13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-14, with 7,055 holding rows worth $502,995,362,000.
- Accession
- 0001140361-17-031754
- Filer
- CIK 70858
- Filed
- 2017-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 19,612 entries on the cover page, a total value of $502,995,362,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $502,995,362,000 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 |
|---|---|---|---|---|---|---|
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 6,916 | $132,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 9,700 | $131,000 | thousands by filing date | call |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 18,759 | $131,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 14,210 | $131,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 8,102 | $130,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 5,957 | $130,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 11,332 | $130,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 3,061 | $130,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 7,859 | $130,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 40,712 | $129,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 7,050 | $129,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,000 | $128,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 162,477 | $128,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 715 | $128,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 4,968 | $127,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 7,488 | $126,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 13,818 | $126,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 5,164 | $126,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 13,500 | $126,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 7,648 | $125,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 17,007 | $124,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 4,592 | $123,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 942 | $123,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 4,636 | $123,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 99,769 | $123,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 11,011 | $123,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 9,382 | $122,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 7,276 | $122,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 106,515 | $122,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 7,793 | $122,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 6,000 | $122,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 12,523 | $122,000 | thousands by filing date | |
| INDUSTRIAL & COML BK CHINA L | Y39656AA4 | PRFD 6.000%12/3 | 116,000 | $122,000 | thousands by filing date | principal |
| ANAPTYSBIO INC | 032724106 | COM | 5,039 | $121,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 2,402 | $120,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 4,407 | $120,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 7,408 | $120,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 4,463 | $120,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 2,234 | $120,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 16,979 | $120,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 4,804 | $120,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 11,923 | $120,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 3,754 | $119,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 13,350 | $119,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 322,453 | $119,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 42,100 | $119,000 | thousands by filing date | put |
| GGP INC | 36174X101 | COM | 5,000 | $118,000 | thousands by filing date | call |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 16,491 | $117,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 14,591 | $117,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 3,419 | $117,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,713 | $116,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 8,404 | $116,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 4,000 | $116,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 274 | $115,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,828 | $115,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 5,253 | $115,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 14,027 | $115,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 4,200 | $114,000 | thousands by filing date | put |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 2,811 | $114,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 2,858 | $114,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 4,928 | $114,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 4,363 | $114,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,947 | $114,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 8,794 | $114,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X665 | INTL MTRLS SEC | 5,130 | $114,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 2,228 | $114,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 3,900 | $114,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 2,622 | $113,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 3,929 | $113,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 7,000 | $113,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 31,825 | $113,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 14,062 | $112,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 19,224 | $112,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 9,406 | $112,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 50,705 | $111,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 9,500 | $111,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 21,400 | $111,000 | thousands by filing date | call |
| VERSARTIS INC | 92529L102 | COM | 6,373 | $111,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 6,728 | $110,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 9,413 | $110,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 2,955 | $110,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 7,702 | $109,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 9,112 | $109,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 2,334 | $109,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 8,494 | $109,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,468 | $108,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 4,000 | $108,000 | thousands by filing date | put |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 8,008 | $108,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,390 | $108,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 8,276 | $108,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 3,697 | $106,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 295,000 | $106,000 | thousands by filing date | call |
| RUBICON PROJ INC | 78112V102 | COM | 20,700 | $106,000 | thousands by filing date | call |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 60,000 | $106,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 11,558 | $106,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 3,815 | $105,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 4,811 | $105,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 2,054 | $104,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 14,043 | $104,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 6,104 | $104,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 7,998 | $103,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 18,714 | $102,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 11,149 | $102,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 27,225 | $102,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 3,426 | $102,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 2,142 | $101,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 1,475 | $101,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 8,649 | $101,000 | thousands by filing date | |
| FQF TR AGFIQ | 351680806 | HEDGED DIV | 3,980 | $101,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 20,098 | $101,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 1,968 | $100,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 100,000 | $100,000 | thousands by filing date | principal |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,025 | $99,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 2,113 | $99,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 5,867 | $99,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 34,502 | $99,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 7,111 | $99,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 4,000 | $99,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,401 | $98,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,379 | $98,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 13,308 | $98,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 3,429 | $97,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 3,892 | $97,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 20,624 | $97,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 8,216 | $96,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 3,342 | $95,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 5,158 | $95,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 18,046 | $95,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 6,145 | $95,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 97,000 | $95,000 | thousands by filing date | principal |
| PAMT CORP | 693149106 | COMMON STOCK | 4,938 | $94,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 5,800 | $94,000 | thousands by filing date | call |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,418 | $94,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 6,817 | $94,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 3,640 | $93,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 72,699 | $93,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 3,779 | $92,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 8,240 | $92,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 4,803 | $91,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 7,220 | $91,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 21,892 | $90,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,091 | $90,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 69,212 | $90,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 2,220 | $90,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 16,034 | $89,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 12,072 | $89,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 6,430 | $89,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 7,747 | $88,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 6,239 | $88,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 3,808 | $88,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 9,244 | $88,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 17,083 | $88,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 30,059 | $87,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 35,037 | $87,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 14,805 | $87,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 20,721 | $87,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 17,215 | $87,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 3,422 | $87,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 4,000 | $86,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 1,600 | $86,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 11,981 | $86,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 29,661 | $86,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 17,023 | $86,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 1,300 | $85,000 | thousands by filing date | put |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 20,000 | $85,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 2,452 | $85,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 2,464 | $85,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 13,154 | $85,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 5,305 | $84,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 6,597 | $83,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 11,037 | $83,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 2,190 | $83,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 65,201 | $83,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 16,500 | $83,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 8,512 | $83,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,303 | $82,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 13,681 | $82,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 43,063 | $82,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 500 | $81,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 26,586 | $81,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 3,439 | $81,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,350 | $81,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 3,418 | $81,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 3,263 | $81,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 4,683 | $80,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,210 | $80,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,129 | $80,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 1,796 | $80,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 15,456 | $80,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 2,933 | $80,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 2,625 | $80,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 3,544 | $79,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 4,788 | $79,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 4,370 | $79,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 28,973 | $79,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 4,336 | $79,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 3,500 | $79,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 4,317 | $79,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 1,035 | $78,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 6,636 | $78,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 41,044 | $78,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 5,599 | $78,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 2,067 | $77,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 20,202 | $77,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 4,462 | $77,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 29,059 | $77,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 36,227 | $77,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 2,908 | $77,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 9,127 | $77,000 | thousands by filing date | |
| OMNICARE INC | 681904AR9 | DBCV 3.250%12/1 | 61,000 | $77,000 | thousands by filing date | principal |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 2,963 | $76,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 54,028 | $76,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 18,490 | $76,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,027 | $76,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 4,039 | $76,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 52,169 | $76,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 72,000 | $76,000 | thousands by filing date | principal |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 6,318 | $75,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 3,646 | $75,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 2,178 | $75,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 4,800 | $75,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 6,739 | $75,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 22,000 | $75,000 | thousands by filing date | principal |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 6,925 | $75,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 2,565 | $75,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 3,931 | $74,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,949 | $74,000 | thousands by filing date | |
| ISHARES TR | 46435G664 | ADAPTV EUR ETF | 2,722 | $74,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 9,885 | $73,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 1,012 | $73,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 6,057 | $73,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 11,122 | $73,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 35,390 | $72,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 2,420 | $72,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 4,127 | $72,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 14,598 | $72,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 5,096 | $72,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 8,194 | $72,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 1,881 | $71,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 22,423 | $71,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 46,709 | $71,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 473 | $71,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 4,782 | $71,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 5,453 | $70,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 8,726 | $70,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,764 | $70,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 7,713 | $69,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 7,763 | $69,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 32,877 | $69,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 6,300 | $69,000 | thousands by filing date | put |
| CU BANCORP | 126534106 | COM | 1,908 | $69,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 2,764 | $69,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 4,974 | $68,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,007 | $68,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 4,638 | $68,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 6,101 | $68,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 9,479 | $68,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 2,128 | $68,000 | thousands by filing date | |
| ABERDEEN LATIN AMER EQTY FD | 00306K106 | COM | 2,930 | $68,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,500 | $68,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 70,000 | $68,000 | thousands by filing date | principal |
| FIRST INTERNET BANCORP | 320557101 | COM | 2,404 | $67,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 7,000 | $67,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 19,007 | $67,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 100,000 | $67,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 67,000 | $67,000 | thousands by filing date | principal |
| POWERSHARES ETF TR II | 73937B480 | FTSE INTL LOW | 2,395 | $67,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 867 | $66,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 12,000 | $66,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 5,085 | $66,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 13,485 | $66,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 7,097 | $66,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 11,215 | $66,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 6,566 | $66,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 6,465 | $66,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 3,989 | $66,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 5,224 | $65,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 2,745 | $65,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 5,004 | $65,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 4,344 | $64,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 2,031 | $64,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,632 | $63,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 5,444 | $63,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 48,766 | $63,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 50,795 | $63,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 310 | $63,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 16,138 | $62,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 6,853 | $62,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 15,000 | $62,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 40,050 | $62,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 725 | $62,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 3,705 | $62,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 3,650 | $62,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 6,639 | $61,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 5,510 | $61,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 475 | $61,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 4,750 | $61,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 2,715 | $61,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 6,544 | $61,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 600 | $60,000 | thousands by filing date | put |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 600 | $60,000 | thousands by filing date | call |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 9,250 | $60,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 2,343 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 838 | $60,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 2,039 | $59,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 15,000 | $59,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 3,678 | $59,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 37,000 | $59,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 1,045 | $59,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 1,400 | $58,000 | thousands by filing date | call |
| WORKDAY INC CL A | 98138H101 | Stock | 600 | $58,000 | thousands by filing date | call |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 7,510 | $58,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F593 | CMN | 1,728 | $58,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 844 | $58,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 23,704 | $58,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 21,367 | $58,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 35,060 | $57,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 5,760 | $57,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 16,668 | $57,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,528 | $57,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 987 | $57,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 4,427 | $57,000 | thousands by filing date | |
