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 |
|---|---|---|---|---|---|---|
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,279 | $12,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $12,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $12,000 | thousands by filing date | principal |
| X-TRACKERS MSCI EAFE SMALL CAP HEDGED EQUITY ETF | 233051580 | ETF | 443 | $12,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $12,000 | thousands by filing date | principal |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 12,000 | $12,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 796 | $12,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 5,635 | $12,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 846 | $11,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 100 | $11,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 936 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 160 | $11,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $11,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,000 | $11,000 | thousands by filing date | call |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 834 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 368 | $11,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $11,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 780 | $11,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 626 | $11,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 6,874 | $11,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 800 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 542 | $11,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $11,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $11,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 4,074 | $11,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 1,300 | $11,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 735 | $11,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,510 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $11,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,414 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 315 | $11,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 644 | $11,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 11,658 | $11,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 202 | $10,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,056 | $10,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 207 | $10,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 571 | $10,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 700 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,476 | $10,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,300 | $10,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 900 | $10,000 | thousands by filing date | call |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,012 | $10,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,241 | $10,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $10,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 531 | $10,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 6,748 | $10,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 22,263 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 425 | $10,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 1,340 | $10,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 3,039 | $10,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $10,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,430 | $10,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 7,000 | $10,000 | thousands by filing date | principal |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 5,000 | $10,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 5,152 | $9,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $9,000 | thousands by filing date | put |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,037 | $9,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 502 | $9,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,270 | $9,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,926 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 15,000 | $9,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 5,000 | $9,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 3,182 | $9,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 10,000 | $9,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 3,000 | $9,000 | thousands by filing date | principal |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 564 | $9,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 272 | $9,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $9,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,000 | $9,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 25,000 | $9,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 296 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 1,885 | $9,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,568 | $9,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,059 | $9,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P500 | COM PAR | 100,019 | $9,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 10,000 | $9,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 1,353 | $9,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 854 | $9,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 9,000 | $9,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B797 | ULSHRT SEMIC NEW | 500 | $9,000 | thousands by filing date | |
| NEXVET BIOPHARMA PLC | G6503X109 | ORD SHS | 2,390 | $9,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,391 | $9,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 249 | $8,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 320 | $8,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 574 | $8,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 1,308 | $8,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 544 | $8,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 7,601 | $8,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,679 | $8,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 926 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 200 | $8,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 737 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 4,046 | $8,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 6,892 | $8,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $8,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 3,535 | $8,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,937 | $8,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,000 | $8,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,009 | $8,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 150 | $8,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | 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 | |
| FULGENT GENETICS INC | 359664109 | COM | 686 | $7,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,053 | $7,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 494 | $7,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,000 | $7,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 2,144 | $7,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 295 | $7,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,003 | $7,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,100 | $7,000 | thousands by filing date | |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 2,515 | $7,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 2,670 | $7,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,948 | $7,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 300 | $7,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $7,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 9,000 | $7,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 3,600 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $7,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 6,500 | $7,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $7,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,118 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 308 | $7,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 580 | $7,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,950 | $6,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,500 | $6,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,324 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 200 | $6,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 400 | $6,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 470 | $6,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 263 | $6,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 317 | $6,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 155 | $6,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 555 | $6,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 250 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 86 | $6,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 605 | $6,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 8,000 | $6,000 | thousands by filing date | principal |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,300 | $6,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 5,000 | $6,000 | thousands by filing date | principal |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 449 | $6,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 559 | $6,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,750 | $6,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 2,000 | $6,000 | thousands by filing date | principal |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 7,730 | $6,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 501 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $6,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 2,025 | $6,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 320 | $6,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 418 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 200 | $6,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 1,002 | $6,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 200 | $6,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 4,000 | $6,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 289 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 110 | $6,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 10,000 | $6,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| APC 7.5 PFD | 032511404 | Preferred Stock | 140 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 2,000 | $6,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 200 | $6,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 200 | $5,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 103 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 204 | $5,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 200 | $5,000 | thousands by filing date | put |
