13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 7,271 holding rows worth $456,219,130,000.
- Accession
- 0001140361-16-086211
- Filer
- CIK 70858
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 20,652 entries on the cover page, a total value of $456,219,130,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $456,219,130,000 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 |
|---|---|---|---|---|---|---|
| TECNOGLASS INC | G87264100 | ORD SHS | 2,282 | $27,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 842 | $27,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3,480 | $27,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 4,965 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 500 | $27,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,190 | $27,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 2,673 | $27,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 102,853 | $27,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 6,900 | $27,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 9,030 | $27,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 1,809 | $27,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 966 | $26,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 6,000 | $26,000 | thousands by filing date | call |
| SHOE STA GROUP INC | 824889109 | COM | 1,002 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 644 | $26,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,508 | $26,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 11,932 | $26,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,730 | $26,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,943 | $26,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 3,156 | $26,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 634 | $26,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 731 | $26,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,026 | $26,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 2,442 | $26,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 6,369 | $26,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 6,664 | $26,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,645 | $26,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 15,144 | $26,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 7,797 | $26,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,115 | $26,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 2,602 | $26,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $26,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 15,730 | $26,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,582 | $25,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 1,226 | $25,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,413 | $25,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $25,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 3,000 | $25,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 6,608 | $25,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 8,812 | $25,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 3,213 | $25,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 2,046 | $25,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $25,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 4,130 | $25,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 1,000 | $25,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 928 | $25,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 5,321 | $24,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 17,241 | $24,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 3,594 | $24,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 3,750 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 503 | $24,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 3,853 | $24,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,195 | $24,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 9,252 | $24,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,666 | $24,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 2,401 | $24,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 4,188 | $24,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 26,580 | $24,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 869 | $24,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 1,000 | $24,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $24,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 43,038 | $24,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 900 | $24,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,699 | $24,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 4,000 | $24,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $24,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 1,000 | $24,000 | thousands by filing date | |
| ENDESA AMERS SA | 29261D104 | SPON ADR ADDED | 1,727 | $24,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,000 | $23,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 3,062 | $23,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 1,993 | $23,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,707 | $23,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,000 | $23,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $23,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,393 | $23,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 7,515 | $23,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 8,438 | $23,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,121 | $23,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 4,151 | $23,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,821 | $23,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,267 | $23,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 2,652 | $23,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 2,018 | $23,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,929 | $23,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 3,395 | $23,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,039 | $23,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,500 | $23,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 5,683 | $23,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 7,455 | $23,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 7,488 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 245 | $22,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 1,274 | $22,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 583 | $22,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,739 | $22,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $22,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 1,842 | $22,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 2,812 | $22,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,709 | $22,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 451 | $22,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,552 | $22,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 890 | $22,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 23,000 | $22,000 | thousands by filing date | principal |
| VERSARTIS INC | 92529L102 | COM | 1,744 | $22,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 450 | $22,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 25,000 | $22,000 | thousands by filing date | principal |
| PACER FDS TR | 69374H501 | AUTOP HED EURO | 909 | $22,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 619 | $21,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $21,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 405 | $21,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 412 | $21,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,623 | $21,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,020 | $21,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,743 | $21,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 20,261 | $21,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $21,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,536 | $21,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 2,809 | $21,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $21,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 872 | $21,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 545 | $21,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 27,730 | $20,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 7,652 | $20,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 342 | $20,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 1,012 | $20,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 300 | $20,000 | thousands by filing date | put |
| HURCO CO | 447324104 | COM | 706 | $20,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 7,856 | $20,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,599 | $20,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 295 | $20,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 749 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 939 | $20,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 1,833 | $20,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 1,876 | $20,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 11,106 | $20,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 772 | $20,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 772 | $20,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 2,047 | $20,000 | thousands by filing date | |
| ETFS TR | 26923J206 | ZACKS SM CP US | 805 | $20,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 1,038 | $19,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 200 | $19,000 | thousands by filing date | put |
| JACK IN THE BOX INC | 466367109 | COM | 200 | $19,000 | thousands by filing date | put |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,161 | $19,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,138 | $19,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 801 | $19,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,491 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 900 | $19,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,879 | $19,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,056 | $19,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 4,458 | $19,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,401 | $19,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 2,359 | $19,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,372 | $19,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $19,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $19,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 5,000 | $19,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 11,286 | $19,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 7,000 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X537 | INTL HEDGED EQ | 808 | $19,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 200 | $18,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,008 | $18,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 82 | $18,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,857 | $18,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,660 | $18,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,165 | $18,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,000 | $18,000 | thousands by filing date | call |
