13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-15, with 7,381 holding rows worth $431,150,871,000.
- Accession
- 0001140361-16-076405
- Filer
- CIK 70858
- Filed
- 2016-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 20,449 entries on the cover page, a total value of $431,150,871,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $431,150,871,000 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 |
|---|---|---|---|---|---|---|
| EGA EMERGING GLOBAL SHS TR EGSHARE EM | 268461621 | DOM | 1,918 | $35,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 10,616 | $35,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 761 | $34,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 2,813 | $34,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,086 | $34,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 1,819 | $34,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 3,913 | $34,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,887 | $34,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 2,261 | $34,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 7,690 | $34,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 1,408 | $34,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 25,371 | $34,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 5,132 | $34,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 19,225 | $34,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 4,269 | $34,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,214 | $34,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 271 | $34,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 100,213 | $34,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 1,817 | $33,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 2,369 | $33,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 3,159 | $33,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 1,173 | $33,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 6,461 | $33,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 3,124 | $33,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,361 | $33,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 51,115 | $33,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 21,505 | $33,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,108 | $33,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N816 | VCSHS DEV ENH VL | 1,145 | $33,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 2,848 | $33,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 4,519 | $33,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,455 | $33,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 19,960 | $33,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 600 | $32,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 2,259 | $32,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,452 | $32,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,471 | $32,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 2,823 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 3,468 | $32,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 256 | $32,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 7,863 | $32,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 34,000 | $32,000 | thousands by filing date | principal |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,200 | $32,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 5,376 | $32,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 34,558 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 1,365 | $32,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 2,890 | $32,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 15,941 | $32,000 | thousands by filing date | |
| IDI INC | 44938L108 | COM | 6,891 | $32,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 200 | $31,000 | thousands by filing date | put |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 447 | $31,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 3,000 | $31,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 3,489 | $31,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,400 | $31,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,986 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 600 | $31,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 410 | $31,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 3,200 | $31,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 13,601 | $31,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 13,559 | $31,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 13,152 | $31,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 9,868 | $31,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 1,309 | $31,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 2,586 | $31,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 1,200 | $31,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 2,515 | $31,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 5,158 | $31,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 1,238 | $30,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 1,195 | $30,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 996 | $30,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 2,916 | $30,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 2,088 | $30,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 3,740 | $30,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 1,400 | $30,000 | thousands by filing date | call |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 2,908 | $30,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,624 | $30,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 7,170 | $30,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 127,985 | $30,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,100 | $30,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,815 | $30,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 2,400 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 900 | $30,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,222 | $30,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 13,795 | $30,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 1,092 | $30,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,694 | $30,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 4,000 | $30,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,792 | $29,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 1,100 | $29,000 | thousands by filing date | call |
| WATERSTONE FINL INC MD | 94188P101 | COM | 1,912 | $29,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 6,540 | $29,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 11,821 | $29,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 5,178 | $29,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 1,300 | $29,000 | thousands by filing date | put |
| GLOBAL SOURCES LTD | G39300101 | ORD | 3,101 | $29,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 1,443 | $29,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 20,241 | $29,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,210 | $29,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 775 | $29,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 7,889 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 432 | $28,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 14,274 | $28,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,587 | $28,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 16,924 | $28,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,635 | $28,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3,668 | $28,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 3,564 | $28,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 21,150 | $28,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 33,924 | $28,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 50,466 | $28,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 13,009 | $28,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 28,000 | $28,000 | thousands by filing date | principal |
| SUSSEX BANCORP | 869245100 | COMMON | 2,126 | $28,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 17,478 | $28,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 200 | $27,000 | thousands by filing date | put |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,359 | $27,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1,500 | $27,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,300 | $27,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,000 | $27,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,135 | $27,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,029 | $27,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 1,945 | $27,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 76,855 | $27,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 7,000 | $27,000 | thousands by filing date | principal |
| ASIA PAC FD INC | 044901106 | COM | 2,816 | $27,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 21,212 | $27,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 1,107 | $27,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 11,047 | $27,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 2,428 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 300 | $26,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,000 | $26,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 5,293 | $26,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 5,721 | $26,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 3,751 | $26,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 62,864 | $26,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 5,128 | $26,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 1,000 | $26,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,000 | $26,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 1,393 | $26,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 46,000 | $26,000 | thousands by filing date | principal |
