13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-13, with 7,086 holding rows worth $411,067,460,000.
- Accession
- 0001140361-16-065123
- Filer
- CIK 70858
- Filed
- 2016-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 20,045 entries on the cover page, a total value of $411,067,460,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $411,067,460,000 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 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 |
|---|---|---|---|---|---|---|
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 584 | $29,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 7,659 | $29,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 6,025 | $28,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 3,675 | $28,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 11,100 | $28,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 3,024 | $28,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 2,735 | $28,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 3,956 | $28,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 28,000 | $28,000 | thousands by filing date | principal |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 32,000 | $28,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 7,000 | $28,000 | thousands by filing date | principal |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 5,782 | $28,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 600 | $27,000 | thousands by filing date | put |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 1,859 | $27,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,500 | $27,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 7,445 | $27,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 3,020 | $27,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3,480 | $27,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,736 | $27,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 27,000 | $27,000 | thousands by filing date | principal |
| BAZAARVOICE INC | 073271108 | COM | 8,464 | $27,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 1,300 | $27,000 | thousands by filing date | put |
| CDI CORP | 125071100 | COM | 4,238 | $27,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 44,000 | $27,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,100 | $27,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 788 | $27,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,816 | $27,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 35,950 | $27,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 2,500 | $27,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 34,806 | $26,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 9,721 | $26,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 1,980 | $26,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,875 | $26,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,000 | $26,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,083 | $26,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,300 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 425 | $26,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 4,134 | $26,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 5,078 | $26,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 18,804 | $26,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 2,119 | $26,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 1,963 | $26,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 1,040 | $26,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 3,190 | $26,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,236 | $26,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 546 | $26,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,405 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 300 | $25,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 1,000 | $25,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,033 | $25,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,933 | $25,000 | thousands by filing date | |
| LASALLE HOTEL PROPERTIES | 517942108 | COM | 1,000 | $25,000 | thousands by filing date | call |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,262 | $25,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $25,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,000 | $25,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,080 | $25,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,805 | $25,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,007 | $25,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 1,008 | $25,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 3,040 | $25,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,500 | $24,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 346 | $24,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 2,220 | $24,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,730 | $24,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 3,011 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,124 | $24,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 581 | $24,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 310 | $24,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 4,853 | $24,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 12,716 | $24,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 964 | $24,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 7,755 | $24,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 18,000 | $24,000 | thousands by filing date | principal |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 50,493 | $24,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 1,501 | $24,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $24,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 4,185 | $24,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 919 | $24,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,656 | $24,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 2,722 | $23,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 2,188 | $23,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,754 | $23,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 657 | $23,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 813 | $23,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 9,064 | $23,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 11,982 | $23,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 1,500 | $23,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,264 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 775 | $23,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 20,000 | $23,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 912 | $23,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R247 | HIGH INCOME MLP | 5,844 | $23,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 100 | $22,000 | thousands by filing date | put |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 940 | $22,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 1,706 | $22,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 2,209 | $22,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,100 | $22,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,500 | $22,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 2,780 | $22,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 3,727 | $22,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,065 | $22,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 10,996 | $22,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 2,411 | $22,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,770 | $22,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 9,918 | $22,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 13,020 | $22,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 21,000 | $22,000 | thousands by filing date | principal |
| SEACHANGE INTL INC | 811699107 | COM | 3,990 | $22,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,882 | $22,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 16,066 | $22,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 1,829 | $22,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,934 | $22,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 5,470 | $22,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $22,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,200 | $22,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $22,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 15,725 | $22,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,059 | $21,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,305 | $21,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 991 | $21,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,100 | $21,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 1,469 | $21,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,980 | $21,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 6,400 | $21,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 2,241 | $21,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 960 | $21,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,155 | $21,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 742 | $21,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 1,168 | $21,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 575 | $21,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 23,000 | $21,000 | thousands by filing date | principal |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 1,250 | $21,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 21,000 | $21,000 | thousands by filing date | principal |
| ERIN ENERGY CORP COM | 295625107 | Stock | 10,774 | $21,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 2,938 | $21,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $20,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 2,073 | $20,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 2,107 | $20,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 705 | $20,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 4,250 | $20,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 4,312 | $20,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 12,340 | $20,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 433 | $20,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 14,495 | $20,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 1,132 | $20,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 20,000 | $20,000 | thousands by filing date | principal |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,000 | $20,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 22,000 | $20,000 | thousands by filing date | principal |
| ENTELLUS MED INC | 29363K105 | COM | 1,122 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X820 | Cmn | 4,934 | $20,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 200 | $19,000 | thousands by filing date | put |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 3,800 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 907 | $19,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 200 | $19,000 | thousands by filing date | put |
| INTREPID POTASH INC | 46121Y102 | COM | 17,084 | $19,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $19,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,200 | $19,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 2,619 | $19,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 10,000 | $19,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 34,050 | $19,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 8,050 | $19,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 621 | $19,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 800 | $19,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 76,530 | $19,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 8,272 | $19,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 4,250 | $19,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 2,980 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X537 | INTL HEDGED EQ | 808 | $19,000 | thousands by filing date | |
| ETFS TR | 26923J206 | ZACKS SM CP US | 902 | $19,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,300 | $18,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,825 | $18,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 319 | $18,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 1,525 | $18,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 8,137 | $18,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,800 | $18,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $18,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,405 | $18,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,700 | $18,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 3,000 | $18,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 466 | $18,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 1,788 | $18,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 573 | $18,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 682 | $18,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,815 | $18,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,000 | $18,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 17,630 | $18,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 5,000 | $18,000 | thousands by filing date | principal |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 5,111 | $18,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 415 | $18,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 4,702 | $18,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 1,200 | $18,000 | thousands by filing date | put |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,150 | $18,000 | thousands by filing date | |
| HARVARD APPARATUS REGENER TE | 41690A106 | COM | 10,000 | $18,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 695 | $17,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $17,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 10,326 | $17,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,624 | $17,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $17,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 1,000 | $17,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,130 | $17,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 22,581 | $17,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $17,000 | thousands by filing date | principal |
| P & F INDS INC | 692830508 | CL A NEW | 1,828 | $17,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,501 | $17,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 6,654 | $17,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 740 | $17,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,261 | $17,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $17,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 91,000 | $17,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 1,190 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 398 | $17,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 11,700 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 14,000 | $17,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 1,200 | $17,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 26,450 | $17,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 364 | $17,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 19,000 | $17,000 | thousands by filing date | principal |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 5,500 | $16,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 791 | $16,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 648 | $16,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 878 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 1,500 | $16,000 | thousands by filing date | put |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 1,496 | $16,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 894 | $16,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $16,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 889 | $16,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,158 | $16,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 700 | $16,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 10,650 | $16,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 70 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 295 | $16,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,569 | $16,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $16,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 20,296 | $16,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,205 | $16,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 26,566 | $16,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,037 | $16,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 900 | $16,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X467 | MSCI EM50 ETF | 422 | $16,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 2,639 | $16,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 159 | $15,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 1,147 | $15,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,892 | $15,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 3,840 | $15,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 697 | $15,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,177 | $15,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 600 | $15,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 2,697 | $15,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 7,019 | $15,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 5,000 | $15,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 3,120 | $15,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 27,100 | $15,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 2,064 | $15,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 7,182 | $15,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $15,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 3,535 | $15,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 600 | $15,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 4,700 | $15,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,875 | $15,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,000 | $15,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 2,264 | $15,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 960 | $15,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 7,053 | $15,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 2,574 | $14,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,039 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 840 | $14,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 3,265 | $14,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 857 | $14,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 750 | $14,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 500 | $14,000 | thousands by filing date | call |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 750 | $14,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 400 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 922 | $14,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,000 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,000 | $14,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,822 | $14,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,598 | $14,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 704 | $14,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 36,802 | $14,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,892 | $14,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 4,310 | $14,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 410 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 586 | $14,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,792 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 592 | $14,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 3,114 | $14,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 4,700 | $14,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 10,000 | $14,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 100 | $13,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,660 | $13,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 1,026 | $13,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 886 | $13,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 300 | $13,000 | thousands by filing date | put |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 2,693 | $13,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,303 | $13,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 675 | $13,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 395 | $13,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $13,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 324 | $13,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,000 | $13,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 4,700 | $13,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 803 | $13,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,317 | $13,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 13,000 | $13,000 | thousands by filing date | principal |
| PFSWEB INC | 717098206 | COM | 1,000 | $13,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 11,000 | $13,000 | thousands by filing date | principal |
| BANRO CORP | 066800103 | COM | 51,000 | $13,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,841 | $13,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 31,426 | $13,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,000 | $13,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,614 | $13,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R783 | SOLAR ENRG NEW | 277 | $13,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $13,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 10,000 | $13,000 | thousands by filing date | principal |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 18,000 | $13,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 2,842 | $13,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 3,962 | $13,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 3,383 | $13,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 750 | $13,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 13,000 | $13,000 | thousands by filing date | principal |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 500 | $13,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 1,636 | $13,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 418 | $13,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 500 | $12,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 2,300 | $12,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,200 | $12,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 950 | $12,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 2,695 | $12,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 5,311 | $12,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $12,000 | thousands by filing date | |