| 51JOB INC | 316827104 | SPONSORED ADS | 542 | $18,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,004 | $18,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,546 | $18,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,245 | $18,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,723 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,125 | $18,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 636 | $18,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 521 | $18,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 7,506 | $18,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $18,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 4,521 | $18,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 2,496 | $18,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 9,000 | $18,000 | thousands by filing date | principal |
| INTELSAT S A | L5140P101 | COM | 6,495 | $18,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 17,102 | $18,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $18,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 2,228 | $18,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 10,216 | $18,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,435 | $18,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 3,386 | $18,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 10,711 | $18,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 9,730 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 718 | $17,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 687 | $17,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 722 | $17,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,028 | $17,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 336 | $17,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $17,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 21,309 | $17,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 1,979 | $17,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,300 | $17,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,180 | $17,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,780 | $17,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 621 | $17,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 525 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 14,000 | $17,000 | thousands by filing date | principal |
| CARE COM INC | 141633107 | COM | 1,727 | $17,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 674 | $17,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,453 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 706 | $17,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 3,130 | $17,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 2,103 | $17,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 850 | $16,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 587 | $16,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,000 | $16,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 409 | $16,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 699 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 683 | $16,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $16,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 1,476 | $16,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 4,621 | $16,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 341 | $16,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 13,348 | $16,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 902 | $16,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 1,748 | $16,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 5,144 | $16,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 5,313 | $16,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 18,000 | $16,000 | thousands by filing date | principal |
| NEW HOME CO INC COM | 645370107 | COM | 1,411 | $16,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C708 | GBL GRW RE | 345 | $16,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 606 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 314 | $15,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 1,691 | $15,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 881 | $15,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 578 | $15,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 886 | $15,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 774 | $15,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 821 | $15,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $15,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 795 | $15,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 622 | $15,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 1,500 | $15,000 | thousands by filing date | put |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,000 | $15,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,296 | $15,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 2,629 | $15,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,094 | $15,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,044 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 324 | $15,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 3,535 | $15,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 951 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 586 | $15,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 1,120 | $15,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 1,628 | $15,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 1,811 | $15,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,759 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 143 | $14,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 229 | $14,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 1,035 | $14,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 527 | $14,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 135 | $14,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 848 | $14,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 393 | $14,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,248 | $14,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 13,600 | $14,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 269 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 476 | $14,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 200 | $14,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 1,155 | $14,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,812 | $14,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 826 | $14,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $14,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 4,000 | $14,000 | thousands by filing date | principal |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 1,525 | $14,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,144 | $14,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 398 | $14,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,360 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,468 | $14,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $14,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 943 | $14,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,280 | $14,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 6,000 | $14,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 656 | $14,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 200 | $13,000 | thousands by filing date | put |
| CITY OFFICE REIT INC | 178587101 | COM | 1,019 | $13,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 200 | $13,000 | thousands by filing date | put |
| IES HOLDINGS INC | 44951W106 | COM | 694 | $13,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,797 | $13,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 708 | $13,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 1,714 | $13,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,758 | $13,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 571 | $13,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 609 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 276 | $13,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,039 | $13,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 548 | $13,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 30,144 | $13,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,285 | $13,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 2,923 | $13,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 932 | $13,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 3,070 | $13,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 4,670 | $13,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 4,344 | $13,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 809 | $13,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 1,616 | $13,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 3,364 | $13,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 30,250 | $13,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 300 | $13,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 9,150 | $13,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 8,111 | $13,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 10,000 | $13,000 | thousands by filing date | principal |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 667 | $13,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 332 | $13,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 5,283 | $13,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 500 | $12,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 1,000 | $12,000 | thousands by filing date | call |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 682 | $12,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 575 | $12,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,032 | $12,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 427 | $12,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 546 | $12,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 7,130 | $12,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 260 | $12,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $12,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 500 | $12,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 871 | $12,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 3,800 | $12,000 | thousands by filing date | call |
| VIRNETX HLDG CORP | 92823T108 | COM | 3,956 | $12,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 1,017 | $12,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 700 | $12,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 17,008 | $12,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 2,210 | $12,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 422 | $12,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,915 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $12,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 436 | $12,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 764 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 413 | $12,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 1,000 | $12,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 799 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 348 | $12,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $12,000 | thousands by filing date | principal |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 332 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 200 | $11,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,396 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 418 | $11,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 650 | $11,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,000 | $11,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 6,550 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 200 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 311 | $11,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,000 | $11,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 576 | $11,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,588 | $11,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 7,000 | $11,000 | thousands by filing date | principal |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 377 | $11,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 342 | $11,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 986 | $11,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 3,531 | $11,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 15,251 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 9,046 | $11,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 5,400 | $11,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 3,000 | $11,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 444 | $11,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 1,326 | $11,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $11,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 398 | $11,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,703 | $11,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 793 | $11,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $11,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 298 | $11,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 9,957 | $11,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 2,792 | $11,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 1,656 | $11,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 2,281 | $11,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $11,000 | thousands by filing date | principal |
| APIGEE CORP COM | 03765N108 | Stock | 640 | $11,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 487 | $11,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,137 | $10,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 248 | $10,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 915 | $10,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 307 | $10,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 407 | $10,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 432 | $10,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $10,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 981 | $10,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 631 | $10,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,310 | $10,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,028 | $10,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 500 | $10,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 526 | $10,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,283 | $10,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 757 | $10,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 759 | $10,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,281 | $10,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 377 | $10,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 423 | $10,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,301 | $10,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 305 | $10,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 477 | $10,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 5,179 | $10,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,436 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 200 | $10,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 12,000 | $10,000 | thousands by filing date | principal |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 311 | $10,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 767 | $10,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 19,997 | $10,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 4,359 | $10,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 2,273 | $10,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 12,819 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| SI FINL GROUP INC MD | 78425V104 | COM | 750 | $10,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,647 | $10,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 392 | $10,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 781 | $10,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 245 | $10,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 5,000 | $10,000 | thousands by filing date | principal |
| GENER8 MARITIME INC | Y26889108 | COM | 2,021 | $10,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 8,000 | $10,000 | thousands by filing date | principal |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 457 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 691 | $10,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,337 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 132 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 307 | $9,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,100 | $9,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 349 | $9,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 700 | $9,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 154 | $9,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 205 | $9,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 947 | $9,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 185 | $9,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,704 | $9,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 701 | $9,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 2,165 | $9,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $9,000 | thousands by filing date | principal |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 9,000 | $9,000 | thousands by filing date | principal |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,818 | $9,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,809 | $9,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 4,000 | $9,000 | thousands by filing date | principal |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 5,662 | $9,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,937 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,000 | $9,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 4,638 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 1,792 | $9,000 | thousands by filing date | |
| PHASERX INC | 71723F103 | COM | 3,397 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K356 | OIL GAS BL 3X SH | 100 | $9,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 664 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 134 | $9,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $9,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 2,896 | $9,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 290 | $9,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 2,376 | $8,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $8,000 | thousands by filing date | put |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 309 | $8,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 329 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 397 | $8,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 4,542 | $8,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 5,000 | $8,000 | thousands by filing date | principal |
| NW Biotherapeutics | 66737P600 | USD | 14,465 | $8,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,703 | $8,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 686 | $8,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 525 | $8,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 5,193 | $8,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 3,699 | $8,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,416 | $8,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,176 | $8,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 500 | $8,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 5,720 | $8,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $8,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 7,500 | $8,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $8,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $8,000 | thousands by filing date | principal |
| INTRICON CORP | 46121H109 | COM | 1,357 | $8,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 1,209 | $8,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,277 | $8,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 614 | $8,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 1,908 | $8,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 3,500 | $8,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 4,700 | $8,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 2,447 | $8,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 836 | $8,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,950 | $7,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 100 | $7,000 | thousands by filing date | call |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 100 | $7,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 434 | $7,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 966 | $7,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 100 | $7,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 468 | $7,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,388 | $7,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 386 | $7,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 172 | $7,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 286 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 358 | $7,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 507 | $7,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 961 | $7,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 100 | $7,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 228 | $7,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,280 | $7,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 4,162 | $7,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-086211 | this filing | 2016-11-14 | acceptance time not in the bulk data set |