| 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 | |
| CKX LDS INC | 12562N104 | COM | 408 | $5,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 3,518 | $5,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 14,061 | $5,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 5,000 | $5,000 | thousands by filing date | principal |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 284 | $5,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,732 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 500 | $5,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,275 | $5,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 208 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 300 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $5,000 | thousands by filing date | principal |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $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 | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 328 | $5,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 314 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,375 | $5,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 249 | $5,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 845 | $5,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 612 | $5,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,038 | $5,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 8,024 | $5,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 130 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 200 | $4,000 | thousands by filing date | put |
| SIEBERT FINL CORP | 826176109 | COM | 1,000 | $4,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,650 | $4,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 448 | $4,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $4,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 40 | $4,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 1,220 | $4,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 1,000 | $4,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 2,000 | $4,000 | thousands by filing date | principal |
| OI SA-ADR | 670851500 | ADR | 565 | $4,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 5,325 | $4,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 3,306 | $4,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,780 | $4,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 123 | $4,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 4,700 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 75 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,000 | $4,000 | thousands by filing date | principal |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 3,000 | $4,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 408 | $4,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $4,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 3,381 | $4,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 8,853 | $4,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 105 | $4,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,630 | $4,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,223 | $4,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 137 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 127 | $4,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 4,000 | $4,000 | thousands by filing date | principal |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 902 | $4,000 | thousands by filing date | |
| INPIXON COM | 45790J107 | Stock | 1,334 | $4,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 1,692 | $4,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 1,000 | $4,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 317 | $3,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 151 | $3,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 1,459 | $3,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 153 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 159 | $3,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 483 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,568 | $3,000 | thousands by filing date | principal |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 61 | $3,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 166 | $3,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 2,200 | $3,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 5,315 | $3,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 2,115 | $3,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 165 | $3,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 6,950 | $3,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 100 | $3,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 1,675 | $3,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,324 | $3,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 5,000 | $3,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,520 | $3,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 400 | $3,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 300 | $3,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $3,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 1,782 | $3,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 500 | $3,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 1,000 | $3,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 247 | $3,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 1,000 | $3,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 148 | $3,000 | thousands by filing date | |
| CTI INDUSTRIES CORP | 125961300 | COM NEW | 473 | $3,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 1,307 | $3,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 109 | $3,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 1,642 | $3,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 4,000 | $3,000 | thousands by filing date | principal |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 2,000 | $3,000 | thousands by filing date | principal |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 540 | $3,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 647 | $3,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 1,099 | $3,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 1,550 | $3,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 625 | $3,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,590 | $3,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 307 | $3,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 4,000 | $3,000 | thousands by filing date | principal |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 1,896 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 200 | $3,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 2,000 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 66 | $2,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 282 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 22 | $2,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 806 | $2,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 100 | $2,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 314 | $2,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,024 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 507 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $2,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $2,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 109 | $2,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 123 | $2,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 826 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,443 | $2,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 80 | $2,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 910 | $2,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 2,000 | $2,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,061 | $2,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 460 | $2,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 63 | $2,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 300 | $2,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 2,140 | $2,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,000 | $2,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 6,000 | $2,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 2,208 | $2,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 389 | $2,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 2,000 | $2,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 177 | $2,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 5,500 | $2,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 45 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 34 | $2,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 200 | $2,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 342 | $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 | 22,223 | $2,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 168 | $2,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 255 | $2,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 3,175 | $2,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,144 | $2,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 1,000 | $2,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 1,000 | $2,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 2,000 | $2,000 | thousands by filing date | principal |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 2,000 | $2,000 | thousands by filing date | principal |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 100 | $2,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 2,000 | $2,000 | thousands by filing date | principal |