| DBX ETF TR XTRCK MSCI EUROZ | 233051614 | ETF | 2,176 | $57,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 1,077 | $56,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,604 | $56,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $56,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 20,000 | $56,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 5,522 | $55,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 300 | $55,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 2,289 | $55,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 24,100 | $55,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 16,070 | $55,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 3,131 | $55,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,500 | $55,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,000 | $55,000 | thousands by filing date | |
| FI ENHANCED EUROPE 50 ETN UBS | 90274D234 | COM | 355 | $55,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 1,000 | $54,000 | thousands by filing date | call |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 764 | $54,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 3,375 | $54,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 850 | $54,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,980 | $54,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 2,011 | $54,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 2,044 | $54,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 1,800 | $54,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 6,645 | $54,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 2,959 | $54,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 60,286 | $54,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 12,221 | $53,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 6,003 | $53,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 2,955 | $53,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 6,063 | $53,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 6,940 | $53,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 5,037 | $53,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B381 | DWA MOMTM VOLT | 1,883 | $53,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 900 | $52,000 | thousands by filing date | put |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,829 | $52,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 4,053 | $52,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 11,664 | $52,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 4,280 | $52,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,075 | $52,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 5,000 | $52,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 2,748 | $52,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 5,527 | $51,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 4,872 | $51,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,701 | $51,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,743 | $51,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 15,399 | $51,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,500 | $51,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 3,559 | $51,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 24,722 | $51,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 14,652 | $51,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 2,058 | $51,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 2,055 | $50,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,500 | $50,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 2,797 | $50,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 17,683 | $50,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 4,272 | $50,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,402 | $50,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 3,230 | $50,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 3,475 | $50,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,376 | $49,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 1,254 | $49,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,030 | $49,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 20,566 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 3,850 | $49,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 8,498 | $49,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 10,845 | $49,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 2,805 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 600 | $48,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,400 | $48,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,006 | $48,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 2,190 | $48,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 6,000 | $48,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 23,237 | $48,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 10,492 | $48,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 5,268 | $48,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 6,188 | $47,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 1,300 | $47,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 1,763 | $47,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 19,757 | $47,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 2,769 | $47,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 10,116 | $47,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 2,153 | $47,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 25,000 | $47,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,476 | $46,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 5,537 | $46,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 31,090 | $46,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 600 | $46,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,850 | $46,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 28,001 | $46,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 3,411 | $45,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,200 | $45,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 117,356 | $45,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 25,986 | $45,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 6,252 | $45,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 378 | $45,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 1,257 | $45,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 1,356 | $45,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 2,304 | $44,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,426 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 1,949 | $44,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,250 | $44,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,075 | $44,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 7,291 | $44,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 2,617 | $44,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 6,096 | $44,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 20,000 | $43,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,747 | $43,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 4,222 | $43,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 5,152 | $43,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 5,174 | $43,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,677 | $43,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 11,553 | $43,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 8,518 | $43,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 3,779 | $43,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 4,136 | $43,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 1,521 | $43,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 48,748 | $42,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 3,058 | $42,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $42,000 | thousands by filing date | put |
| LCNB CORP | 50181P100 | COM | 2,106 | $42,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 9,000 | $42,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 2,800 | $42,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 15,190 | $42,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 23,145 | $42,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 22,525 | $42,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 17,396 | $42,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 5,150 | $42,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 14,550 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 1,500 | $42,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,113 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 655 | $41,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 2,321 | $41,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 2,589 | $41,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 7,612 | $41,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,212 | $41,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 10,571 | $41,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $41,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X545 | GLB EX US HDG | 1,618 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B548 | DEV EUR PA | 1,500 | $41,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 1,641 | $40,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 5,409 | $40,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 657 | $40,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 9,054 | $40,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,753 | $40,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 71,555 | $40,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 5,546 | $40,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 13,777 | $40,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P500 | COM PAR | 200,014 | $40,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 1,885 | $40,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,260 | $40,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 5,345 | $39,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 2,402 | $39,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,461 | $39,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $39,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 5,475 | $39,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 699 | $39,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 3,022 | $39,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,263 | $39,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 32,474 | $39,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 2,934 | $39,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 51,170 | $39,000 | thousands by filing date | principal |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 9,369 | $39,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 52,000 | $39,000 | thousands by filing date | principal |
| CME Group Inc. Class A | 12572Q105 | COM | 300 | $38,000 | thousands by filing date | call |
| NOVA LTD COM | M7516K103 | Stock | 1,705 | $38,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,231 | $38,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 1,056 | $38,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,840 | $38,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,000 | $38,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 6,271 | $38,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 2,501 | $38,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 1,287 | $38,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 775 | $38,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 999 | $37,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,435 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 809 | $37,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $37,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 5,400 | $37,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,197 | $37,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-031754 | this filing | 2017-08-14 | acceptance time not in the bulk data set |