13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 7,213 holding rows worth $629,639,130,000.
- Accession
- 0001140361-17-042540
- Filer
- CIK 70858
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 18,522 entries on the cover page, a total value of $629,639,130,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $629,639,130,000 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 |
|---|---|---|---|---|---|---|
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 9,400 | $151,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 4,079 | $151,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 66,056 | $151,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 2,004 | $150,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 4,807 | $150,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 5,026 | $150,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 31,320 | $150,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 2,832 | $149,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 3,234 | $149,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 20,657 | $148,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 4,658 | $148,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 4,030 | $148,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 13,410 | $148,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 7,456 | $148,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 21,115 | $147,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 9,081 | $147,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 6,192 | $147,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 11,153 | $147,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 12,457 | $147,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 32,028 | $146,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B305 | LNG SHT TRACK | 6,873 | $146,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 2,600 | $145,000 | thousands by filing date | put |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 10,613 | $145,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 19,943 | $145,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 18,622 | $144,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 3,093 | $144,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 6,310 | $144,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 41,955 | $144,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 9,721 | $144,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 50,042 | $144,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 4,399 | $144,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 145,000 | $144,000 | thousands by filing date | principal |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 8,262 | $143,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 2,102 | $143,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 8,888 | $143,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 33,957 | $143,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 8,454 | $142,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 8,841 | $141,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 8,360 | $141,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 14,586 | $141,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 26,569 | $141,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 14,877 | $140,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 7,778 | $139,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 4,969 | $139,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 33,368 | $138,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 26,274 | $138,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 55,754 | $138,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 2,980 | $138,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 19,528 | $138,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 7,397 | $137,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 6,037 | $137,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 2,548 | $136,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 10,199 | $136,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 29,543 | $135,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 12,600 | $135,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 2,235 | $135,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 5,076 | $135,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 4,771 | $134,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 8,579 | $133,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 29,775 | $133,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 7,876 | $133,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 6,822 | $132,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 73,487 | $132,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 9,911 | $132,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 1,972 | $131,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 700 | $131,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 4,955 | $131,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 16,620 | $130,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 10,491 | $130,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 11,840 | $130,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 5,000 | $129,000 | thousands by filing date | put |
| BIG LOTS INC | 089302103 | COM | 2,400 | $129,000 | thousands by filing date | put |
| BIG LOTS INC | 089302103 | COM | 2,400 | $129,000 | thousands by filing date | call |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 3,803 | $129,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 121,000 | $128,000 | thousands by filing date | principal |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 7,949 | $128,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 8,216 | $127,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 8,700 | $127,000 | thousands by filing date | put |
| NANTHEALTH INC | 630104107 | CMN | 30,844 | $127,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 13,615 | $127,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 6,772 | $126,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 16,468 | $126,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 2,769 | $126,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 4,153 | $126,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,468 | $125,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 4,192 | $125,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 6,221 | $125,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 9,472 | $125,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 4,959 | $125,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 5,978 | $124,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 6,564 | $124,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 7,728 | $124,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 5,000 | $123,000 | thousands by filing date | call |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 2,503 | $123,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 9,001 | $123,000 | thousands by filing date | |
| X-TRACKERS MSCI EAFE SMALL CAP HEDGED EQUITY ETF | 233051580 | ETF | 4,234 | $123,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 3,948 | $122,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 6,117 | $121,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 5,481 | $121,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 47,820 | $121,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 322,453 | $121,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 19,805 | $121,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 6,000 | $121,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 6,000 | $120,000 | thousands by filing date | call |
| KVH INDS INC | 482738101 | COM | 10,014 | $120,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 21,087 | $120,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 4,239 | $120,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 8,896 | $120,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 1,500 | $119,000 | thousands by filing date | put |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 9,998 | $119,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 4,649 | $119,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 17,007 | $119,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 3,657 | $119,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 35,038 | $119,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 7,624 | $119,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 6,400 | $118,000 | thousands by filing date | put |
| NELNET INC | 64031N108 | CL A | 2,297 | $116,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 6,700 | $115,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 14,300 | $115,000 | thousands by filing date | call |