| DEUTSCHE BK AG LONDON BRH | 25155L293 | FI ENH GL0BAL HY | 209 | $26,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 204 | $25,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,173 | $25,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,585 | $25,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,591 | $25,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 788 | $25,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,963 | $25,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 3,019 | $25,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 4,045 | $25,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 2,140 | $25,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 50,547 | $25,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 12,000 | $25,000 | thousands by filing date | principal |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $25,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $25,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,007 | $25,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 3,432 | $25,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,656 | $25,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,600 | $24,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,228 | $24,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 10,485 | $24,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 845 | $24,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 3,000 | $24,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 577 | $24,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 15,000 | $24,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,575 | $24,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,053 | $24,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,608 | $24,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 103,437 | $24,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 1,503 | $24,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,037 | $24,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 11,861 | $24,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 7,619 | $24,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 15,725 | $24,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 2,203 | $24,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 3,715 | $23,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 2,701 | $23,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,387 | $23,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 403 | $23,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 657 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 400 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 502 | $23,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,390 | $23,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 2,000 | $23,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 14,210 | $23,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 8,666 | $23,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,578 | $23,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 3,836 | $23,000 | thousands by filing date | |
| SPDR SER TR | 78468R507 | SPDR BOFA ML | 783 | $23,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $23,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 3,475 | $23,000 | thousands by filing date | |
| RLJ ENTMT INC | 74965F203 | COM NEW | 11,930 | $23,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 23,000 | $23,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $23,000 | thousands by filing date | principal |
| UNITED ONLINE INC | 911268209 | COM NEW | 2,015 | $23,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 400 | $22,000 | thousands by filing date | put |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,209 | $22,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,378 | $22,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 7,326 | $22,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 3,733 | $22,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 2,009 | $22,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,651 | $22,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 780 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 674 | $22,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 865 | $22,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 3,518 | $22,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 2,780 | $22,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 6,086 | $22,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 2,443 | $22,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,180 | $22,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 730 | $22,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,666 | $22,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,582 | $22,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 811 | $22,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 26,450 | $22,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 23,000 | $22,000 | thousands by filing date | principal |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,702 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 750 | $22,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $22,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 5,003 | $22,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 898 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 907 | $21,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 245 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 414 | $21,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,355 | $21,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 329 | $21,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $21,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 440 | $21,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 735 | $21,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $21,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,381 | $21,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 13,148 | $21,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 1,468 | $21,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,240 | $21,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,544 | $21,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 9,983 | $21,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 1,155 | $21,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 5,111 | $21,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 2,948 | $21,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $21,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 6,039 | $21,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 2,969 | $21,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 2,766 | $21,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 27,000 | $21,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 450 | $21,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 16,867 | $21,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 1,975 | $21,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $20,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 542 | $20,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 3,926 | $20,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 1,669 | $20,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 754 | $20,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 1,894 | $20,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,405 | $20,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 1,278 | $20,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 838 | $20,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 2,530 | $20,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 310 | $20,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 8,120 | $20,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 4,954 | $20,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 6,365 | $20,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,932 | $20,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $20,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,887 | $20,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 6,408 | $20,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 1,608 | $19,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,346 | $19,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,170 | $19,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 1,037 | $19,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 2,825 | $19,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 321 | $19,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 2,741 | $19,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 821 | $19,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 6,273 | $19,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 8,388 | $19,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,183 | $19,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 7,794 | $19,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 26,313 | $19,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,304 | $19,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,689 | $19,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 477 | $19,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 5,891 | $19,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,236 | $19,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,867 | $19,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,066 | $19,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,055 | $18,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 25,643 | $18,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 16,739 | $18,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 3,254 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 900 | $18,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 1,195 | $18,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 30,079 | $18,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 2,577 | $18,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 24,621 | $18,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 614 | $18,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 1,857 | $18,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 91,030 | $18,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 5,000 | $18,000 | thousands by filing date | principal |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 14,100 | $18,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 757 | $18,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 42,875 | $18,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 2,910 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 450 | $18,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 3,306 | $18,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 4,455 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 705 | $18,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 710 | $18,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 8,885 | $18,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 4,625 | $18,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 100 | $17,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,206 | $17,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 1,602 | $17,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 594 | $17,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 685 | $17,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 424 | $17,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,154 | $17,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,982 | $17,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $17,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 2,000 | $17,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 5,021 | $17,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,501 | $17,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 16,306 | $17,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 18,000 | $17,000 | thousands by filing date | principal |
