13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-15, with 7,083 holding rows worth $501,823,794,000.
- Accession
- 0001140361-17-020524
- Filer
- CIK 70858
- Filed
- 2017-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 17,722 entries on the cover page, a total value of $501,823,794,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $501,823,794,000 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 |
|---|---|---|---|---|---|---|
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 2,752 | $43,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 30,933 | $42,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 195 | $42,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 672 | $42,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 2,500 | $42,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 667 | $42,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,673 | $42,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 23,098 | $42,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 4,630 | $42,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,979 | $42,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,731 | $42,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 1,337 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 1,500 | $42,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 2,400 | $41,000 | thousands by filing date | call |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,540 | $41,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,500 | $41,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 3,936 | $41,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,753 | $41,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 3,540 | $41,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,888 | $41,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $41,000 | thousands by filing date | principal |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 12,015 | $41,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,434 | $40,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 8,000 | $40,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,465 | $40,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 4,611 | $40,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $40,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 4,089 | $40,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,000 | $40,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 4,000 | $40,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 12,934 | $40,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 1,525 | $39,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 7,000 | $39,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,217 | $39,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,957 | $39,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $39,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 10,821 | $39,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 23,800 | $39,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 14,912 | $39,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 693 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 378 | $39,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,260 | $39,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 1,548 | $39,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,400 | $38,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 26,890 | $38,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,000 | $38,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 20,000 | $38,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 2,273 | $38,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,467 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,362 | $38,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 20,223 | $38,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 5,347 | $38,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 1,345 | $37,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 3,966 | $37,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,035 | $37,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 2,992 | $37,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 3,124 | $37,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,436 | $37,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,719 | $37,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 3,022 | $37,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 2,170 | $37,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 2,325 | $37,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,232 | $37,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 1,436 | $37,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 400 | $36,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,306 | $36,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,080 | $36,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,263 | $36,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,059 | $36,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $36,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,873 | $36,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 713 | $36,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $36,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 12,176 | $36,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 2,164 | $36,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 15,371 | $36,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 14,245 | $36,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,714 | $36,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 775 | $36,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 18,749 | $36,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 250 | $36,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 4,338 | $35,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 2,783 | $35,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,109 | $35,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 12,578 | $35,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 13,063 | $35,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 8,811 | $35,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 20,096 | $35,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 2,045 | $35,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 20,000 | $35,000 | thousands by filing date | principal |
| SMART SAND INC | 83191H107 | COM | 2,096 | $34,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 5,933 | $34,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 8,000 | $34,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 27,000 | $34,000 | thousands by filing date | principal |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 1,857 | $34,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 882 | $33,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 22,955 | $33,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 3,557 | $33,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 900 | $33,000 | thousands by filing date | call |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 18,278 | $33,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 12,186 | $33,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,273 | $33,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 2,028 | $33,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 7,108 | $33,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 1,947 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 917 | $33,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 33,000 | $33,000 | thousands by filing date | principal |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,380 | $33,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,431 | $33,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 9,054 | $33,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 297 | $33,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 16,343 | $33,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 1,152 | $32,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 930 | $32,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 12,675 | $32,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,550 | $32,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 22,704 | $32,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 32,054 | $32,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 2,133 | $32,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 13,336 | $32,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 1,882 | $32,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,736 | $31,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,150 | $31,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,860 | $31,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,651 | $31,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 12,655 | $31,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 2,351 | $31,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 2,455 | $31,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,416 | $31,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,221 | $31,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,910 | $31,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 8,363 | $31,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 1,453 | $31,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 590 | $31,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 3,387 | $31,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 1,900 | $30,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,053 | $30,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,016 | $30,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 31,000 | $30,000 | thousands by filing date | principal |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,875 | $30,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 7,502 | $30,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 2,000 | $30,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 8,248 | $30,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 438 | $30,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 46,000 | $30,000 | thousands by filing date | principal |
