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 |
|---|---|---|---|---|---|---|
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 737 | $10,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 420 | $10,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 621 | $10,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 2,480 | $10,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 369 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 5,428 | $10,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,500 | $10,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $10,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,000 | $10,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,903 | $10,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 2,821 | $10,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,000 | $10,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,179 | $10,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 220 | $10,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,264 | $10,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 300 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 776 | $10,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 5,000 | $10,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 500 | $9,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 103 | $9,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 895 | $9,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 705 | $9,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,058 | $9,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 224 | $9,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 561 | $9,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 700 | $9,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 228 | $9,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 476 | $9,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 846 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,112 | $9,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 2,765 | $9,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 8,000 | $9,000 | thousands by filing date | principal |
| MODEL N INC | 607525102 | COM | 678 | $9,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $9,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 665 | $9,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $9,000 | thousands by filing date | principal |
| INVENTURE FOODS INC | 461212102 | COM | 1,095 | $9,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 921 | $9,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 20,356 | $9,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 308 | $9,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,809 | $9,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 50,493 | $9,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 5,816 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 700 | $9,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 2,120 | $9,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 87 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 134 | $9,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 4,700 | $9,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 20,066 | $9,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 1,833 | $9,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 8,000 | $9,000 | thousands by filing date | principal |
| LABSTYLE INNOVATIONS CORP $5.0 | 50544T302 | COM | 1,700 | $9,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 600 | $8,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 25,730 | $8,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,410 | $8,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 137 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 307 | $8,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,100 | $8,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $8,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $8,000 | thousands by filing date | put |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 200 | $8,000 | thousands by filing date | put |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 272 | $8,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 195 | $8,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,000 | $8,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 4,542 | $8,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,150 | $8,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 393 | $8,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 715 | $8,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 288 | $8,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 776 | $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 |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,605 | $8,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $8,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 2,214 | $8,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $8,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,400 | $8,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,800 | $8,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 5,097 | $8,000 | thousands by filing date | |
| Regeneron Pharmaceuticals, In | 75886FAD9 | CONV | 2,000 | $8,000 | thousands by filing date | principal |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 558 | $8,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 610 | $8,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 10,000 | $8,000 | thousands by filing date | principal |
| CERULEAN PHARMA INC | 15708Q105 | COM | 3,867 | $8,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 487 | $8,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 5,000 | $8,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $8,000 | thousands by filing date | principal |
| BIOSTAGE INC | 09074M103 | COM | 7,142 | $8,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 1,500 | $7,000 | thousands by filing date | call |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 100 | $7,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,806 | $7,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 69 | $7,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 256 | $7,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 172 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,751 | $7,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 3,003 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 63 | $7,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 11,382 | $7,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 299 | $7,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,018 | $7,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 656 | $7,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,676 | $7,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 636 | $7,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 7,000 | $7,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 2,571 | $7,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,128 | $7,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 200 | $7,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 352 | $7,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH VE | 22539T316 | COM | 224 | $7,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 8,000 | $7,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25490K232 | Cmn | 840 | $7,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,850 | $6,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 520 | $6,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 261 | $6,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 1,067 | $6,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 460 | $6,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 208 | $6,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 357 | $6,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 500 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 530 | $6,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 825 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 228 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 240 | $6,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 1,189 | $6,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 228 | $6,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,200 | $6,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,592 | $6,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 1,520 | $6,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 7,000 | $6,000 | thousands by filing date | principal |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 1,360 | $6,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,217 | $6,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 167 | $6,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 23,455 | $6,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 3,474 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 2,690 | $6,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 4,550 | $6,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 22,974 | $6,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,052 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,090 | $6,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,945 | $6,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 4,000 | $6,000 | thousands by filing date | principal |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,500 | $6,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $6,000 | thousands by filing date | |
| LAPORTE BANCORP INC MD | 516651106 | COM | 370 | $6,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,306 | $6,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208RAE6 | NOTE 2.750% 3/0 | 5,000 | $6,000 | thousands by filing date | principal |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,694 | $6,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 1,004 | $6,000 | thousands by filing date | |
| USMD HLDGS INC | 903313104 | COM | 313 | $6,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 22,226 | $6,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 298 | $6,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 123 | $6,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 1,439 | $6,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 1,492 | $6,000 | thousands by filing date | |
| Proshs UltraPro Shrt QQQ | 74348A418 | Equity | 350 | $6,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 257 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 339 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 4,000 | $6,000 | thousands by filing date | principal |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 517 | $6,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 592 | $5,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 240 | $5,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 81 | $5,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 375 | $5,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 250 | $5,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,657 | $5,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 143 | $5,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 274 | $5,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,000 | $5,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 381 | $5,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 111 | $5,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 280 | $5,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $5,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 257 | $5,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,300 | $5,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 3,572 | $5,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 630 | $5,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,709 | $5,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 383 | $5,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 5,503 | $5,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 17,500 | $5,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 414 | $5,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 380 | $5,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 3,000 | $5,000 | thousands by filing date | principal |
| HHGREGG INC | 42833L108 | COM | 2,684 | $5,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 1,188 | $5,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,842 | $5,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 9,451 | $5,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 654 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 160 | $5,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 13,772 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $5,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 782 | $5,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,000 | $5,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 5,000 | $5,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $5,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 5,000 | $5,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,000 | $5,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 14,519 | $5,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 292 | $5,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,440 | $5,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 255 | $5,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 2,262 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 195 | $5,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1,125 | $5,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 214 | $5,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 1,000 | $5,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 1,234 | $5,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 478 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $5,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 4,401 | $5,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 4,500 | $5,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 1,000 | $5,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 370 | $4,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 755 | $4,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 7,475 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 156 | $4,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 276 | $4,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 348 | $4,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 550 | $4,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 470 | $4,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 211 | $4,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 100 | $4,000 | thousands by filing date | put |
| TECHTARGET INC | 87874R100 | COM | 437 | $4,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,427 | $4,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 181 | $4,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 679 | $4,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,089 | $4,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 785 | $4,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 3,534 | $4,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 87 | $4,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 366 | $4,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 209 | $4,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 243 | $4,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 532 | $4,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 400 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 100 | $4,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 216 | $4,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 393 | $4,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 9,434 | $4,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 138 | $4,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 156 | $4,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 156 | $4,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 100 | $4,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 1,450 | $4,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 845 | $4,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 251 | $4,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 1,089 | $4,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 10,000 | $4,000 | thousands by filing date | principal |
| EXA CORP | 300614500 | COM | 262 | $4,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 2,269 | $4,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 289 | $4,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,966 | $4,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 487 | $4,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 1,130 | $4,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 2,050 | $4,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 382 | $4,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 5,256 | $4,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 497 | $4,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 5,233 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 200 | $4,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 433 | $4,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 20,796 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461464 | EGSHS EMKTSCOR | 250 | $4,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $4,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 308 | $4,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 249 | $4,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 8,805 | $4,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,760 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,915 | $4,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 419 | $4,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 329 | $4,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 5,000 | $4,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,732 | $4,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 747 | $4,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 155 | $4,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,306 | $4,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 8,746 | $4,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 290 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 161 | $4,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 457 | $4,000 | thousands by filing date | |
| IMPRIVATA INC | 45323J103 | Cmn | 302 | $4,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 1,397 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 550 | $3,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 123 | $3,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 94 | $3,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 170 | $3,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 411 | $3,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 438 | $3,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 132 | $3,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 100 | $3,000 | thousands by filing date | call |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 57 | $3,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 117 | $3,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 112 | $3,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 140 | $3,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 335 | $3,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 108 | $3,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 157 | $3,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 199 | $3,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 124 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 159 | $3,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 380 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,263 | $3,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 69 | $3,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 209 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $3,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 209 | $3,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 356 | $3,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 100 | $3,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 4,000 | $3,000 | thousands by filing date | principal |
