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 |
|---|---|---|---|---|---|---|
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $12,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,000 | $12,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 830 | $12,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 3,389 | $12,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 702 | $12,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,649 | $12,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 7,704 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 9,046 | $12,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 5,002 | $12,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 36,213 | $12,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $12,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 5,117 | $12,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 14,000 | $12,000 | thousands by filing date | principal |
| CPI CARD GROUP INC | 12634H101 | COM | 2,885 | $12,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,001 | $12,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $12,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 103 | $11,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 500 | $11,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 533 | $11,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,561 | $11,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 100 | $11,000 | thousands by filing date | put |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 790 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 762 | $11,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 220 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 732 | $11,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 289 | $11,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 2,858 | $11,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 400 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 80 | $11,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,234 | $11,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 11,000 | $11,000 | thousands by filing date | principal |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $11,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,500 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $11,000 | thousands by filing date | principal |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $11,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,300 | $11,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 1,864 | $11,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 5,005 | $11,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 653 | $11,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 7,442 | $11,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,531 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $11,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 2,544 | $11,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 607 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 348 | $11,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 6,356 | $11,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 496 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 500 | $11,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 1,527 | $10,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,100 | $10,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $10,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 1,293 | $10,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 819 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 203 | $10,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 451 | $10,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 3,821 | $10,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,259 | $10,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,642 | $10,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 12,000 | $10,000 | thousands by filing date | principal |
| EXETER RES CORP | 301835104 | COM | 13,250 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| FBR & CO | 30247C400 | COM NEW | 802 | $10,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 4,871 | $10,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,128 | $10,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 10,640 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 219 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $10,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,824 | $10,000 | thousands by filing date | |
| INCYTE CORP | 45337CAN2 | NOTE 1.250%11/1 | 5,000 | $10,000 | thousands by filing date | principal |
| APC 7.5 PFD | 032511404 | Preferred Stock | 251 | $10,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 408 | $10,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 298 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 746 | $10,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,374 | $10,000 | thousands by filing date | |
| OMNICARE INC | 681904AR9 | DBCV 3.250%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 573 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,145 | $9,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,308 | $9,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 414 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,114 | $9,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 1,364 | $9,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 4,542 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,000 | $9,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 1,549 | $9,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,519 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 200 | $9,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 413 | $9,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 600 | $9,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,000 | $9,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 425 | $9,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 1,600 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,500 | $9,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 1,655 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 633 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 190 | $9,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 200 | $9,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $9,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 7,000 | $9,000 | thousands by filing date | principal |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 917 | $9,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $8,000 | thousands by filing date | put |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 602 | $8,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 453 | $8,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 700 | $8,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,250 | $8,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 286 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 702 | $8,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,108 | $8,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 500 | $8,000 | thousands by filing date | call |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,732 | $8,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 739 | $8,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 20,326 | $8,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $8,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $8,000 | thousands by filing date | principal |
| VIRTUS TOTAL | 92829A103 | COM | 1,937 | $8,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 484 | $8,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,600 | $8,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 295 | $8,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 9,000 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 4,545 | $8,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 639 | $8,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 2,275 | $8,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 783 | $8,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 3,000 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,430 | $8,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 8,000 | $8,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 379 | $8,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 6,335 | $8,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 100 | $7,000 | thousands by filing date | put |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 300 | $7,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 172 | $7,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 420 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 250 | $7,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $7,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 100 | $7,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 317 | $7,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 500 | $7,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 929 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 438 | $7,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 7,000 | $7,000 | thousands by filing date | principal |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 572 | $7,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 600 | $7,000 | thousands by filing date | put |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,750 | $7,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,601 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $7,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $7,000 | thousands by filing date | principal |
| INTRICON CORP | 46121H109 | COM | 1,000 | $7,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 4,800 | $7,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 1,553 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 283 | $7,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,205 | $7,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,800 | $7,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 7,000 | $7,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 327 | $7,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,679 | $7,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,450 | $6,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,148 | $6,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 466 | $6,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 532 | $6,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 100 | $6,000 | thousands by filing date | call |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 555 | $6,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 917 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 245 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 250 | $6,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 228 | $6,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 1,611 | $6,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,300 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,705 | $6,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 488 | $6,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 6,000 | $6,000 | thousands by filing date | principal |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 100 | $6,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 450 | $6,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,276 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $6,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 6,900 | $6,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 1,100 | $6,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 550 | $6,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 783 | $6,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 931 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 359 | $6,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 308 | $6,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 1,051 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 289 | $6,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| BSFT 1 9/01/22 | 11133BAD4 | Bond 30/360P2 U | 5,000 | $6,000 | thousands by filing date | principal |
| X-TRACKERS MSCI EAFE SMALL CAP HEDGED EQUITY ETF | 233051580 | ETF | 257 | $6,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 24,212 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 3,000 | $6,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $6,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 160 | $5,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 470 | $5,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 100 | $5,000 | thousands by filing date | put |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 647 | $5,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,000 | $5,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,528 | $5,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,162 | $5,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 200 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $5,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 60 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 87 | $5,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 316 | $5,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,679 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 5,001 | $5,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 972 | $5,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $5,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 242 | $5,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 6,000 | $5,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 200 | $5,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 249 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 695 | $5,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 304 | $5,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 504 | $5,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 393 | $5,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 7,552 | $5,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,050 | $5,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 980 | $5,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $5,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 7,000 | $5,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 806 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 110 | $5,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 118 | $5,000 | thousands by filing date | |
| FLEXSHARES TR CUR HDG EM IDX | 33939L712 | CEF | 214 | $5,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 5,000 | $5,000 | thousands by filing date | principal |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 435 | $5,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 645 | $5,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 1,692 | $5,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 1,000 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X461 | JAP QTLY DIV GRO | 200 | $5,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 100 | $4,000 | thousands by filing date | put |