| BEAR ST FINL INC | 073844102 | COM | 3,180 | $30,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,656 | $30,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 42,683 | $30,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 16,397 | $30,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 1,000 | $29,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 47,409 | $29,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,012 | $29,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 2,062 | $29,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 5,151 | $29,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,306 | $29,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 618 | $29,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,269 | $29,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 500 | $29,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,861 | $29,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,500 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 2,549 | $29,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 9,047 | $29,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 29,000 | $29,000 | thousands by filing date | principal |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,000 | $29,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 34,413 | $29,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $29,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 23,331 | $29,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 25,000 | $29,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 996 | $29,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 5,311 | $29,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $29,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 400 | $28,000 | thousands by filing date | put |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 365 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 1,000 | $28,000 | thousands by filing date | put |
| VERICEL CORP | 92346J108 | COM | 10,049 | $28,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,812 | $28,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 825 | $28,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,224 | $28,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 4,000 | $28,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 3,243 | $28,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 16,757 | $28,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 6,686 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,000 | $28,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 2,461 | $28,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,900 | $28,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 6,995 | $28,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 830 | $28,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 1,000 | $28,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,000 | $28,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,325 | $27,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 1,670 | $27,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 3,085 | $27,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,674 | $27,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,000 | $27,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 16,469 | $27,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 9,862 | $27,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 22,813 | $27,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,200 | $27,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 1,500 | $26,000 | thousands by filing date | call |
| PREFORMED LINE PRODS CO | 740444104 | COM | 496 | $26,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 2,538 | $26,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,231 | $26,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,127 | $26,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,162 | $26,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,000 | $26,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,000 | $26,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,489 | $26,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 8,295 | $26,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 218 | $26,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 7,633 | $26,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,882 | $26,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,909 | $26,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 818 | $26,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 29,000 | $26,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 472 | $26,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 11,463 | $26,000 | thousands by filing date | |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 5,453 | $26,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 1,188 | $26,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 1,645 | $25,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,455 | $25,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 2,298 | $25,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 2,794 | $25,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,115 | $25,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,000 | $25,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 2,438 | $25,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $25,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 2,000 | $25,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 4,254 | $25,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,938 | $25,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 16,825 | $25,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 7,634 | $25,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 785 | $25,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 3,257 | $25,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,637 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 1,500 | $25,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 6,300 | $25,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,976 | $25,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,154 | $25,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 1,201 | $25,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,654 | $25,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 400 | $24,000 | thousands by filing date | put |
| TARGA RES CORP COM | 87612G101 | Stock | 400 | $24,000 | thousands by filing date | put |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,893 | $24,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,981 | $24,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 1,000 | $24,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 1,855 | $24,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 26,619 | $24,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 3,318 | $24,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 36,770 | $24,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 4,005 | $24,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 5,726 | $24,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $24,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 26,000 | $24,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 3,137 | $24,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $24,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 4,673 | $24,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 1,810 | $24,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $23,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 400 | $23,000 | thousands by filing date | put |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,442 | $23,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,300 | $23,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,258 | $23,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,308 | $23,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 10,959 | $23,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 7,000 | $23,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 7,332 | $23,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 1,370 | $23,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 23,000 | $23,000 | thousands by filing date | principal |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 40,411 | $23,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 1,000 | $22,000 | thousands by filing date | put |
| BLUE BIRD CORP | 095306106 | COM | 1,240 | $22,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 3,291 | $22,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,603 | $22,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,095 | $22,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,551 | $22,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,405 | $22,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 556 | $22,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,675 | $22,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 850 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 692 | $22,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,882 | $22,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 2,202 | $22,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 20,231 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,260 | $22,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 6,600 | $22,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 1,045 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 242 | $21,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 10,681 | $21,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 1,030 | $21,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,600 | $21,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,477 | $21,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,207 | $21,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,535 | $21,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 930 | $21,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 903 | $21,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 10,000 | $21,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 7,500 | $21,000 | thousands by filing date | call |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 10,083 | $21,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 14,000 | $21,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 3,500 | $21,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 6,875 | $21,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 5,434 | $21,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 11,665 | $21,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 2,158 | $21,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 1,255 | $20,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 400 | $20,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,014 | $20,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 763 | $20,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 7,054 | $20,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 3,605 | $20,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $20,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 814 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 1,241 | $20,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,433 | $20,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 20,632 | $20,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 4,250 | $20,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,806 | $20,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 4,300 | $20,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 10,000 | $20,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $20,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,069 | $20,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 1,310 | $20,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 1,015 | $19,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 6,817 | $19,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 4,186 | $19,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,142 | $19,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 