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 |
|---|---|---|---|---|---|---|
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,265 | $17,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 1,671 | $16,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,355 | $16,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 1,799 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 401 | $16,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 950 | $16,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 1,039 | $16,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,622 | $16,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $16,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 250 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 304 | $16,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $16,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 5,870 | $16,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 503 | $16,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 1,077 | $16,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 4,706 | $16,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,318 | $16,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 215 | $16,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 91,000 | $16,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,804 | $16,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 900 | $16,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 600 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,200 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X467 | MSCI EM50 ETF | 422 | $16,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 13,533 | $16,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 600 | $16,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,493 | $16,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 6,588 | $16,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 2,205 | $16,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 7,053 | $16,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 244 | $15,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 2,366 | $15,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 706 | $15,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 798 | $15,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $15,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 774 | $15,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 58 | $15,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,375 | $15,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 1,545 | $15,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 1,000 | $15,000 | thousands by filing date | call |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 2,200 | $15,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 50,729 | $15,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 419 | $15,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 976 | $15,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $15,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,200 | $15,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 1,437 | $15,000 | thousands by filing date | |
| PROSHARES TR II ULT VIX SHRT | 74347W312 | CEF | 543 | $15,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 2,557 | $15,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 718 | $15,000 | thousands by filing date | |
| IDI INC | 44938L108 | COM | 2,000 | $15,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 826 | $14,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,000 | $14,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 2,235 | $14,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 3,400 | $14,000 | thousands by filing date | call |
| KVH INDS INC | 482738101 | COM | 1,489 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 870 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 672 | $14,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 600 | $14,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 510 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,000 | $14,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 389 | $14,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 906 | $14,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 824 | $14,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 500 | $14,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 798 | $14,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 2,052 | $14,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 10,000 | $14,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 8,000 | $14,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 664 | $14,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 2,041 | $14,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,026 | $14,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,449 | $14,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 3,000 | $14,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 1,008 | $14,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $14,000 | thousands by filing date | |
| RIVER VY BANCORP | 768475105 | COM | 400 | $14,000 | thousands by filing date | |
| METHES ENERGIES INTL LTD | 591517107 | COM | 60,000 | $14,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 24,000 | $14,000 | thousands by filing date | principal |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 1,000 | $14,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,622 | $14,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 2,637 | $14,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 1,348 | $14,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 880 | $13,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 100 | $13,000 | thousands by filing date | put |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 284 | $13,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 886 | $13,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 462 | $13,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 814 | $13,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,000 | $13,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 1,109 | $13,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,000 | $13,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 75,568 | $13,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,093 | $13,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $13,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 6,719 | $13,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 13,985 | $13,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 1,920 | $13,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,315 | $13,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 80,000 | $13,000 | thousands by filing date | |
| Regeneron Pharmaceuticals, In | 75886FAD9 | CONV | 2,000 | $13,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 515 | $13,000 | thousands by filing date | |
| PERSEON CORP | 715270203 | Cmn | 54,710 | $13,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 10,000 | $13,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 500 | $12,000 | thousands by filing date | call |
| CADIZ INC | 127537207 | COM NEW | 2,300 | $12,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 715 | $12,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 2,822 | $12,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 2,784 | $12,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 1,106 | $12,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 100 | $12,000 | thousands by filing date | put |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 2,561 | $12,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $12,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 332 | $12,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 623 | $12,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 400 | $12,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 2,000 | $12,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 45,000 | $12,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 8,967 | $12,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,235 | $12,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,100 | $12,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 9,000 | $12,000 | thousands by filing date | principal |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 6,000 | $12,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $12,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 7,000 | $12,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,052 | $12,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,500 | $12,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 700 | $12,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,639 | $12,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 989 | $12,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $12,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 385 | $11,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 190 | $11,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 100 | $11,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 7,690 | $11,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 4,100 | $11,000 | thousands by filing date | put |
| WINMARK CORP | 974250102 | COM | 118 | $11,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 190 | $11,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,450 | $11,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 320 | $11,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 6,472 | $11,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 105 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 20,000 | $11,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 8,000 | $11,000 | thousands by filing date | principal |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 28,410 | $11,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 5,860 | $11,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,000 | $11,000 | thousands by filing date | put |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 4,966 | $11,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 23,269 | $11,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 586 | $11,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 3,376 | $11,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 2,793 | $11,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 4,614 | $11,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 10,000 | $11,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,073 | $11,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,091 | $11,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,275 | $11,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 5,635 | $11,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $11,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,600 | $11,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 563 | $11,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 26,450 | $11,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $11,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 554 | $11,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 4,565 | $11,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 4,517 | $11,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 3,859 | $11,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 873 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $11,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,929 | $11,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 5,244 | $11,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 20,000 | $11,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628409 | CUM PFD E 7.25% | 414 | $11,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 100 | $10,000 | thousands by filing date | put |
