13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-14, with 7,205 holding rows worth $462,336,453,000.
- Accession
- 0001140361-17-007005
- Filer
- CIK 70858
- Filed
- 2017-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 17,965 entries on the cover page, a total value of $462,336,453,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $462,336,453,000 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 |
|---|---|---|---|---|---|---|
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 3,282 | $43,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 3,200 | $43,000 | thousands by filing date | call |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $43,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,011 | $43,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,134 | $43,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 2,858 | $43,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 3,088 | $43,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 3,737 | $42,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 11,500 | $42,000 | thousands by filing date | put |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,609 | $42,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 840 | $42,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 6,432 | $42,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 1,700 | $42,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 8,508 | $42,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 823 | $41,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,337 | $41,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,126 | $41,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 2,864 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 300 | $41,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,673 | $41,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 2,178 | $41,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 12,578 | $41,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 2,000 | $41,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 71,481 | $41,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 4,517 | $41,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,131 | $40,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,221 | $40,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 638 | $40,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 12,149 | $40,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,736 | $40,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 1,339 | $40,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,696 | $40,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 800 | $39,000 | thousands by filing date | call |
| RAPID7 INC COM | 753422104 | Stock | 3,209 | $39,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 2,961 | $39,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 4,658 | $39,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 3,000 | $39,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,594 | $39,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,637 | $39,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,177 | $39,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,181 | $39,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,512 | $39,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 950 | $39,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 2,009 | $39,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 3,518 | $39,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 6,586 | $39,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 1,857 | $39,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 7,673 | $39,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 1,125 | $38,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 585 | $38,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,218 | $38,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 1,165 | $38,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 15,000 | $38,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 60,799 | $38,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 600 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,267 | $38,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,000 | $38,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 1,972 | $38,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 12,761 | $38,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 1,810 | $38,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 152 | $37,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,429 | $37,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 914 | $37,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 1,087 | $37,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 2,001 | $37,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,003 | $37,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,521 | $37,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 6,828 | $37,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 33,002 | $37,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 2,325 | $37,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 11,609 | $37,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 32,354 | $37,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,083 | $36,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $36,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 6,693 | $36,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,415 | $36,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 18,839 | $36,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 3,124 | $36,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 974 | $36,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 2,086 | $36,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,500 | $36,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,000 | $36,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 199 | $36,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 3,508 | $35,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,837 | $35,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 4,886 | $35,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 2,930 | $35,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 2,700 | $35,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,000 | $35,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 10,086 | $35,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 9,390 | $35,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 1,195 | $34,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,233 | $34,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,128 | $34,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 7,201 | $34,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,250 | $34,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 14,393 | $34,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 7,933 | $34,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 2,000 | $34,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 27,000 | $34,000 | thousands by filing date | principal |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 2,246 | $34,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 7,734 | $34,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 3,862 | $34,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 4,513 | $34,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 4,377 | $33,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 709 | $33,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 1,778 | $33,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,400 | $33,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,169 | $33,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,000 | $33,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 11,507 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 692 | $33,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 6,643 | $33,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 46,000 | $33,000 | thousands by filing date | principal |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 4,000 | $33,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 31,666 | $32,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 3,485 | $32,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 4,427 | $32,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 550 | $32,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 600 | $32,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 6,000 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 2,847 | $32,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,172 | $32,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 5,328 | $32,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 4,616 | $32,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 4,600 | $32,000 | thousands by filing date | put |
| HIVE | 007786106 | Stock | 5,499 | $32,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,113 | $32,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 9,528 | $32,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 7,227 | $32,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 33,300 | $32,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 13,000 | $32,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,778 | $32,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 8,000 | $32,000 | thousands by filing date | principal |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 775 | $32,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 2,846 | $32,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 2,556 | $32,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 400 | $31,000 | thousands by filing date | put |
| INVITAE CORP | 46185L103 | COM | 3,879 | $31,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 4,541 | $31,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 550 | $31,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 792 | $31,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,055 | $31,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 2,342 | $31,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,956 | $31,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 6,277 | $31,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,971 | $31,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 11,981 | $31,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 910 | $31,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 3,592 | $31,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 785 | $31,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,088 | $31,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,395 | $31,000 | thousands by filing date | |
| VanEck Vectors EM Investment Grade BB | 92189F346 | EM INVT GRD PL | 1,300 | $31,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 10,059 | $30,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,506 | $30,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 6,800 | $30,000 | thousands by filing date | put |
