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 |
|---|---|---|---|---|---|---|
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 1,342 | $37,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 4,600 | $37,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,597 | $36,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 7,700 | $36,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 1,958 | $36,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 3,677 | $36,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 1,438 | $36,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,772 | $36,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 1,946 | $36,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 18,713 | $36,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 1,956 | $36,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 31,000 | $36,000 | thousands by filing date | principal |
| BLOCK INC CL A | 852234103 | Stock | 1,500 | $35,000 | thousands by filing date | call |
| ILLUMINA INC | 452327109 | COM | 200 | $35,000 | thousands by filing date | put |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 2,688 | $35,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 729 | $35,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $35,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,500 | $35,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 4,991 | $35,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,199 | $35,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,892 | $35,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 9,356 | $35,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 2,007 | $35,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,400 | $35,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 2,806 | $35,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 1,873 | $35,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 4,000 | $35,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 300 | $34,000 | thousands by filing date | put |
| CAMECO CORP COM | 13321L108 | Stock | 3,700 | $34,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 477 | $34,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 6,662 | $34,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,642 | $34,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 1,305 | $34,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 6,459 | $34,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 4,086 | $34,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 14,736 | $34,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 4,287 | $34,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 2,713 | $34,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 27,232 | $34,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 2,776 | $34,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,307 | $33,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 1,432 | $33,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,205 | $33,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 3,124 | $33,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 96,243 | $33,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 750 | $33,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 17,000 | $33,000 | thousands by filing date | principal |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 8,284 | $33,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 6,348 | $33,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 2,673 | $33,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 12,213 | $33,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 1,656 | $33,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 1,732 | $33,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 13,218 | $32,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 2,600 | $32,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,482 | $32,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,123 | $32,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,015 | $32,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 6,665 | $32,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 14,964 | $32,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 27,000 | $32,000 | thousands by filing date | principal |
| DBX ETF TR | 233051622 | EM HGH DIV | 1,360 | $32,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,625 | $31,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 893 | $31,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,875 | $31,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,189 | $31,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,016 | $31,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 6,819 | $31,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 6,016 | $31,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,111 | $31,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 19,258 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,150 | $31,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,457 | $31,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 1,193 | $31,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 5,468 | $31,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 13,234 | $31,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 206 | $30,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 5,510 | $30,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 2,158 | $30,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 2,321 | $30,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,969 | $30,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,167 | $30,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 3,000 | $30,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 930 | $30,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 9,938 | $30,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 12,655 | $30,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,500 | $30,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,144 | $30,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,192 | $30,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 1,196 | $30,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 3,969 | $30,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 12,500 | $30,000 | thousands by filing date | call |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,370 | $30,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 23,098 | $30,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,237 | $30,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,713 | $30,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 997 | $30,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 4,800 | $30,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 22,000 | $30,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 1,000 | $29,000 | thousands by filing date | put |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 4,655 | $29,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 29,000 | $29,000 | thousands by filing date | principal |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 29,000 | $29,000 | thousands by filing date | principal |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 24,000 | $29,000 | thousands by filing date | principal |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 1,916 | $29,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 5,802 | $28,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,300 | $28,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 601 | $28,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 4,877 | $28,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 4,000 | $28,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 732 | $28,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 5,500 | $28,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 1,399 | $28,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 2,515 | $28,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 8,600 | $28,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 3,200 | $28,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 830 | $28,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 3,206 | $28,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,144 | $28,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 28,000 | $28,000 | thousands by filing date | principal |
| ALLSTATE CORP COM | 020002101 | Stock | 300 | $27,000 | thousands by filing date | call |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 1,000 | $27,000 | thousands by filing date | call |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,600 | $27,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 7,483 | $27,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 17,525 | $27,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 20,831 | $27,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,216 | $27,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 805 | $27,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 1,878 | $27,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 500 | $26,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,330 | $26,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 825 | $26,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 1,018 | $26,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 3,887 | $26,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 11,194 | $26,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 5,521 | $26,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 3,087 | $26,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 22,000 | $26,000 | thousands by filing date | principal |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 626 | $26,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,603 | $26,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 56,087 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,000 | $26,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 10,000 | $26,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,315 | $26,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 18,996 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 282 | $25,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 1,557 | $25,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 928 | $25,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 3,011 | $25,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $25,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 6,241 | $25,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,497 | $25,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 10,990 | $25,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 12,176 | $25,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,342 | $25,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 4,256 | $25,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 1,078 | $25,000 | thousands by filing date | |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 6,227 | $25,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 200 | $24,000 | thousands by filing date | put |