| VERSARTIS INC | 92529L102 | COM | 46,900 | $115,000 | thousands by filing date | put |
| TELIGENT INC NEW | 87960W104 | COM | 16,929 | $114,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642403 | COM PAR | 3,915 | $114,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 5,038 | $113,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,545 | $113,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 5,290 | $113,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 69,110 | $113,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,193 | $113,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 112,000 | $113,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 24,006 | $112,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,918 | $112,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 97,563 | $112,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 12,239 | $112,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 4,455 | $111,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 7,968 | $111,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 2,006 | $111,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 9,636 | $111,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 14,373 | $111,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 7,022 | $111,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 4,004 | $111,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 6,629 | $111,000 | thousands by filing date | |
| GNC Holdings | 36191GAB3 | CONV BOND | 150,000 | $111,000 | thousands by filing date | principal |
| KOREA FD INC | 500634209 | COM NEW | 2,733 | $110,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 4,000 | $110,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 3,795 | $109,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 6,359 | $109,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 52,901 | $109,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 48,255 | $108,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 7,300 | $107,000 | thousands by filing date | call |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 8,008 | $107,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 5,000 | $107,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 9,040 | $107,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 27,225 | $106,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 7,608 | $106,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 4,759 | $106,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 15,608 | $106,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 11,021 | $105,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 8,435 | $104,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G855 | ISECTR GRW ETF | 4,000 | $104,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 16,934 | $103,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 295,000 | $103,000 | thousands by filing date | call |
| ISHARES TR | 46435G664 | ADAPTV EUR ETF | 3,575 | $103,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,025 | $102,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 4,253 | $102,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 26,847 | $102,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 27,579 | $102,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 10,308 | $102,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 11,502 | $101,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 36,392 | $101,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 1,926 | $101,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 12,000 | $101,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 13,398 | $101,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 5,000 | $100,000 | thousands by filing date | call |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 10,046 | $100,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 8,169 | $100,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,633 | $100,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,967 | $100,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 8,413 | $100,000 | thousands by filing date | |
| FQF TR AGFIQ | 351680806 | HEDGED DIV | 3,980 | $100,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,016 | $99,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 20,140 | $99,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 7,980 | $99,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 17,850 | $99,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 9,348 | $98,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,333 | $98,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 4,036 | $98,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 2,593 | $98,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 47,802 | $98,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 8,322 | $98,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,845 | $98,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 80,000 | $98,000 | thousands by filing date | principal |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 6,700 | $97,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 4,969 | $97,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 8,924 | $97,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 7,111 | $97,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 4,069 | $96,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 11,122 | $96,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 3,574 | $95,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 800 | $94,000 | thousands by filing date | put |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 9,351 | $94,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 1,325 | $94,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 72,043 | $94,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 6,817 | $94,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 3,881 | $94,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,277 | $93,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 8,526 | $93,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 14,589 | $93,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 832 | $93,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 65,212 | $93,000 | thousands by filing date | principal |
| NEWLINK GENETICS CORP | 651511107 | COM | 9,132 | $93,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 16,484 | $93,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 1,000 | $91,000 | thousands by filing date | put |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 5,244 | $91,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 500 | $89,000 | thousands by filing date | put |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 194,083 | $89,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 90,000 | $89,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 3,442 | $89,000 | thousands by filing date | |
| OMNICARE INC | 681904AR9 | DBCV 3.250%12/1 | 70,000 | $89,000 | thousands by filing date | principal |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 40,667 | $88,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 9,168 | $88,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 11,663 | $88,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 4,300 | $88,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 4,179 | $88,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 5,101 | $88,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 6,813 | $88,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 2,686 | $87,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 7,066 | $87,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,407 | $87,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 6,430 | $87,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 7,000 | $87,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 6,156 | $86,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 665 | $86,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 76,368 | $86,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 18,776 | $86,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 4,015 | $86,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 47,280 | $85,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 3,424 | $85,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 7,700 | $85,000 | thousands by filing date | call |
| SIERRA WIRELESS INC | 826516106 | COM | 3,952 | $85,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 2,045 | $84,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 1,012 | $84,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 14,588 | $84,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 6,689 | $84,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 227,248 | $84,000 | thousands by filing date | |