| MOVADO GROUP INC COM | 624580106 | Stock | 401 | $10,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 401 | $10,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 988 | $10,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 442 | $10,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 1,213 | $10,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 900 | $10,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $10,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 500 | $10,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,445 | $10,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 700 | $10,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 2,548 | $10,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 7,889 | $10,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 611 | $10,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 405 | $10,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 1,447 | $10,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 11,000 | $10,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 2,681 | $10,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 31,550 | $10,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 3,872 | $10,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 1,000 | $10,000 | thousands by filing date | call |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 2,812 | $10,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 2,684 | $10,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $10,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 4,000 | $10,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 2,000 | $10,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| VIRTUS TOTAL | 92829A103 | COM | 2,752 | $10,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,500 | $10,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 700 | $10,000 | thousands by filing date | |
| COPSYNC INC | 217712207 | COM NEW | 4,684 | $10,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 1,974 | $10,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 5,721 | $10,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 4,900 | $9,000 | thousands by filing date | call |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,453 | $9,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 446 | $9,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 799 | $9,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 653 | $9,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 895 | $9,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $9,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,249 | $9,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 624 | $9,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 171 | $9,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 909 | $9,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 8,948 | $9,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,526 | $9,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 912 | $9,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 42,500 | $9,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 319 | $9,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,000 | $9,000 | thousands by filing date | put |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 362 | $9,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 972 | $9,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 507 | $9,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 3,528 | $9,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 16,795 | $9,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $9,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 233 | $9,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 737 | $9,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,875 | $9,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 314 | $9,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 4,908 | $9,000 | thousands by filing date | |
| PREMIER EXHIBITIONS INC COM NEW | 74051E201 | Stock | 13,921 | $9,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 1,123 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 133 | $8,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,030 | $8,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 559 | $8,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 2,000 | $8,000 | thousands by filing date | call |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 800 | $8,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 454 | $8,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 376 | $8,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 2,302 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 512 | $8,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 4,542 | $8,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 1,526 | $8,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 514 | $8,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $8,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,803 | $8,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 10,861 | $8,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 119,606 | $8,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 7,094 | $8,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $8,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 2,871 | $8,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 3,103 | $8,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 4,650 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 10,000 | $8,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 12,050 | $8,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 288 | $8,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 6,900 | $8,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 2,500 | $8,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 299 | $8,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 8,000 | $8,000 | thousands by filing date | principal |
| CHINA SUNERGY CO LTD | 16942X302 | SPONSORED ADR NE | 6,999 | $8,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 527 | $8,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 5,000 | $8,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,000 | $8,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 8,000 | $8,000 | thousands by filing date | principal |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,500 | $8,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 2,707 | $8,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 7,869 | $8,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 411 | $7,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 447 | $7,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 172 | $7,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 587 | $7,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 637 | $7,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,020 | $7,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 653 | $7,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 2,397 | $7,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,090 | $7,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,309 | $7,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 301 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,112 | $7,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,000 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 400 | $7,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 598 | $7,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 416 | $7,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,428 | $7,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 6,247 | $7,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 185 | $7,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 731 | $7,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 515 | $7,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 377 | $7,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,500 | $7,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 1,885 | $7,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 5,000 | $7,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,000 | $7,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 4,400 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 284 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 150 | $7,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 519 | $7,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 1,619 | $7,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,963 | $7,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 350 | $7,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 800 | $7,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 668 | $7,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 5,132 | $7,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,265 | $6,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 100 | $6,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 780 | $6,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 31 | $6,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 543 | $6,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 200 | $6,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 643 | $6,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 510 | $6,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 348 | $6,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,000 | $6,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 142 | $6,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,820 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 115 | $6,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 190 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A566 | MERGER ETF | 159 | $6,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 298 | $6,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 686 | $6,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 206 | $6,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 190 | $6,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 1,765 | $6,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 669 | $6,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 506 | $6,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 342 | $6,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 988 | $6,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 5,000 | $6,000 | thousands by filing date | principal |