| VERITEX HLDGS INC | 923451108 | COM | 1,135 | $30,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 1,003 | $30,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 1,148 | $30,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,601 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 500 | $30,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,077 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 247 | $30,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,262 | $30,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 4,926 | $30,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 1,550 | $30,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 634 | $30,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 5,600 | $30,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 6,817 | $30,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 5,784 | $30,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 2,550 | $30,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 3,500 | $30,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,482 | $29,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 20,849 | $29,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,270 | $29,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 569 | $29,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,416 | $29,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 1,905 | $29,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 29,000 | $29,000 | thousands by filing date | principal |
| WALTER INVT MGMT CORP | 93317W102 | COM | 6,286 | $29,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,002 | $29,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 16,884 | $29,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $29,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 911 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 435 | $29,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 895 | $28,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,000 | $28,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 8,600 | $28,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,236 | $28,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,015 | $28,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 5,026 | $28,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 804 | $28,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,374 | $28,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 2,145 | $28,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 2,130 | $28,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 24,702 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,000 | $28,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 11,030 | $28,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 1,810 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,000 | $28,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $28,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 2,040 | $28,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,108 | $28,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,119 | $28,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 4,075 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 351 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 100 | $27,000 | thousands by filing date | call |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,017 | $27,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,000 | $27,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 825 | $27,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,627 | $27,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 15,561 | $27,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,052 | $27,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 3,196 | $27,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 218 | $27,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 24,918 | $27,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,816 | $27,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 26,000 | $27,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 6,400 | $27,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 29,000 | $27,000 | thousands by filing date | principal |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 1,200 | $27,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 5,046 | $27,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 686 | $26,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,866 | $26,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,622 | $26,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 820 | $26,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,224 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 767 | $26,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 10,303 | $26,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 6,075 | $26,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,285 | $26,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,462 | $26,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 3,072 | $26,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,013 | $26,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 2,831 | $26,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 11,489 | $26,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 5,823 | $26,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,656 | $26,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 10,512 | $26,000 | thousands by filing date | |
| ETFS TR | 26923J206 | ZACKS SM CP US | 983 | $26,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 1,045 | $25,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $25,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 493 | $25,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 2,821 | $25,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,295 | $25,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 2,711 | $25,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 17,500 | $25,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,670 | $25,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 1,900 | $25,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 2,454 | $25,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,582 | $25,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 50,000 | $25,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 34,000 | $25,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 750 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 1,500 | $25,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 6,900 | $25,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 5,001 | $25,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 3,978 | $25,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 2,466 | $25,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 17,017 | $25,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,278 | $24,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 422 | $24,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 924 | $24,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 1,100 | $24,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,524 | $24,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 1,000 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 723 | $24,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 2,000 | $24,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 30,001 | $24,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 7,550 | $24,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,203 | $24,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 16,757 | $24,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,560 | $24,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 5,896 | $24,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 10,000 | $24,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $24,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 4,100 | $24,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 205 | $24,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 994 | $24,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 450 | $24,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 25,000 | $24,000 | thousands by filing date | principal |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,043 | $23,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,999 | $23,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 310 | $23,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 4,811 | $23,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 1,244 | $23,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,017 | $23,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,161 | $23,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,500 | $23,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,406 | $23,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 694 | $23,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,026 | $23,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 500 | $23,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 6,636 | $23,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 2,566 | $23,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 2,735 | $23,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $23,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,342 | $23,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 17,569 | $23,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,770 | $23,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 2,144 | $23,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 3,914 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $23,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 13,297 | $23,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 231 | $22,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,600 | $22,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,442 | $22,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 2,771 | $22,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 1,855 | $22,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 24,836 | $22,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 3,109 | $22,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 28,784 | $22,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 6,201 | $22,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 875 | $22,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 3,125 | $22,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 22,000 | $22,000 | thousands by filing date | principal |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 534 | $22,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,434 | $22,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,545 | $22,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 812 | $22,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,654 | $22,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $21,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,380 | $21,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 868 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 400 | $21,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 4,987 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 929 | $21,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 7,609 | $21,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 20,231 | $21,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,732 | $21,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 11,384 | $20,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $20,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 12,797 | $20,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 2,168 | $20,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 4,179 | $20,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,037 | $20,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 5,326 | $20,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 25,700 | $20,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,932 | $20,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 21,653 | $20,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 2,000 | $20,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 6,651 | $20,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X537 | INTL HEDGED EQ | 808 | $20,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 2,084 | $19,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 818 | $19,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,272 | $19,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 300 | $19,000 | thousands by filing date | put |