| ISHARES TR | 46435G573 | MLTFACT MATLS | 2,625 | $84,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 74,047 | $83,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,306 | $82,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,367 | $82,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 10,465 | $82,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 13,004 | $82,000 | thousands by filing date | |
| POWERSHARES CHINESE YUAN DIM SUM BOND | 73937B753 | COM | 3,500 | $82,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 15,000 | $82,000 | thousands by filing date | call |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 5,800 | $82,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 7,467 | $82,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 9,194 | $82,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 3,473 | $82,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 18,670 | $81,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 1,078 | $81,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 1,700 | $81,000 | thousands by filing date | call |
| MYOKARDIA INC | 62857M105 | COM | 1,900 | $81,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 2,310 | $81,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 2,472 | $80,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 1,054 | $80,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 826 | $80,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P603 | CMN | 3,224 | $80,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 3,382 | $80,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 3,235 | $79,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 4,723 | $79,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 3,168 | $79,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 46,952 | $79,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 16,613 | $79,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 12,068 | $78,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 4,260 | $78,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W486 | GUGGENHEIM SP | 2,865 | $78,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 3,145 | $78,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 2,600 | $77,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 1,870 | $77,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 1,033 | $77,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 8,847 | $77,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 3,083 | $76,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,842 | $76,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 5,333 | $76,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 9,000 | $76,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 18,744 | $75,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 2,685 | $75,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 2,246 | $75,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 13,337 | $74,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 3,646 | $74,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 4,800 | $74,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 4,208 | $74,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 28,952 | $74,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 11,765 | $73,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 384 | $73,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 2,714 | $73,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 5,800 | $73,000 | thousands by filing date | call |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 6,787 | $73,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 547 | $72,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 9,500 | $72,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 11,452 | $72,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 22,206 | $72,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 4,247 | $72,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,079 | $72,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 2,032 | $71,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 6,300 | $71,000 | thousands by filing date | put |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 3,331 | $71,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 5,037 | $70,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 2,940 | $70,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 2,724 | $70,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 3,172 | $70,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P863 | CALIF MUN INCM | 1,374 | $70,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 29,512 | $70,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 21,221 | $70,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 2,348 | $70,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 7,596 | $70,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 36,228 | $70,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 3,839 | $70,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 16,668 | $69,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 5,912 | $69,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,019 | $69,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 75,000 | $69,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 2,764 | $69,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 3,053 | $68,000 | thousands by filing date | |
| ZHAOPIN LTD-SPONSORED ADR | 98954L103 | ADR | 3,719 | $68,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 4,255 | $68,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 2,605 | $67,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 5,862 | $67,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 981 | $67,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 5,541 | $67,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,803 | $66,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 4,835 | $66,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 7,097 | $66,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 1,380 | $66,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 2,488 | $66,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 2,112 | $66,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 4,691 | $66,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 44,125 | $66,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 10,000 | $66,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 8,660 | $65,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 8,338 | $65,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 17,850 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 5,151 | $65,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 13,246 | $65,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 36,864 | $65,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 4,315 | $64,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 5,553 | $64,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 17,173 | $64,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 1,655 | $64,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 4,431 | $64,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 1,093 | $63,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 15,600 | $63,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 19,502 | $63,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 18,354 | $63,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 5,900 | $63,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 44,290 | $63,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 10,501 | $63,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 25,000 | $62,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 855 | $62,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 15,064 | $62,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 6,441 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 600 | $61,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 2,178 | $61,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,352 | $61,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 5,074 | $61,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 152 | $61,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 7,075 | $61,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 8,037 | $61,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 5,554 | $61,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 766 | $60,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 4,094 | $60,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 21,886 | $60,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 1,547 | $60,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,644 | $60,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 5,000 | $60,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 3,399 | $60,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 25,000 | $60,000 | thousands by filing date | |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 1,039 | $60,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 1,800 | $59,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 59,000 | $59,000 | thousands by filing date | principal |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 7,152 | $59,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,210 | $58,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 6,645 | $58,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 1,000 | $58,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 4,979 | $58,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 7,494 | $57,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 16,500 | $57,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 6,874 | $57,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 2,995 | $56,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 5,291 | $56,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 5,099 | $56,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,942 | $56,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 13,906 | $56,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 2,010 | $56,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 3,230 | $56,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 1,131 | $56,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 10,000 | $56,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 51,000 | $56,000 | thousands by filing date | principal |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 20,643 | $56,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q486 | ALPS DORESEY | 2,001 | $56,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 2,511 | $55,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,010 | $55,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 3,042 | $55,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 16,070 | $55,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 1,765 | $55,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 58,343 | $55,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,615 | $55,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,500 | $55,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 2,397 | $55,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 3,974 | $54,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,213 | $54,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,565 | $54,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 7,500 | $54,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 8,709 | $54,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 16,757 | $54,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 18,566 | $54,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 100,000 | $54,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 5,247 | $54,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 1,483 | $53,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 3,638 | $53,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 1,899 | $53,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 3,400 | $53,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 4,000 | $53,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 7,635 | $53,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 5,037 | $53,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 4,792 | $53,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 12,300 | $52,000 | thousands by filing date | call |
| SOTHERLY HOTELS INC | 83600C103 | COM | 8,801 | $52,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 3,972 | $52,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 7,624 | $52,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 7,402 | $52,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 60,721 | $52,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 50,000 | $52,000 | thousands by filing date | principal |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 50,000 | $52,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 27,449 | $51,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 1,359 | $51,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,727 | $51,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 17,684 | $51,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,081 | $51,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 2,605 | $51,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 2,729 | $51,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 12,844 | $51,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 3,279 | $51,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 15,778 | $51,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 2,213 | $51,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 3,413 | $51,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,525 | $51,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 50,000 | $51,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 50,000 | $51,000 | thousands by filing date | principal |
| NUCOR CORP COM | 670346105 | Stock | 900 | $50,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 3,125 | $50,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,914 | $50,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 50,000 | $50,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 50,000 | $50,000 | thousands by filing date | principal |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 21,748 | $50,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,000 | $50,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 3,588 | $50,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 50,000 | $50,000 | thousands by filing date | principal |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 2,309 | $50,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B548 | DEV EUR PA | 1,800 | $50,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 2,835 | $49,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 738 | $49,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 1,618 | $49,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 7,159 | $49,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,516 | $49,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 31,391 | $48,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 5,082 | $48,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 1,441 | $48,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,020 | $48,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 3,148 | $48,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 1,129 | $48,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 663 | $47,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 4,324 | $47,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 2,103 | $47,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,174 | $47,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,714 | $47,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 4,276 | $47,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 600 | $47,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,690 | $47,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 12,836 | $47,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164AB0 | NOTE 2.750%12/0 | 100,000 | $47,000 | thousands by filing date | principal |
| OFS CAPITAL CORP | 67103B100 | COM | 3,525 | $46,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 5,007 | $46,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 100 | $45,000 | thousands by filing date | put |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,400 | $45,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 4,119 | $45,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 45,000 | $45,000 | thousands by filing date | principal |
| OCONEE FED FINL CORP | 675607105 | COM | 1,608 | $45,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $45,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 50,000 | $45,000 | thousands by filing date | principal |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 3,123 | $45,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 1,298 | $45,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 3,570 | $45,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 1,429 | $44,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 5,361 | $44,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,461 | $44,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 763 | $44,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 2,013 | $44,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 1,616 | $44,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 10,029 | $44,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 6,393 | $44,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 4,011 | $44,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 19,373 | $44,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-042540 | this filing | 2017-11-14 | acceptance time not in the bulk data set |