| NOVA LTD COM | M7516K103 | Stock | 305 | $4,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 300 | $4,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,325 | $4,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $4,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 286 | $4,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 317 | $4,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 7,534 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 37 | $4,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 50 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 103 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 187 | $4,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 216 | $4,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 2,598 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,369 | $4,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 1,304 | $4,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 2,136 | $4,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 5,000 | $4,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 4,982 | $4,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 4,000 | $4,000 | thousands by filing date | principal |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 127 | $4,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 9,050 | $4,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,781 | $4,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 415 | $4,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $4,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 208 | $4,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 319 | $4,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 1,808 | $4,000 | thousands by filing date | |
| ONVIA INC | 68338T403 | COM | 863 | $4,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 294 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 195 | $4,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 158 | $4,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 1,875 | $4,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 1,387 | $4,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 1,951 | $4,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 949 | $4,000 | thousands by filing date | |
| Emerging Markets Carbon Reduction and Climate Improvers | 19762B608 | Stock | 250 | $4,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 625 | $4,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,500 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,000 | $4,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 1,896 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 127 | $4,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Japan ETF | 97717X503 | COM | 115 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 161 | $4,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 1,000 | $4,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 889 | $3,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,095 | $3,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 541 | $3,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,000 | $3,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,523 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 159 | $3,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 511 | $3,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 504 | $3,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $3,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 600 | $3,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 200 | $3,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 2,070 | $3,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 912 | $3,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 396 | $3,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 1,698 | $3,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,324 | $3,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 5,095 | $3,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 13,000 | $3,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,520 | $3,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 700 | $3,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 128 | $3,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 5,150 | $3,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 301 | $3,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,000 | $3,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 627 | $3,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 187 | $3,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 2,000 | $3,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 1,307 | $3,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 467 | $3,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 96 | $3,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $3,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 1,587 | $3,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 243 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,550 | $3,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,334 | $3,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 3,000 | $3,000 | thousands by filing date | principal |
| PULMATRIX INC | 74584P103 | COM | 4,940 | $3,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 3,000 | $3,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 3,000 | $3,000 | thousands by filing date | principal |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 1,484 | $3,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 1,802 | $3,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 101 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 200 | $3,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B400 | EM STRATEGIC ETF | 200 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 20 | $2,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 151 | $2,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 1,860 | $2,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 100 | $2,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,065 | $2,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 55 | $2,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 275 | $2,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 445 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| Gilat Satellite Network | M51474118 | COM | 487 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 554 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 497 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $2,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 205 | $2,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 10 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 1,000 | $2,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,200 | $2,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 926 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 546 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,443 | $2,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 566 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,198 | $2,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 460 | $2,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 375 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $2,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,200 | $2,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 2,140 | $2,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 200 | $2,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 1,701 | $2,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 8,400 | $2,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 300 | $2,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 3,972 | $2,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,782 | $2,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 389 | $2,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 200 | $2,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 998 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 148 | $2,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 550 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 95 | $2,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 22,225 | $2,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 500 | $2,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 460 | $2,000 | thousands by filing date | |
| URANIUM RES INC | 916901705 | COM | 1,269 | $2,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 279 | $2,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 1,243 | $2,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 475 | $2,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 500 | $2,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 749 | $2,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 803 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 576 | $2,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 401 | $2,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 748 | $2,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 2,518 | $2,000 | thousands by filing date | |
| PARETEUM CORP COM | 69946T108 | Stock | 19,984 | $2,000 | thousands by filing date | |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 167 | $2,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 82 | $2,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 144 | $1,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 57 | $1,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 1,000 | $1,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 600 | $1,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 155 | $1,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 250 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 300 | $1,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 190 | $1,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 100 | $1,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 102 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 42 | $1,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 72 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 51 | $1,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 297 | $1,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 58 | $1,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 501 | $1,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 80 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 3,500 | $1,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 200 | $1,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 500 | $1,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 60 | $1,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 1,001 | $1,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 208 | $1,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 172 | $1,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 78 | $1,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 3,625 | $1,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,603 | $1,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 1,751 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 2,400 | $1,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 205 | $1,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 413 | $1,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 1,091 | $1,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 5,800 | $1,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 744 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,208 | $1,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 200 | $1,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 204 | $1,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 300 | $1,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 1,089 | $1,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 2,700 | $1,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 700 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,051 | $1,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 40 | $1,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 76 | $1,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 58 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 5,290 | $1,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 479 | $1,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 3,642 | $1,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 400 | $1,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 2,126 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 295 | $1,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 199 | $1,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 400 | $1,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 1,678 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 83 | $1,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 38 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 1,100 | $1,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 168 | $1,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 806 | $1,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 291 | $1,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 74 | $1,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 162 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 442 | $1,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 490 | $1,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 703 | $1,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 610 | $1,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 521 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 101 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 243 | $1,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 540 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 3,175 | $1,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 1,096 | $1,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 74 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 547 | $1,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,144 | $1,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 435 | $1,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 40 | $1,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 404 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 675 | $1,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 940 | $1,000 | thousands by filing date | |
| SPI ENERGY CO LTD NEW 2018 | 78470H109 | Common Stock | 696 | $1,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 1,000 | $1,000 | thousands by filing date | principal |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 976 | $1,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 1,000 | $1,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 500 | $1,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | principal |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 412 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 355 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 355 | $1,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 170 | $1,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 3,244 | $1,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 600 | $1,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 205 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 877 | $1,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAMTEK LTD ORD | M20791105 | Stock | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADMA BIOLOGICS INC | 000899104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAREDX INC | 14167L103 | COM | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 782 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |