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 |
|---|---|---|---|---|---|---|
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 9,250 | $44,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 32,323 | $44,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 1,501 | $43,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 1,674 | $43,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 1,073 | $43,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 4,797 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 1,500 | $43,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 950 | $42,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 5,729 | $42,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,068 | $42,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 17,500 | $42,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 28,123 | $42,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,220 | $42,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 4,000 | $42,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 1,260 | $42,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 300 | $41,000 | thousands by filing date | call |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 1,507 | $41,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,761 | $41,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,928 | $41,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 14,472 | $41,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 4,904 | $41,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 1,165 | $41,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 4,600 | $41,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 726 | $40,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 2,942 | $40,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 855 | $40,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,000 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 2,007 | $40,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 3,428 | $40,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,550 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,404 | $40,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 40,000 | $40,000 | thousands by filing date | principal |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 3,564 | $39,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 2,072 | $39,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $39,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 22,349 | $39,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,816 | $39,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 701 | $39,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,819 | $39,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 775 | $39,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 1,400 | $39,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 15,292 | $38,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 500 | $38,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 1,752 | $38,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 3,797 | $38,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,840 | $38,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,712 | $38,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 7,307 | $38,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,090 | $38,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,075 | $38,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 8,228 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,197 | $38,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 802 | $38,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 1,145 | $38,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 2,832 | $38,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 21,003 | $38,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 39,000 | $38,000 | thousands by filing date | principal |
| GENIE ENERGY LTD | 372284208 | CL B | 5,620 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 600 | $37,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,200 | $37,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 792 | $37,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 8,600 | $37,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,000 | $37,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 372 | $37,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 6,028 | $36,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,342 | $36,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,133 | $36,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 1,408 | $36,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,500 | $36,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,619 | $36,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 819 | $36,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 2,113 | $36,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $36,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $36,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 1,975 | $36,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,185 | $36,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,453 | $36,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,479 | $36,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 1,711 | $36,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 27,000 | $36,000 | thousands by filing date | principal |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,772 | $36,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 3,800 | $35,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 2,600 | $35,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 1,294 | $35,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,381 | $35,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 2,701 | $35,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,200 | $35,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 7,000 | $35,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 5,504 | $35,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,401 | $35,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 205,000 | $35,000 | thousands by filing date | principal |
| OPHTHOTECH CORP | 683745103 | COM | 12,384 | $35,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 2,415 | $35,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 31,000 | $35,000 | thousands by filing date | principal |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 2,725 | $34,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 5,562 | $34,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 20,000 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 1,844 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 544 | $34,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,080 | $34,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 71,480 | $34,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 1,039 | $34,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 6,544 | $34,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 36,000 | $34,000 | thousands by filing date | principal |
| ERIN ENERGY CORP COM | 295625107 | Stock | 12,438 | $34,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 4,150 | $33,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,333 | $33,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 1,372 | $33,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 2,550 | $33,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 12,500 | $33,000 | thousands by filing date | call |
| ISRAMCO INC | 465141406 | COM | 285 | $33,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 10,000 | $33,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,660 | $32,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 2,700 | $32,000 | thousands by filing date | |
| XL GROUP LTD | G98294104 | COM | 800 | $32,000 | thousands by filing date | put |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 1,092 | $32,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,072 | $32,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 8,000 | $32,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,403 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B373 | TREASURY CLTRL | 300 | $32,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,121 | $31,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 12,655 | $31,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 1,700 | $31,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,159 | $31,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,016 | $31,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 7,101 | $31,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 9,702 | $31,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 1,743 | $31,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,665 | $31,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,000 | $31,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,957 | $31,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 2,097 | $31,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,692 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 1,000 | $31,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 1,983 | $30,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 1,217 | $30,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 827 | $30,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 1,343 | $30,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 13,970 | $30,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 19,300 | $30,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 1,150 | $30,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 830 | $30,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 63,559 | $29,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 825 | $29,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 629 | $29,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,720 | $29,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,585 | $29,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,115 | $29,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,000 | $29,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 29,000 | $29,000 | thousands by filing date | principal |