| ALIMERA SCIENCES INC | 016259103 | COM | 13,855 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 395 | $17,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $17,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 3,516 | $17,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 3,780 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X537 | INTL HEDGED EQ | 808 | $17,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 3,528 | $16,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $16,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 583 | $16,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 678 | $16,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 885 | $16,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 984 | $16,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,522 | $16,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 600 | $16,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 3,000 | $16,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 27,854 | $16,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 9,700 | $16,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 1,230 | $16,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 6,576 | $16,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 5,557 | $16,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,941 | $16,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 10,695 | $16,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,951 | $16,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,973 | $16,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,102 | $16,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 1,277 | $16,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 32,839 | $16,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 200 | $15,000 | thousands by filing date | put |
| WINGSTOP INC COM | 974155103 | Stock | 567 | $15,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,000 | $15,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 2,121 | $15,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,227 | $15,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,759 | $15,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 764 | $15,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 506 | $15,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,082 | $15,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 2,431 | $15,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 5,813 | $15,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 849 | $15,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,569 | $15,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 5,668 | $15,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 341 | $15,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 542 | $15,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,003 | $15,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 1,892 | $15,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 14,000 | $15,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 738 | $15,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 600 | $15,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D548 | VS 3XINV CRUDE | 200 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 586 | $15,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 3,536 | $15,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 6,647 | $15,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C708 | GBL GRW RE | 345 | $15,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,400 | $14,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 486 | $14,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,144 | $14,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 4,055 | $14,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,404 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 272 | $14,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 504 | $14,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 911 | $14,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,415 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,933 | $14,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 509 | $14,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $14,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 5,726 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 669 | $14,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,904 | $14,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 43,901 | $14,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 1,000 | $14,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 1,875 | $14,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 1,768 | $14,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,099 | $14,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 625 | $14,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,776 | $14,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 14,256 | $14,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,237 | $14,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 3,109 | $14,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 4,419 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 630 | $14,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 14,000 | $14,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 7,455 | $14,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 300 | $13,000 | thousands by filing date | put |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 520 | $13,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 1,489 | $13,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,758 | $13,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 509 | $13,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 852 | $13,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,004 | $13,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 480 | $13,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $13,000 | thousands by filing date | principal |
| SIGMA DESIGNS INC | 826565103 | COM | 2,086 | $13,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 9,000 | $13,000 | thousands by filing date | principal |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $13,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 8,307 | $13,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $13,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 3,598 | $13,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,606 | $13,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,108 | $13,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 783 | $13,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 1,422 | $13,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 239 | $12,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,177 | $12,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 902 | $12,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 1,555 | $12,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 2,311 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 339 | $12,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,494 | $12,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 852 | $12,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 882 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 340 | $12,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,000 | $12,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $12,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 1,274 | $12,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 18,697 | $12,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 2,592 | $12,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 17,797 | $12,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 1,894 | $12,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 150 | $12,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 2,710 | $12,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,091 | $12,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 10,000 | $12,000 | thousands by filing date | principal |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 667 | $12,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 3,757 | $12,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,422 | $12,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 2,631 | $12,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 3,114 | $12,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 3,591 | $12,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738110 | MAN COV SEC 16 | 20,689 | $12,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22539T563 | BG CP GRTH ETN | 200 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 211 | $11,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 362 | $11,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,098 | $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 |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 30,666 | $11,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 5,267 | $11,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 2,195 | $11,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $11,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 20,225 | $11,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 9,065 | $11,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 6,400 | $11,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 29,000 | $11,000 | thousands by filing date | principal |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 700 | $11,000 | thousands by filing date | put |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 3,000 | $11,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 26,788 | $11,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $11,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 3,537 | $11,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 3,525 | $11,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 436 | $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 | |
| SPDR INDEX SHS FDS | 78463X467 | MSCI EM50 ETF | 259 | $11,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 1,693 | $11,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 480 | $11,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,852 | $11,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 7,000 | $11,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 257 | $11,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 20,042 | $11,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $11,000 | thousands by filing date | principal |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,874 | $11,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 164 | $10,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,381 | $10,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 300 | $10,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 200 | $10,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 702 | $10,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,085 | $10,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 670 | $10,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 5,332 | $10,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,652 | $10,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 500 | $10,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 454 | $10,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 228 | $10,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 975 | $10,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 8,487 | $10,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 35,795 | $10,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 1,678 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-076405 | this filing | 2016-08-15 | acceptance time not in the bulk data set |