| MELROSE BANCORP INC | 585553100 | COM | 145 | $2,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 1,000 | $2,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 2,000 | $2,000 | thousands by filing date | principal |
| CONNECTURE INC COM | 20786J106 | Stock | 1,714 | $2,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 9,190 | $2,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 66 | $2,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 86 | $2,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 57 | $1,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 143 | $1,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 50 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,065 | $1,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 87 | $1,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 474 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 250 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 200 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 404 | $1,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 250 | $1,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 33 | $1,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 367 | $1,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 100 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 42 | $1,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 350 | $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 | 60 | $1,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 5 | $1,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 850 | $1,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 321 | $1,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 1,703 | $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 |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 200 | $1,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 149 | $1,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 108 | $1,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 127 | $1,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 342 | $1,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 1,603 | $1,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 1,750 | $1,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $1,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 2,373 | $1,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 200 | $1,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 6,816 | $1,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 200 | $1,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 167 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,050 | $1,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 76 | $1,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 156 | $1,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 200 | $1,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 163 | $1,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 396 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 5,290 | $1,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 63 | $1,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 478 | $1,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 273 | $1,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 1,213 | $1,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 133 | $1,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 83 | $1,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 140 | $1,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 597 | $1,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 1,000 | $1,000 | thousands by filing date | principal |
| SOLIGENIX INC | 834223307 | COM | 291 | $1,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 797 | $1,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 8,555 | $1,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 669 | $1,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 610 | $1,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 239 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 102 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 84 | $1,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 650 | $1,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 168 | $1,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 400 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 546 | $1,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 848 | $1,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 232 | $1,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 105 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 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 | 978 | $1,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 1,000 | $1,000 | thousands by filing date | principal |
| COGENTIX MED INC COM | 19243A104 | Stock | 726 | $1,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 100 | $1,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 270 | $1,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 146 | $1,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 644 | $1,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 2,250 | $1,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 500 | $1,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 1,000 | $1,000 | thousands by filing date | principal |
| STONE ENERGY CORP | 861642403 | COM PAR | 45 | $1,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| BSFT 1 9/01/22 | 11133BAD4 | Bond 30/360P2 U | 1,000 | $1,000 | thousands by filing date | principal |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 30 | $1,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 1,450 | $1,000 | thousands by filing date | |
| STONE ENERGY CORP WT EXP 022821 | 861642114 | Stock | 155 | $1,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 1,756 | $1,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 507 | $1,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 500 | $1,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 200 | $1,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L209 | COM | 182 | $1,000 | thousands by filing date | |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 166 | $1,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 94 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOINT CORP | 47973J102 | COM | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TECNOGLASS INC | G87264100 | ORD SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 360 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRO DEX INC | 74265M205 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT INDUSTRIES CO | 871565107 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTREPID POTASH INC | 46121Y102 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DLH HLDGS CORP | 23335Q100 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COFFEE HLDG CO INC | 192176105 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTOSORBENTS CORP | 23283X206 | CMN | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AWARE INC MASS | 05453N100 | CMN | 104 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADWIND INC | 11161T207 | CMN | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFCO INDS INC | 826546103 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DATA I O CORP | 237690102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMERSON RADIO CORP | 291087203 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T INC | 009207101 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DAXOR CORP | 239467103 | COM | 38 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FONAR CORP | 344437405 | COM NEW | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARVER BANCORP ORD | 146875604 | COM | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CTI BIOPHARMA CORP | 12648L601 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANRO CORP | 066800103 | COM | 1,325 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIBER INC | 17163B102 | COM | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMAGE SENSING SYS INC | 45244C104 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 91,296 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMYRIS INC | 03236M101 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 115 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PRIMERO MNG CORP | 74164W106 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MITCHAM INDS INC COM | 606501104 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDSON GLOBAL INC | 443787106 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOVIE MEDICAL CORP | 10211F100 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDFIELD CORP | 381370105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ID SYSTEMS INC | 449489103 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERSECTIONS INC | 460981301 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LMI AEROSPACE INC | 502079106 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RELM WIRELESS CORP | 759525108 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |