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 |
|---|---|---|---|---|---|---|
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,167 | $11,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 397 | $11,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 748 | $11,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 415 | $11,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 309 | $11,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 202 | $11,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 561 | $11,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 404 | $11,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,501 | $11,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,500 | $11,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 9,000 | $11,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,075 | $11,000 | thousands by filing date | |
| COBALT INTL ENERGY | 19075F304 | COM | 8,093 | $11,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 500 | $11,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $11,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,733 | $11,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,357 | $11,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $11,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,050 | $11,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 2,075 | $11,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 200 | $11,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,244 | $11,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 13,000 | $11,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 450 | $11,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $11,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 841 | $11,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 9,816 | $11,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 400 | $11,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 722 | $11,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 100 | $11,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 4,329 | $11,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $11,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 7,000 | $11,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 47,905 | $11,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 391 | $10,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 622 | $10,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 202 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 150 | $10,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 128 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 401 | $10,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 536 | $10,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 527 | $10,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 811 | $10,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,037 | $10,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,259 | $10,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 381 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 2,963 | $10,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 9,732 | $10,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 384 | $10,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 1,468 | $10,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 449 | $10,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 748 | $10,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $10,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 8,280 | $10,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 2,325 | $10,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 2,500 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 323 | $10,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 697 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 6,400 | $10,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 9,000 | $10,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 5,540 | $10,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 979 | $10,000 | thousands by filing date | |
| CF CORP | G20307107 | SHS CL A | 890 | $10,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 2,450 | $9,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 3,000 | $9,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 114 | $9,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 1,253 | $9,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 2,168 | $9,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,785 | $9,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 687 | $9,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 516 | $9,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 344 | $9,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 291 | $9,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 457 | $9,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 200 | $9,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 620 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,112 | $9,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 224 | $9,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 885 | $9,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,408 | $9,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 338 | $9,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 365 | $9,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 285 | $9,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 216 | $9,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,037 | $9,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,868 | $9,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 796 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 300 | $9,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 336 | $9,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 485 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 379 | $9,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,067 | $9,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 1,983 | $9,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $9,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 1,696 | $9,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $9,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 386 | $9,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 4,391 | $9,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,524 | $8,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 447 | $8,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 218 | $8,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 300 | $8,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 270 | $8,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 333 | $8,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 2,000 | $8,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $8,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 295 | $8,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 441 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,578 | $8,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 766 | $8,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 600 | $8,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 239 | $8,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,421 | $8,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 215 | $8,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 400 | $8,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 400 | $8,000 | thousands by filing date | call |
| RED LION HOTELS CORP | 756764106 | COM | 910 | $8,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,730 | $8,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 1,594 | $8,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 8,000 | $8,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 343 | $8,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 423 | $8,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 342 | $8,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C864 | EMERGING MKT | 306 | $8,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,992 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 274 | $8,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,744 | $7,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 1,145 | $7,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $7,000 | thousands by filing date | put |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,013 | $7,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 780 | $7,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 302 | $7,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 359 | $7,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 198 | $7,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 693 | $7,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 1,106 | $7,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 8,000 | $7,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 6,000 | $7,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 5,000 | $7,000 | thousands by filing date | principal |
| HILL INTERNATIONAL INC | 431466101 | COM | 1,571 | $7,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $7,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $7,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 7,400 | $7,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 414 | $7,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,338 | $7,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,432 | $7,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 4,792 | $7,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 929 | $7,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,911 | $7,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 1,016 | $7,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 219 | $7,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 6,000 | $7,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 1,894 | $7,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 733 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 308 | $7,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 827 | $7,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 654 | $6,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 904 | $6,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 391 | $6,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 256 | $6,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 506 | $6,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 519 | $6,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 250 | $6,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,200 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 100 | $6,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 565 | $6,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 17,574 | $6,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,645 | $6,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 890 | $6,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,400 | $6,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 882 | $6,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 603 | $6,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 738 | $6,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 416 | $6,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,154 | $6,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 2,110 | $6,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 452 | $6,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 8,591 | $6,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 4,111 | $6,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,000 | $6,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 1,776 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 4,835 | $6,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 1,800 | $6,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 132 | $6,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 525 | $6,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 113 | $6,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,800 | $6,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 329 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 534 | $6,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,500 | $6,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 857 | $6,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 322 | $6,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 219 | $6,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 1,148 | $6,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 240 | $6,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 3,000 | $6,000 | thousands by filing date | principal |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 626 | $6,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 436 | $6,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,002 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 187 | $6,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 3,000 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| PROVIDENT BANCORP INC | 74383X109 | COM | 248 | $6,000 | thousands by filing date | |
| MOSYS INC | 619718208 | COM NEW | 5,970 | $6,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 4,000 | $6,000 | thousands by filing date | principal |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 2,600 | $6,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 140 | $6,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 495 | $5,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P888 | NUVEEN ESG EMRGN | 196 | $5,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 819 | $5,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 333 | $5,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 642 | $5,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 266 | $5,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 170 | $5,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 683 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $5,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,167 | $5,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 182 | $5,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 524 | $5,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 100 | $5,000 | thousands by filing date | put |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $5,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 122 | $5,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 320 | $5,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 3,260 | $5,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 4,331 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 8,314 | $5,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 4,000 | $5,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 4,196 | $5,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,571 | $5,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 6,825 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $5,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 744 | $5,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 500 | $5,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 4,000 | $5,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $5,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 468 | $5,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 200 | $5,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 249 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,424 | $5,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $5,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 980 | $5,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 814 | $5,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $5,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 40 | $5,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| TOCAGEN INC | 888846102 | COM | 390 | $5,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 236 | $5,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,118 | $5,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 494 | $5,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 586 | $5,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 5,000 | $5,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 148 | $5,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 15,725 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435G854 | MSCI ACWI ETF | 173 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 42 | $4,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 914 | $4,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 164 | $4,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 145 | $4,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 275 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 405 | $4,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,107 | $4,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 393 | $4,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 279 | $4,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 232 | $4,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,058 | $4,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,181 | $4,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 308 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,021 | $4,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 3,000 | $4,000 | thousands by filing date | principal |
| GLOBAL BROKERAGE INC | 37891B109 | COM | 2,600 | $4,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 532 | $4,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 1,003 | $4,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 3,000 | $4,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 2,909 | $4,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,000 | $4,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 7,600 | $4,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,783 | $4,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 1,000 | $4,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 236 | $4,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 6,000 | $4,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,152 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 115 | $4,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 2,915 | $4,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 563 | $4,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 11,357 | $4,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 300 | $4,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 1,175 | $4,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 650 | $4,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 1,000 | $4,000 | thousands by filing date | principal |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 2,857 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 7,282 | $4,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 3,000 | $4,000 | thousands by filing date | principal |
| Boston Scientific Corporation | 101137107 | COM | 100 | $3,000 | thousands by filing date | put |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 25 | $3,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 90 | $3,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $3,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 63 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 151 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 211 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,567 | $3,000 | thousands by filing date | principal |
| QUARTERHILL INC COM | 747713105 | COM | 2,100 | $3,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 55 | $3,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 166 | $3,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 99 | $3,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,641 | $3,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 431 | $3,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,297 | $3,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 6,950 | $3,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 100 | $3,000 | thousands by filing date | put |
| OI SA-ADR | 670851500 | ADR | 342 | $3,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 529 | $3,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 100 | $3,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 84 | $3,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 315 | $3,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,208 | $3,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,359 | $3,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 779 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 172 | $3,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 2,716 | $3,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 2,100 | $3,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 4,000 | $3,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 4,000 | $3,000 | thousands by filing date | principal |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,198 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 3,000 | $3,000 | thousands by filing date | principal |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 359 | $3,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 2,000 | $3,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 9,300 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| OMINTO INC | 68217C208 | COM NEW | 627 | $3,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 158 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 100 | $3,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 7,853 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 200 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 550 | $2,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 515 | $2,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 397 | $2,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 80 | $2,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 155 | $2,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 237 | $2,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 185 | $2,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 474 | $2,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 356 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 497 | $2,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 209 | $2,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 400 | $2,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 257 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $2,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $2,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 78 | $2,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 200 | $2,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 85 | $2,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 400 | $2,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 910 | $2,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,071 | $2,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 460 | $2,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 125 | $2,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 270 | $2,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,065 | $2,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 400 | $2,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $2,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 2,000 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K809 | PS CRD OIL ETN | 13 | $2,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 500 | $2,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 400 | $2,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,500 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 179 | $2,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 625 | $2,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 2,295 | $2,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,113 | $2,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,000 | $2,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 589 | $2,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 328 | $2,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 1,000 | $2,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 1,417 | $2,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,144 | $2,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 999 | $2,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 2,050 | $2,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 1,911 | $2,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,700 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 304 | $2,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 786 | $2,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 285 | $2,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 1,000 | $2,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 400 | $2,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 1,692 | $2,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 1,410 | $2,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 50 | $2,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 144 | $1,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 73 | $1,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 75 | $1,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 226 | $1,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 100 | $1,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 205 | $1,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 1,000 | $1,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 100 | $1,000 | thousands by filing date | put |
| VERICEL CORP | 92346J108 | COM | 133 | $1,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 48 | $1,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 29 | $1,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 27 | $1,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 72 | $1,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 200 | $1,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 277 | $1,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 80 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 250 | $1,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 78 | $1,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 188 | $1,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 205 | $1,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 89 | $1,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 22 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 52 | $1,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 360 | $1,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 5 | $1,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 70 | $1,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 1,000 | $1,000 | thousands by filing date | principal |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 48 | $1,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 1,964 | $1,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 1,500 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 700 | $1,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 376 | $1,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,443 | $1,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 217 | $1,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 119 | $1,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 1,953 | $1,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 200 | $1,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 800 | $1,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 552 | $1,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 200 | $1,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 247 | $1,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 500 | $1,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 1,750 | $1,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $1,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 200 | $1,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 1,000 | $1,000 | thousands by filing date | principal |
| MITCHAM INDS INC COM | 606501104 | COM | 281 | $1,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 306 | $1,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 2,144 | $1,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 100 | $1,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 447 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,050 | $1,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 39 | $1,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 300 | $1,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 200 | $1,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 3,500 | $1,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 63 | $1,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 187 | $1,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 179 | $1,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 244 | $1,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 200 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 600 | $1,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 354 | $1,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 1,213 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 342 | $1,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 216 | $1,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 64 | $1,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 40 | $1,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 550 | $1,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 745 | $1,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 30 | $1,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 2,500 | $1,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 2,223 | $1,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 226 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 682 | $1,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 292 | $1,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 901 | $1,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 493 | $1,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 100 | $1,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 1,238 | $1,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 143 | $1,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 414 | $1,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 500 | $1,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 922 | $1,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 546 | $1,000 | thousands by filing date | |
| BEBE STORES INC COM NEW | 075571208 | Common Stock | 222 | $1,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 960 | $1,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 53 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 40 | $1,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 404 | $1,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 399 | $1,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 1,519 | $1,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 500 | $1,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 292 | $1,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 120 | $1,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 417 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P202 | UNIT 99/99/9999 | 100 | $1,000 | 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 |