $46,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 4,180 | $46,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 2,914 | $45,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 1,094 | $45,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 3,800 | $45,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 7,843 | $45,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 218,917 | $45,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 150,000 | $45,000 | thousands by filing date | call |
| ATENTO S A | L0427L105 | SHS | 4,569 | $45,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 717 | $45,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 2,836 | $45,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 1,872 | $45,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 2,305 | $45,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 20,250 | $45,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 5,474 | $44,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,650 | $44,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 4,186 | $44,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,034 | $44,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 14,820 | $44,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,497 | $44,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 9,900 | $44,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 2,295 | $44,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 6,400 | $44,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 5,452 | $44,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 232,371 | $44,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 2,299 | $43,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 12,880 | $43,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 1,238 | $43,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 3,750 | $43,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 3,394 | $43,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 23,499 | $43,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 5,194 | $43,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 3,518 | $42,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 2,006 | $42,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 8,275 | $42,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,377 | $42,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,497 | $42,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 32,207 | $42,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 3,772 | $42,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 6,300 | $42,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 5,357 | $42,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 2,000 | $41,000 | thousands by filing date | call |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 4,095 | $41,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 4,333 | $41,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 1,350 | $41,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 1,300 | $41,000 | thousands by filing date | call |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 773 | $41,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 2,500 | $41,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 675 | $41,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 5,708 | $41,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 10,197 | $41,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 5,286 | $41,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,875 | $41,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 2,059 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 5,498 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 1,670 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 1,700 | $41,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 3,550 | $40,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 2,767 | $40,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 8,869 | $40,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 30,000 | $40,000 | thousands by filing date | principal |
| LUMOS NETWORKS CORP | 550283105 | COM | 3,526 | $40,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 34,741 | $40,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 33,000 | $40,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,414 | $40,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 40,000 | $40,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,585 | $40,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 29,290 | $40,000 | thousands by filing date | |
| CHC GROUP LTD | G07021127 | Cmn | 6,278 | $40,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R312 | MORNSTAR INTL | 1,497 | $40,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 36,555 | $39,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,626 | $39,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 5,592 | $39,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,402 | $39,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,500 | $39,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 7,268 | $39,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,378 | $39,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 904 | $39,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 18,934 | $39,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 2,984 | $39,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 2,250 | $39,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,611 | $39,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 3,942 | $39,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,236 | $39,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 2,692 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 1,000 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 3,130 | $39,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 12,314 | $38,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 3,022 | $38,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,921 | $38,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 9,761 | $38,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 3,124 | $38,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 4,552 | $38,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 2,949 | $38,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 6,100 | $38,000 | thousands by filing date | call |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 8,461 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 1,592 | $38,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 1,611 | $38,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 2,560 | $38,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 9,905 | $38,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,000 | $38,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 4,000 | $37,000 | thousands by filing date | call |
| DIANA SHIPPING INC | Y2066G104 | COM | 8,549 | $37,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 1,291 | $37,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 3,836 | $37,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $37,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 3,000 | $37,000 | thousands by filing date | call |
| EVANS BANCORP INC | 29911Q208 | COM | 1,421 | $37,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 3,576 | $37,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 10,185 | $37,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 28,845 | $37,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 1,652 | $37,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 4,216 | $37,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 2,000 | $37,000 | thousands by filing date | call |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 4,411 | $37,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,348 | $36,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,825 | $36,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 2,190 | $36,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 5,761 | $36,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 1,000 | $36,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 33,611 | $36,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 5,870 | $36,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 3,000 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 1,500 | $36,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,871 | $36,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,711 | $35,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 4,875 | $35,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,986 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 743 | $35,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 400 | $35,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 680 | $35,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,197 | $35,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 2,700 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 1,511 | $35,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 964 | $35,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 3,533 | $35,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 3,081 | $35,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 5,000 | $35,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 2,460 | $34,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 1,205 | $34,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 2,407 | $34,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,934 | $34,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 1,959 | $34,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 5,022 | $34,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 26,000 | $34,000 | thousands by filing date | principal |