2,061 | $19,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,287 | $19,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 17,000 | $19,000 | thousands by filing date | principal |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,932 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 23,569 | $19,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 1,030 | $19,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 13,000 | $19,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 1,570 | $19,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 30,674 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 19,000 | $19,000 | thousands by filing date | principal |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 6,831 | $19,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 4,036 | $19,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 10,833 | $19,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 4,319 | $19,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,266 | $19,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 5,058 | $19,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,000 | $18,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 5,474 | $18,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 2,587 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 900 | $18,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $18,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 647 | $18,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 143,998 | $18,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,447 | $18,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 2,282 | $18,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 3,030 | $18,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 12,975 | $18,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,501 | $18,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 398 | $18,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $18,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $18,000 | thousands by filing date | |
| MULESOFT INC | 625207105 | CL A | 728 | $18,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 1,481 | $18,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 3,543 | $18,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 1,000 | $18,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 4,391 | $18,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 1,057 | $18,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 15,725 | $18,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,343 | $17,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,245 | $17,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 615 | $17,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 233 | $17,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,520 | $17,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 2,622 | $17,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 6,135 | $17,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 52 | $17,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 700 | $17,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $17,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 1,869 | $17,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 2,507 | $17,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 2,687 | $17,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 5,876 | $17,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 2,720 | $17,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q408 | COM PAR | 10,503 | $17,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 4,871 | $17,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,309 | $17,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 400 | $16,000 | thousands by filing date | put |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 1,000 | $16,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,000 | $16,000 | thousands by filing date | call |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 600 | $16,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 395 | $16,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 1,053 | $16,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 321 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 564 | $16,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 460 | $16,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 1,068 | $16,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 3,087 | $16,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 19,939 | $16,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $16,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $16,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 778 | $16,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 11,322 | $16,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,545 | $16,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,800 | $16,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 595 | $16,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 714 | $16,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,450 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 131 | $15,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 346 | $15,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,393 | $15,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 690 | $15,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,684 | $15,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $15,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 601 | $15,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,513 | $15,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,328 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 170 | $15,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 3,200 | $15,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,375 | $15,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,156 | $15,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 452 | $15,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,959 | $15,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 3,105 | $15,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,282 | $15,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 26,472 | $15,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,200 | $15,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,421 | $15,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 405 | $15,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 42,828 | $15,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 36,702 | $15,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $15,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,601 | $15,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 520 | $15,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 100 | $14,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,936 | $14,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,764 | $14,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,293 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G417 | CR 5 10 YR ETF | 284 | $14,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 2,500 | $14,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 500 | $14,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $14,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 370 | $14,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 911 | $14,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 912 | $14,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,657 | $14,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 3,287 | $14,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 2,000 | $14,000 | thousands by filing date | put |
| UQM TECHNOLOGIES INC | 903213106 | COM | 29,550 | $14,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 1,493 | $14,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,420 | $14,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $14,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 695 | $14,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 5,115 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 348 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B548 | DEV EUR PA | 500 | $14,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 100 | $13,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 3,281 | $13,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 10,024 | $13,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 200 | $13,000 | thousands by filing date | put |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 767 | $13,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 5,828 | $13,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,040 | $13,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,546 | $13,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,271 | $13,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 902 | $13,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $13,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 2,500 | $13,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 9,739 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 529 | $13,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 824 | $13,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,086 | $13,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 6,402 | $13,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $13,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 6,815 | $13,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 2,907 | $13,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 13,000 | $13,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 8,357 | $13,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 15,682 | $13,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 369 | $13,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 200 | $12,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 200 | $12,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 841 | $12,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,155 | $12,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 534 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 418 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,462 | $12,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,300 | $12,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 2,216 | $12,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 6,627 | $12,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 292 | $12,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,317 | $12,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 10,732 | $12,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 2,449 | $12,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,452 | $12,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $12,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,476 | $12,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 1,300 | $12,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,531 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-020524 | this filing | 2017-05-15 | acceptance time not in the bulk data set |