| VICAL INC | 925602104 | COM | 15,216 | $6,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 875 | $6,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 6,000 | $6,000 | thousands by filing date | principal |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,050 | $6,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 201 | $6,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 229 | $6,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 282 | $6,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $6,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 13,008 | $6,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 3,945 | $6,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,694 | $6,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,500 | $6,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 427 | $6,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 22,223 | $6,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 250 | $6,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,281 | $6,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 2,000 | $6,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 487 | $6,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,675 | $6,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 2,650 | $6,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 5,400 | $6,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 461 | $5,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 125 | $5,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 207 | $5,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 4,769 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 58 | $5,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 1,617 | $5,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 537 | $5,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 295 | $5,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 2,500 | $5,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 426 | $5,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 167 | $5,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 250 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 388 | $5,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,078 | $5,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 314 | $5,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 374 | $5,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 209 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 225 | $5,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 279 | $5,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 111 | $5,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 869 | $5,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 400 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 63 | $5,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 222 | $5,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 181 | $5,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 3,241 | $5,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 6,461 | $5,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 846 | $5,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,470 | $5,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 172 | $5,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,700 | $5,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 4,000 | $5,000 | thousands by filing date | put |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 1,055 | $5,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 265 | $5,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 603 | $5,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 3,713 | $5,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,300 | $5,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 17,290 | $5,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 189 | $5,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 376 | $5,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 5,600 | $5,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| CENTRAL GOLDTRUST | 153546106 | TR U | 125 | $5,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 5,960 | $5,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 19,983 | $5,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 1,000 | $5,000 | thousands by filing date | put |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 5,000 | $5,000 | thousands by filing date | principal |
| MATTERSIGHT CORP | 577097108 | COM | 735 | $5,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 5,000 | $5,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 282 | $5,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 1,920 | $5,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 2,000 | $5,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 456 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 125 | $5,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 238 | $5,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 5,000 | $5,000 | thousands by filing date | principal |
| JETPAY CORP | 477177109 | COM | 1,732 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 100 | $5,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 1,320 | $5,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 5,286 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $5,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 4,380 | $5,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 4,500 | $5,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 4,020 | $5,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 1,000 | $5,000 | thousands by filing date | |
| CELLADON CORP | 15117E107 | Cmn | 3,340 | $5,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 605 | $4,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 12,990 | $4,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 162 | $4,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 139 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 156 | $4,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 500 | $4,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 155 | $4,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 523 | $4,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 1,000 | $4,000 | thousands by filing date | put |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 240 | $4,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 335 | $4,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 151 | $4,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 273 | $4,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 500 | $4,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 261 | $4,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 158 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 178 | $4,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 3,729 | $4,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 87 | $4,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 507 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| TELENAV INC | 879455103 | COMMON STOCK | 684 | $4,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 851 | $4,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 7,500 | $4,000 | thousands by filing date | principal |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 500 | $4,000 | thousands by filing date | put |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,176 | $4,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,070 | $4,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,200 | $4,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,666 | $4,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 286 | $4,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 850 | $4,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 184 | $4,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 1,300 | $4,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 9,408 | $4,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 3,658 | $4,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 8,603 | $4,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,500 | $4,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 3,000 | $4,000 | thousands by filing date | call |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 431 | $4,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 2,562 | $4,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 2,500 | $4,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 1,060 | $4,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 10,618 | $4,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 782 | $4,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 7,000 | $4,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 1,200 | $4,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 126 | $4,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $4,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,193 | $4,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 435 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 200 | $4,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 700 | $4,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 2,930 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461464 | EGSHS EMKTSCOR | 250 | $4,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 439 | $4,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 782 | $4,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 251 | $4,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 240 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 229 | $4,000 | thousands by filing date | |
| CHIPOTLE MEXICAN GRILL INC | 73937B738 | COM | 74 | $4,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 498 | $4,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 800 | $4,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,200 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 150 | $4,000 | thousands by filing date | |
| OI SA-ADR | 670851401 | Com | 9,406 | $4,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 417 | $4,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 6,000 | $4,000 | thousands by filing date | principal |
| BEAR ST FINL INC | 073844102 | COM | 325 | $4,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,000 | $4,000 | thousands by filing date | |
| OI SA SPONSORED ADR CMN | 670851302 | COM | 7,176 | $4,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 1,156 | $4,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 1,000 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 1,305 | $4,000 | 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 |