| MOMO INC | 60879B107 | ADR | 1,056 | $19,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,000 | $19,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,146 | $19,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,449 | $19,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,590 | $19,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $19,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 848 | $19,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,158 | $19,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 14,090 | $19,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,646 | $19,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 8,501 | $19,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 7,107 | $19,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 10,204 | $19,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 4,439 | $19,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $19,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 3,536 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 19,000 | $19,000 | thousands by filing date | principal |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 30,139 | $19,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,542 | $19,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 3,980 | $19,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,236 | $19,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 14,373 | $19,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,602 | $19,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 2,276 | $18,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 853 | $18,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,548 | $18,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 907 | $18,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,565 | $18,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 3,418 | $18,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,460 | $18,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 147,707 | $18,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 1,772 | $18,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 3,030 | $18,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 5,603 | $18,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 6,320 | $18,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 42,830 | $18,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 7,173 | $18,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 6,402 | $18,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 661 | $18,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 781 | $18,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 15,725 | $18,000 | thousands by filing date | |
| FXCM INC | 302693205 | Common Stock | 2,501 | $18,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,650 | $17,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,930 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 1,152 | $17,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 637 | $17,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,000 | $17,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 900 | $17,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 4,311 | $17,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 1,077 | $17,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $17,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 782 | $17,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,039 | $17,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 52 | $17,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 401 | $17,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 26,400 | $17,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,928 | $17,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $17,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $17,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $17,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 932 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 706 | $17,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 200 | $16,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,014 | $16,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,232 | $16,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 985 | $16,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 432 | $16,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 233 | $16,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 1,800 | $16,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 321 | $16,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $16,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 10,000 | $16,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 12,000 | $16,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $16,000 | thousands by filing date | principal |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,500 | $16,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 7,948 | $16,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 26,775 | $16,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,316 | $16,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,949 | $16,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 1,197 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,731 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 336 | $16,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,823 | $16,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 5,614 | $16,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 8,363 | $16,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 3,101 | $16,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 1,000 | $16,000 | thousands by filing date | |
| OPPENHEIMER REV WEIGHTED ETF | 68386C708 | GBL GRW RE | 345 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 311 | $15,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 886 | $15,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,155 | $15,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,037 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 531 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 460 | $15,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 3,087 | $15,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,611 | $15,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 5,582 | $15,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 6,345 | $15,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $15,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,105 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 176 | $15,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 927 | $15,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 500 | $15,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 300 | $15,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 22,750 | $15,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 11,659 | $15,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 1,025 | $15,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 1,000 | $14,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 5,289 | $14,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 541 | $14,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,585 | $14,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,375 | $14,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 542 | $14,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $14,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,300 | $14,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 17,629 | $14,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 1,900 | $14,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $14,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $14,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 446 | $14,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $14,000 | thousands by filing date | principal |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 1,697 | $14,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,684 | $13,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 1,748 | $13,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,881 | $13,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 745 | $13,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 967 | $13,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,000 | $13,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,740 | $13,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 912 | $13,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 5,000 | $13,000 | thousands by filing date | principal |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,317 | $13,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 11,410 | $13,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 436 | $13,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,526 | $13,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 907 | $13,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,098 | $13,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 7,000 | $13,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 957 | $13,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 13,600 | $13,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 824 | $13,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 8,575 | $13,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 200 | $12,000 | thousands by filing date | put |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 112 | $12,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 825 | $12,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,200 | $12,000 | thousands by filing date | call |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $12,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-007005 | this filing | 2017-02-14 | acceptance time not in the bulk data set |