| VELOCITYSHARES | 22542D530 | COMMON STOCK | 562 | $12,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 5,870 | $12,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,660 | $12,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $12,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 294 | $12,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 10,800 | $12,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 500 | $12,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $12,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,091 | $12,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 2,752 | $12,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 12,000 | $12,000 | thousands by filing date | principal |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 5,324 | $12,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $12,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| CONNECTURE INC COM | 20786J106 | Stock | 4,791 | $12,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 20,000 | $12,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $12,000 | thousands by filing date | principal |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,000 | $12,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 559 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 204 | $11,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 817 | $11,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 200 | $11,000 | thousands by filing date | call |
| ALICO INC | 016230104 | COM | 400 | $11,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,000 | $11,000 | thousands by filing date | put |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,930 | $11,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 1,500 | $11,000 | thousands by filing date | put |
| ALLIENT INC | 019330109 | COM | 589 | $11,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 333 | $11,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,020 | $11,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,163 | $11,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 795 | $11,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 549 | $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 |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 469 | $11,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 4,265 | $11,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 732 | $11,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 28,846 | $11,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 413 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 9,723 | $11,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 183 | $11,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,500 | $11,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,275 | $11,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 11,000 | $11,000 | thousands by filing date | principal |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $11,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,500 | $11,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $11,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,000 | $11,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 1,400 | $11,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 2,680 | $11,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,915 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 224 | $11,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 20,309 | $11,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 1,286 | $11,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 100 | $10,000 | thousands by filing date | put |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 200 | $10,000 | thousands by filing date | put |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 2,065 | $10,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 448 | $10,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 713 | $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 | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 11,406 | $10,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 659 | $10,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 3,354 | $10,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 377 | $10,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 8,000 | $10,000 | thousands by filing date | principal |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 1,526 | $10,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 2,000 | $10,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,732 | $10,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 1,700 | $10,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 3,348 | $10,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 990 | $10,000 | thousands by filing date | |
| ERICKSON AIR-CRANE INC | 29482P100 | COM | 6,000 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 1,053 | $10,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 5,635 | $10,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 4,000 | $10,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 494 | $10,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 3,932 | $10,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 8,000 | $10,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 8,000 | $10,000 | thousands by filing date | principal |
| SUN BANCORP INC | 86663B201 | COM NEW | 486 | $10,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 5,556 | $10,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 500 | $9,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 2,500 | $9,000 | thousands by filing date | call |
| AMERESCO INC | 02361E108 | CL A | 1,950 | $9,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 559 | $9,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 100 | $9,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,000 | $9,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $9,000 | thousands by filing date | principal |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,016 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 2,007 | $9,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 4,000 | $9,000 | thousands by filing date | call |
| ASB BANCORP INC N C | 00213T109 | COM | 372 | $9,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 196 | $9,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,600 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| Regeneron Pharmaceuticals, In | 75886FAD9 | CONV | 2,000 | $9,000 | thousands by filing date | principal |
| QUMU CORP | 749063103 | COM | 2,000 | $9,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 2,631 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 134 | $9,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 10,282 | $9,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 1,317 | $9,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,850 | $8,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,121 | $8,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 300 | $8,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 133 | $8,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,000 | $8,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 315 | $8,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,000 | $8,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,089 | $8,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 2,588 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $8,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 154 | $8,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 1,093 | $8,000 | thousands by filing date | |
| CHEVIOT FINANCIAL CORP | 16677X105 | COMMON STOCK | 514 | $8,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 4,935 | $8,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 605 | $8,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $8,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 300 | $8,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 590 | $8,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 14,254 | $8,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 207 | $8,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 544 | $8,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 600 | $8,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 9,000 | $8,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 8,000 | $8,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 4,000 | $8,000 | thousands by filing date | principal |
| GULF RESOURCES INC | 40251W309 | COM | 5,212 | $8,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,500 | $8,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 5,420 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 233 | $8,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 3,017 | $8,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,658 | $8,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 1,080 | $8,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 5,000 | $8,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 8,000 | $8,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 9,000 | $8,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 8,000 | $8,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 5,675 | $8,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 2,650 | $8,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 100 | $7,000 | thousands by filing date | put |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 390 | $7,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 753 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 100 | $7,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 545 | $7,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 232 | $7,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,000 | $7,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 400 | $7,000 | thousands by filing date | put |
| ARDELYX INC | 039697107 | COM | 900 | $7,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,000 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,112 | $7,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 4,542 | $7,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 912 | $7,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 663 | $7,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 3,872 | $7,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 800 | $7,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 988 | $7,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 979 | $7,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 6,800 | $7,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 660 | $7,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 450 | $7,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 2,115 | $7,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,087 | $7,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 2,500 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-065123 | this filing | 2016-05-13 | acceptance time not in the bulk data set |