| RENTRAK CORP | 760174102 | COM | 726 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 1,300 | $34,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 950 | $34,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 102,989 | $34,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 1,065 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,000 | $34,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R338 | GLB SPIN OFF | 1,951 | $34,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,528 | $33,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 1,335 | $33,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 1,058 | $33,000 | thousands by filing date | |
| COMPUTER SCIENCES CORP | 205363104 | COM | 1,000 | $33,000 | thousands by filing date | call |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,255 | $33,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,937 | $33,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 3,323 | $33,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 1,259 | $33,000 | thousands by filing date | |
| BulletShares 2025 Corporate | 18383M191 | COM | 1,701 | $33,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 2,500 | $33,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 8,625 | $33,000 | thousands by filing date | |
| 6D Global Tech Inc | 83002F100 | COM | 11,529 | $33,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,816 | $32,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 12,285 | $32,000 | thousands by filing date | |
| SL INDS INC | 784413106 | COMMON STOCK | 1,005 | $32,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 1,000 | $32,000 | thousands by filing date | put |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 34,000 | $32,000 | thousands by filing date | principal |
| BARCLAYS BK PLC IPATH S&P MT E | 06740C519 | COM | 2,849 | $32,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 2,186 | $32,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 2,973 | $32,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 2,114 | $32,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,650 | $32,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,859 | $31,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 11 | $31,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,910 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 949 | $31,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 36,731 | $31,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 3,569 | $31,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 4,960 | $31,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,186 | $31,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 4,339 | $31,000 | thousands by filing date | |
| FINANCIAL SERVICES SELECT SECTOR SPDR FUND | 81369Y878 | ETF | 1,000 | $31,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 24,386 | $31,000 | thousands by filing date | |
| CSRA INC | 12650T104 | COM | 1,000 | $30,000 | thousands by filing date | call |
| FORTUNA MNG CORP F | 349915108 | COM | 12,959 | $30,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 763 | $30,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 7,174 | $30,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 11,211 | $30,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 2,000 | $30,000 | thousands by filing date | put |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,003 | $30,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,750 | $30,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 560 | $30,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,966 | $30,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 15,725 | $30,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,544 | $29,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 2,370 | $29,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,268 | $29,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,395 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 1,000 | $29,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 5,000 | $29,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,017 | $29,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 2,942 | $29,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,774 | $29,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 12,586 | $29,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,000 | $29,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 8,878 | $29,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 3,000 | $28,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 2,013 | $28,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 1,284 | $28,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 780 | $28,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 9,094 | $28,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3,480 | $28,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,300 | $28,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,000 | $28,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 4,035 | $28,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 7,690 | $28,000 | thousands by filing date | |
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 4,177 | $28,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 28,500 | $28,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,355 | $28,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 28,000 | $28,000 | thousands by filing date | principal |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 2,586 | $28,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 23,017 | $28,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 2,121 | $28,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,000 | $28,000 | thousands by filing date | call |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 556 | $28,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 1,038 | $28,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 1,218 | $28,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 615 | $28,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 2,000 | $27,000 | thousands by filing date | put |
| MODINE MFG CO COM | 607828100 | Stock | 2,959 | $27,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 2,256 | $27,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 5,438 | $27,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 1,299 | $27,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,092 | $27,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,489 | $27,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 4,269 | $27,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 2,435 | $27,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 11,982 | $27,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 5,700 | $27,000 | thousands by filing date | call |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 596 | $27,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 4,235 | $27,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 7,659 | $27,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,016 | $27,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 3,581 | $27,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 2,918 | $27,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 4,300 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 300 | $26,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,900 | $26,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 4,940 | $26,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 20,000 | $26,000 | thousands by filing date | put |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 866 | $26,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 2,661 | $26,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424108 | SPONSORED ADR | 35,000 | $26,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 592 | $26,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 18,541 | $26,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,007 | $26,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 2,451 | $26,000 | thousands by filing date | |
| COLONY CAP INC | 19624R403 | CONV PFD-C | 1,200 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X820 | Cmn | 6,334 | $26,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 2,762 | $25,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 1,892 | $25,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 8,309 | $25,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,390 | $25,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 6,705 | $25,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,104 | $25,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,784 | $25,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 1,939 | $25,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 34,380 | $25,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 29,000 | $25,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,656 | $25,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 784 | $24,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,187 | $24,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 633 | $24,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 864 | $24,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 629 | $24,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,033 | $24,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 13,152 | $24,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 9,408 | $24,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 4,441 | $24,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,151 | $24,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $24,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,808 | $24,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 2,176 | $24,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 8,298 | $24,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 3,114 | $24,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,100 | $24,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,440 | $23,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,258 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 314 | $23,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,000 | $23,000 | thousands by filing date | call |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 2,463 | $23,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 22,000 | $23,000 | thousands by filing date | principal |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 10,000 | $23,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 10,133 | $23,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 10,083 | $23,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 76,955 | $23,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $23,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,080 | $23,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 931 | $23,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 6,391 | $23,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 1,008 | $23,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 1,536 | $23,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 200 | $22,000 | thousands by filing date | put |
| CYTOKINETICS INC | 23282W605 | COM NEW | 2,081 | $22,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 2,905 | $22,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,155 | $22,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 830 | $22,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 657 | $22,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 2,411 | $22,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 11,596 | $22,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,449 | $22,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,400 | $22,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 3,535 | $22,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 742 | $22,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $22,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 1,504 | $22,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,200 | $22,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 6,000 | $22,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $22,000 | thousands by filing date | principal |
| NOVOCURE LTD | G6674U108 | ORD SHS | 959 | $21,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 1,282 | $21,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 2,002 | $21,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $21,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 906 | $21,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | put |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 1,000 | $21,000 | thousands by filing date | call |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 13,586 | $21,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 7,996 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 400 | $21,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,501 | $21,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 7,662 | $21,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 3,537 | $21,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,700 | $21,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 5,414 | $21,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F104 | COM | 35,789 | $21,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 11,700 | $21,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $21,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 23,000 | $21,000 | thousands by filing date | principal |
| AETERNA ZENTARIS INC | 007975402 | COM | 4,722 | $21,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,000 | $20,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 889 | $20,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 933 | $20,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 218 | $20,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,762 | $20,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 2,780 | $20,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 4,911 | $20,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 5,000 | $20,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 11,497 | $20,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 938 | $20,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 16,395 | $20,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 395 | $20,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 2,584 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 326 | $20,000 | thousands by filing date | |
| COLUMBIA PIPELINE GROUP INC | 198280109 | COM | 1,000 | $20,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 455 | $20,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 2,011 | $20,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 4,703 | $20,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,775 | $20,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 20,600 | $19,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 1,704 | $19,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 500 | $19,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,355 | $19,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 4,326 | $19,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $19,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 1,389 | $19,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,405 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 800 | $19,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,470 | $19,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,352 | $19,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $19,000 | thousands by filing date | principal |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,340 | $19,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 2,846 | $19,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 433 | $19,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 5,000 | $19,000 | thousands by filing date | principal |
| COMSTOCK MNG INC | 205750102 | COM | 48,215 | $19,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 6,111 | $19,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 432 | $19,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,980 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 789 | $19,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 5,259 | $18,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,425 | $18,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $18,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,353 | $18,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 7,613 | $18,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,674 | $18,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 2,075 | $18,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 7,500 | $18,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,043 | $18,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,000 | $18,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 4,951 | $18,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 2,589 | $18,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R353 | CHINAAMC BD ETF | 764 | $18,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 174 | $17,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $17,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 695 | $17,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,325 | $17,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,300 | $17,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 791 | $17,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 4,043 | $17,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,177 | $17,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,500 | $17,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 3,000 | $17,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $17,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 1,000 | $17,000 | thousands by filing date | call |
| POZEN INC | 73941U102 | COMMON STOCK | 2,500 | $17,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 98,000 | $17,000 | thousands by filing date | call |
| TRUECAR INC | 89785L107 | COM | 1,734 | $17,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 7,919 | $17,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 696 | $17,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,800 | $17,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 5,700 | $17,000 | thousands by filing date | put |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 1,500 | $17,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 1,692 | $17,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,259 | $17,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 750 | $17,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $17,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,108 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 14,000 | $17,000 | thousands by filing date | principal |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 18,000 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 592 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-052859 | this filing | 2016-02-16 | acceptance time not in the bulk data set |