| MOODYS CORP COM | 615369105 | Stock | 200 | $24,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 4,382 | $24,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,427 | $24,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 1,206 | $24,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 898 | $24,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,442 | $24,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,000 | $24,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,147 | $24,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 660 | $24,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 7,424 | $24,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 18,030 | $24,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,932 | $24,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 24,000 | $24,000 | thousands by filing date | principal |
| MANNING + NAPIER INC | 56382Q102 | CL A | 5,722 | $24,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $24,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 1,500 | $24,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 26,000 | $24,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 5,934 | $24,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,000 | $24,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 780 | $24,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 400 | $23,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 51,909 | $23,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 3,030 | $23,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 687 | $23,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,139 | $23,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,835 | $23,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 2,800 | $23,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 573 | $23,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 16,132 | $23,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 1,000 | $22,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 446 | $22,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 1,600 | $22,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 931 | $22,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $22,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,995 | $22,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 2,000 | $22,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 5,573 | $22,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 1,365 | $22,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 14,677 | $22,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 1,747 | $22,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 42,923 | $22,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 36,200 | $22,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,000 | $22,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 16,241 | $22,000 | thousands by filing date | |
| X-TRACKERS MSCI EAFE SMALL CAP HEDGED EQUITY ETF | 233051580 | ETF | 801 | $22,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 14,953 | $22,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 746 | $21,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 2,196 | $21,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,643 | $21,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 1,826 | $21,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,324 | $21,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 5,295 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 567 | $21,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 970 | $21,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 1,419 | $21,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,210 | $21,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 186 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 2,223 | $21,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 6,472 | $21,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 950 | $21,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 2,459 | $20,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 1,000 | $20,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 1,500 | $20,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 661 | $20,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $20,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,248 | $20,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 1,300 | $20,000 | thousands by filing date | put |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 52 | $20,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 700 | $20,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 785 | $20,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 392 | $20,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 6,000 | $20,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $20,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,236 | $20,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $20,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,175 | $19,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,051 | $19,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 2,456 | $19,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 818 | $19,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,400 | $19,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 3,869 | $19,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 19,000 | $19,000 | thousands by filing date | principal |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 7,548 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $19,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 5,152 | $19,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,008 | $19,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,545 | $19,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,309 | $19,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 7,913 | $19,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 3,452 | $19,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 1,810 | $19,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 561 | $18,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 884 | $18,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 742 | $18,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 455 | $18,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 1,827 | $18,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,000 | $18,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 350 | $18,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $18,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,987 | $18,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,563 | $18,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 7,367 | $18,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 11,680 | $18,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 398 | $18,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,788 | $18,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $18,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 4,200 | $18,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 22,813 | $18,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 815 | $18,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 737 | $17,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,000 | $17,000 | thousands by filing date | call |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,320 | $17,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,000 | $17,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 726 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 185 | $17,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 581 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 674 | $17,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,244 | $17,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,000 | $17,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 2,423 | $17,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $17,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 5,034 | $17,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 7,000 | $17,000 | thousands by filing date | principal |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 899 | $16,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 395 | $16,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 1,901 | $16,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 231 | $16,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $16,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 1,000 | $16,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 820 | $16,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 15,000 | $16,000 | thousands by filing date | principal |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 18,649 | $16,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 577 | $16,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $16,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,000 | $16,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 2,738 | $16,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,500 | $16,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 3,804 | $16,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 12,000 | $16,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,601 | $16,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,003 | $15,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $15,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 601 | $15,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 21,842 | $15,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 597 | $15,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 8,592 | $15,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 4,611 | $15,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 603 | $15,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,143 | $15,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 10,000 | $15,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 14,447 | $15,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,602 | $15,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,421 | $15,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,200 | $15,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $15,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 2,354 | $15,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 750 | $15,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $15,000 | thousands by filing date | principal |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 520 | $15,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 515 | $14,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 1,150 | $14,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 402 | $14,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 223 | $14,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 600 | $14,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 832 | $14,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 5,750 | $14,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,637 | $14,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,298 | $14,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 832 | $14,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 500 | $14,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,375 | $14,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,300 | $14,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $14,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,958 | $14,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,246 | $14,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 391 | $14,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,317 | $14,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 22,191 | $14,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $14,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 2,251 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $14,000 | thousands by filing date | principal |
| EXCO RESOURCES INC | 269279501 | COM NEW | 5,344 | $14,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 10,531 | $14,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 6,400 | $14,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 468 | $14,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 936 | $14,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 357 | $14,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 1,586 | $13,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 545 | $13,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,442 | $13,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 160 | $13,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,750 | $13,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 5,574 | $13,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 2,700 | $13,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,000 | $13,000 | thousands by filing date | call |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 775 | $13,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 690 | $13,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 34,400 | $13,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $13,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 900 | $13,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 8,400 | $13,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 487 | $13,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,172 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 373 | $13,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 9,430 | $13,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 3,485 | $13,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 4,283 | $13,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $13,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 7,628 | $12,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 1,442 | $12,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 715 | $12,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 2,500 | $12,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 1,800 | $12,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 269 | $12,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 341 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 405 | $12,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 417 | $12,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 703 | $12,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 300 | $12,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 8,573 | $12,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 18,648 | $12,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 9,732 | $12,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,731 | $12,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 9,900 | $12,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 27,000 | $12,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $12,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,500 | $12,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 825 | $12,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 2,468 | $12,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $12,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 644 | $12,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 5,000 | $12,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 4,391 | $12,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 12,000 | $12,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 100 | $11,000 | thousands by filing date | put |
| GREIF INC | 397624206 | CL B | 176 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 502 | $11,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $11,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 1,397 | $11,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,377 | $11,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 906 | $11,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 4,417 | $11,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 5,000 | $11,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $11,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 12,050 | $11,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 6,291 | $11,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 2,905 | $11,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $11,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 15,457 | $11,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 5,748 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 481 | $11,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 7,000 | $11,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 3,458 | $11,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 11,000 | $11,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 763 | $11,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 2,450 | $10,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 202 | $10,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 535 | $10,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 2,696 | $10,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 6,285 | $10,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 573 | $10,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 700 | $10,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 450 | $10,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 1,458 | $10,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,037 | $10,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 889 | $10,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 638 | $10,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 13,042 | $10,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 4,569 | $10,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 4,000 | $10,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| VALHI INC NEW | 918905100 | COM | 3,231 | $10,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $10,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 509 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | principal |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $10,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 5,847 | $10,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 10,000 | $10,000 | thousands by filing date | principal |
| 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 | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $10,000 | thousands by filing date | principal |
| OPGEN INC | 68373L109 | COM | 15,725 | $10,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 1,374 | $10,000 | thousands by filing date | |
| WECAST NETWORK INC | 94850Q106 | COM | 5,635 | $10,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 500 | $9,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 150 | $9,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 320 | $9,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 317 | $9,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,000 | $9,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 400 | $9,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $9,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 4,000 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,112 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,578 | $9,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 7,605 | $9,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 5,000 | $9,000 | thousands by filing date | principal |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 444 | $9,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 4,685 | $9,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 500 | $9,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 1,900 | $9,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $9,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 10,000 | $9,000 | thousands by filing date | principal |
| RADISYS CORP | 750459109 | COM | 2,513 | $9,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 394 | $9,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 6,837 | $9,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 15,433 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,000 | $9,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 350 | $9,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 691 | $9,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,911 | $9,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 400 | $9,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 348 | $9,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 20,083 | $9,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 5,440 | $9,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 691 | $8,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,288 | $8,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 269 | $8,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $8,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 671 | $8,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 904 | $8,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $8,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 900 | $8,000 | thousands by filing date | call |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $8,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 350 | $8,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 544 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 755 | $8,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 672 | $8,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 400 | $8,000 | thousands by filing date | put |
| TELENAV INC | 879455103 | COMMON STOCK | 1,028 | $8,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,666 | $8,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 669 | $8,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,055 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $8,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $8,000 | 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 |