| PICO HLDGS INC | 693366205 | COM NEW | 1,769 | $29,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,221 | $29,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 23,172 | $29,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 29,000 | $29,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 1,600 | $29,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 5,121 | $29,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 30,000 | $29,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 12,277 | $29,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 1,977 | $29,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,684 | $28,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 878 | $28,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 4,000 | $28,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,000 | $28,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 32,159 | $28,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 948 | $27,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 2,280 | $27,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $27,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 19,655 | $27,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 8,000 | $27,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 928 | $26,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,060 | $26,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,281 | $26,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,241 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 268 | $26,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 14,198 | $26,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 6,801 | $26,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 6,718 | $26,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 5,068 | $26,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,430 | $26,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,371 | $26,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,835 | $26,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,000 | $26,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,381 | $26,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L104 | COM | 8,821 | $26,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 17,000 | $26,000 | thousands by filing date | principal |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,330 | $25,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 1,383 | $25,000 | thousands by filing date | |
| TUCOWS INC | 898697206 | COM NEW | 423 | $25,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 599 | $25,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,041 | $25,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 992 | $25,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 945 | $25,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 704 | $25,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 9,252 | $25,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 11,247 | $25,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $25,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 1,000 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q678 | S&P500 MOMETUM | 800 | $25,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 200 | $24,000 | thousands by filing date | put |
| CRA INTL INC | 12618T105 | COM | 575 | $24,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 889 | $24,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,036 | $24,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,442 | $24,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 3,877 | $24,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,539 | $24,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 6,222 | $24,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 655 | $24,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 1,602 | $24,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 2,190 | $24,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 22,000 | $24,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 5,011 | $24,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 785 | $24,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 6,847 | $24,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 6,820 | $24,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $24,000 | thousands by filing date | principal |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 2,305 | $23,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,890 | $23,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,000 | $23,000 | thousands by filing date | call |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,095 | $23,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,423 | $23,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 1,389 | $23,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,300 | $23,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,965 | $23,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 2,625 | $23,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,478 | $23,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,284 | $23,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 908 | $23,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,944 | $23,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 6,935 | $23,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 3,328 | $23,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,879 | $23,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 5,154 | $23,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 1,390 | $22,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 1,173 | $22,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 463 | $22,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,383 | $22,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,197 | $22,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 26,000 | $22,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 4,046 | $22,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 6,000 | $22,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 1,000 | $22,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 11,236 | $22,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 1,178 | $22,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 200 | $21,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,360 | $21,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 2,000 | $21,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,516 | $21,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 887 | $21,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 449 | $21,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,636 | $21,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $21,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 605 | $21,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 2,000 | $21,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 609 | $21,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 492 | $21,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 1,043 | $21,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 11,591 | $21,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,928 | $21,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 26,915 | $21,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,400 | $21,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $21,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 880 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 980 | $21,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,869 | $21,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,233 | $21,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 2,319 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 973 | $21,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 6,300 | $21,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,365 | $20,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 4,668 | $20,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 577 | $20,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 475 | $20,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,037 | $20,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,098 | $20,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 500 | $20,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 4,678 | $20,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 1,566 | $20,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 2,960 | $20,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 3,200 | $20,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $20,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 6,007 | $20,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 20,000 | $20,000 | thousands by filing date | principal |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 2,236 | $20,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 19,000 | $20,000 | thousands by filing date | principal |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,500 | $20,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 20,000 | $20,000 | thousands by filing date | principal |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,171 | $19,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 296 | $19,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 339 | $19,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 1,509 | $19,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,063 | $19,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 494 | $19,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 2,634 | $19,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 520 | $19,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 4,468 | $19,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,887 | $19,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 3,421 | $19,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 19,957 | $19,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $19,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 19,000 | $19,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 2,040 | $19,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 498 | $19,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 22,815 | $19,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 1,758 | $19,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,309 | $19,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 1,197 | $18,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 7,132 | $18,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 368 | $18,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 791 | $18,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 241 | $18,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,000 | $18,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 3,177 | $18,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 354 | $18,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 625 | $18,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,700 | $18,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 352 | $18,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 526 | $18,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 1,000 | $18,000 | thousands by filing date | call |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 4,000 | $18,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 3,444 | $18,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 398 | $18,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 16,332 | $18,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 4,555 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E851 | DAILY JR BULL 3X | 990 | $18,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 7,890 | $18,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 1,211 | $18,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 1,277 | $18,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,603 | $18,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 755 | $18,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 2,000 | $18,000 | thousands by filing date | principal |
| CADIZ INC | 127537207 | COM NEW | 1,368 | $17,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 233 | $17,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 243 | $17,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,750 | $17,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 404 | $17,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 2,378 | $17,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 996 | $17,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 53,475 | $17,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $17,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 18,370 | $17,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,000 | $17,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 507 | $17,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 3,874 | $17,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 1,303 | $17,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 4,176 | $17,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 13,750 | $17,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 3,965 | $17,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 2,165 | $17,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $17,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 246 | $17,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 2,453 | $17,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 200 | $16,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 4,300 | $16,000 | thousands by filing date | call |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 780 | $16,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,000 | $16,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 2,045 | $16,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 504 | $16,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 395 | $16,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,737 | $16,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 447 | $16,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,000 | $16,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 7,603 | $16,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 231 | $16,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 8,420 | $16,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $16,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,104 | $16,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 3,466 | $16,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,427 | $16,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 4,150 | $16,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 647 | $16,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 294 | $16,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 14,400 | $16,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 893 | $16,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $16,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 8,000 | $16,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624208 | COM NEW | 3,827 | $16,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 4,948 | $16,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $16,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $16,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 7,500 | $16,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 5,000 | $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 | |
| BEAR ST FINL INC | 073844102 | COM | 1,516 | $16,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 520 | $16,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 494 | $16,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,000 | $15,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,377 | $15,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,298 | $15,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 982 | $15,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,173 | $15,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 13,000 | $15,000 | thousands by filing date | principal |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 3,300 | $15,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,317 | $15,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 37,503 | $15,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,188 | $15,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 3,429 | $15,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 358 | $15,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,868 | $15,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 726 | $15,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $15,000 | thousands by filing date | principal |
| Proshares VIX Short-Term | 74347W171 | Equity | 452 | $15,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 500 | $15,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 760 | $15,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 5,635 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 287 | $15,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $15,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X396 | GBL EX US HDGD | 544 | $15,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 100 | $14,000 | thousands by filing date | call |
| OIL DRI CORP AMER COM | 677864100 | Stock | 306 | $14,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 472 | $14,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 810 | $14,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 881 | $14,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 3,131 | $14,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 470 | $14,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 3,780 | $14,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 300 | $14,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 500 | $14,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 968 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 280 | $14,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $14,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 630 | $14,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 2,879 | $14,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 1,970 | $14,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 3,588 | $14,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 443 | $14,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 10,759 | $14,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 802 | $14,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 513 | $14,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 27,000 | $14,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 500 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G540 | MLTFACT TECH | 373 | $14,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 11,000 | $14,000 | thousands by filing date | principal |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 320 | $14,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 10,000 | $14,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 6,000 | $14,000 | thousands by filing date | principal |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $14,000 | thousands by filing date | principal |
| ROKU INC COM CL A | 77543R102 | Stock | 500 | $13,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 899 | $13,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 8,111 | $13,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 375 | $13,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 542 | $13,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,016 | $13,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 536 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 422 | $13,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,047 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 417 | $13,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,250 | $13,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 450 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 275 | $13,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,096 | $13,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 5,000 | $13,000 | thousands by filing date | principal |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 986 | $13,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 775 | $13,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 900 | $13,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 2,550 | $13,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 487 | $13,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,600 | $13,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 819 | $13,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 11,000 | $13,000 | thousands by filing date | principal |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 2,001 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 813 | $13,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,950 | $12,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 467 | $12,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 1,330 | $12,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 578 | $12,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 406 | $12,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 400 | $12,000 | thousands by filing date | put |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 431 | $12,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 320 | $12,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 4,623 | $12,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 200 | $12,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,045 | $12,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,300 | $12,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 906 | $12,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,516 | $12,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 10,980 | $12,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 416 | $12,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 10,712 | $12,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 656 | $12,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 395 | $12,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 3,511 | $12,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 18,334 | $12,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 2,961 | $12,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 2,797 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,000 | $12,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 825 | $12,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,128 | $12,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 18,996 | $12,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 1,000 | $12,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 4,000 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 514 | $12,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 606 | $11,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 200 | $11,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,000 | $11,000 | 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 |