| DATALINK CORP | 237934104 | COMMON STOCK | 380 | $3,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 602 | $3,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,836 | $3,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,200 | $3,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 957 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,407 | $3,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 241 | $3,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,805 | $3,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 546 | $3,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 302 | $3,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 885 | $3,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 213 | $3,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 224 | $3,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 632 | $3,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 649 | $3,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 146 | $3,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 1,400 | $3,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 3,200 | $3,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,913 | $3,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 7,300 | $3,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,863 | $3,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 1,500 | $3,000 | thousands by filing date | put |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 592 | $3,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 111 | $3,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 1,440 | $3,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 129 | $3,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 427 | $3,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 493 | $3,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 284 | $3,000 | thousands by filing date | |
| AIRTRAN HLDGS INC | 00949PAD0 | NOTE 5.250%11/0 | 1,000 | $3,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 208 | $3,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 102 | $3,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 2,860 | $3,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 200 | $3,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 241 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,222 | $3,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $3,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 639 | $3,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 343 | $3,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 353 | $3,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 335 | $3,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,281 | $3,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 566 | $3,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 673 | $3,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 306 | $3,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 1,567 | $3,000 | thousands by filing date | |
| Intercloud Systems, Inc | 458488202 | com | 4,239 | $3,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 1,118 | $3,000 | thousands by filing date | |
| ECPG 3 11/27/17 | 292554AD4 | Bond 30/360P2 U | 3,000 | $3,000 | thousands by filing date | principal |
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| VIDEOCON D2H LTD | 92657J101 | ADR | 351 | $3,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 790 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 200 | $3,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 1,800 | $3,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 4,165 | $3,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 5,633 | $3,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 7,449 | $3,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 93 | $3,000 | thousands by filing date | |
| SENSUS HEATLHCARE INC | 81728J208 | UNIT 99/99/9999 | 500 | $3,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 143 | $2,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 185 | $2,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 175 | $2,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 291 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 151 | $2,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 37 | $2,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 119 | $2,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 220 | $2,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 655 | $2,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 157 | $2,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,135 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 37 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 40 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| IRIDEX CORP | 462684101 | COM | 142 | $2,000 | thousands by filing date | |
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| PROSHARES TR II | 74347W874 | PSH ULTRA EURO | 140 | $2,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 201 | $2,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 195 | $2,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 40 | $2,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 294 | $2,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 129 | $2,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 494 | $2,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 135 | $2,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 411 | $2,000 | thousands by filing date | |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 1,519 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,530 | $2,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 400 | $2,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 276 | $2,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 203 | $2,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 203 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W395 | FUND | 25 | $2,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 812 | $2,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 3,482 | $2,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,687 | $2,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 6,682 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 112,627 | $2,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 200 | $2,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,353 | $2,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 4,008 | $2,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 300 | $2,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 4,001 | $2,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 268 | $2,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 163 | $2,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 165 | $2,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 261 | $2,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 998 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 6,033 | $2,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 353 | $2,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 676 | $2,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 302 | $2,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 253 | $2,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 46 | $2,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 1,000 | $2,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 108 | $2,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 554 | $2,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 151 | $2,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 95 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 95 | $2,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 551 | $2,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 460 | $2,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 112 | $2,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 647 | $2,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 135 | $2,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 1,469 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 50 | $2,000 | thousands by filing date | |
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| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 2,000 | $2,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 244 | $2,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 124 | $2,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 650 | $2,000 | thousands by filing date | |
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| ARGOS THERAPEUTICS INC | 040221103 | COM | 327 | $2,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 551 | $2,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 114 | $2,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 240 | $2,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 311 | $2,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 200 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 89 | $2,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 380 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 525 | $2,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 662 | $2,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 402 | $2,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 81 | $2,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 1,742 | $2,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 185 | $2,000 | thousands by filing date | |
| PENNTEX MIDSTREAM PARTNERS L | 709311104 | COM UNIT LTD | 100 | $2,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 2,873 | $2,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC | 775431109 | COM | 4,018 | $2,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 2,537 | $2,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F858 | Cmn | 97 | $2,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 1,000 | $2,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 214 | $1,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 310 | $1,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 264 | $1,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 201 | $1,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 102 | $1,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 287 | $1,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 111 | $1,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 67 | $1,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 89 | $1,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 155 | $1,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 275 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 115 | $1,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 174 | $1,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,000 | $1,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 100 | $1,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 500 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 250 | $1,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 497 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 26 | $1,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 255 | $1,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 115 | $1,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 10 | $1,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 640 | $1,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 510 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 250 | $1,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 326 | $1,000 | 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 |