13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 7,138 holding rows worth $597,432,246,000.
- Accession
- 0001140361-18-008283
- Filer
- CIK 70858
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 20,463 entries on the cover page, a total value of $597,432,246,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $597,432,246,000 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 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 |
|---|---|---|---|---|---|---|
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 11,544 | $58,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 4,315 | $58,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,980 | $58,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,255 | $58,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 29,614 | $58,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $58,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 4,554 | $58,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 500 | $57,000 | thousands by filing date | put |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 6,752 | $57,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 3,640 | $57,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 21,846 | $57,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 5,349 | $57,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 5,900 | $57,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,525 | $57,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 9,640 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 3,405 | $57,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 18,647 | $57,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 4,655 | $57,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 6,655 | $57,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 2,442 | $56,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 1,593 | $56,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 7,476 | $56,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 16,732 | $56,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 31,168 | $55,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 852 | $55,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,188 | $55,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,622 | $55,000 | thousands by filing date | |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 4,457 | $55,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,500 | $55,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 3,770 | $54,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 3,896 | $54,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,848 | $54,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 3,701 | $54,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 19,087 | $54,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N667 | VICSHS DV AC ETF | 1,909 | $54,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 8,877 | $54,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 17,250 | $54,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,455 | $54,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W536 | GUG MSCI EMKT EQ | 1,539 | $54,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 19,361 | $54,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 41,557 | $54,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 14,463 | $53,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,155 | $53,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 6,893 | $53,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 16,465 | $53,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 19,026 | $53,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 22,269 | $53,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 8,583 | $53,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 8,932 | $53,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 5,659 | $53,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 1,400 | $52,000 | thousands by filing date | call |
| BLOCK INC CL A | 852234103 | Stock | 1,500 | $52,000 | thousands by filing date | put |
| BLOCK INC CL A | 852234103 | Stock | 1,500 | $52,000 | thousands by filing date | call |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 1,200 | $52,000 | thousands by filing date | put |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,047 | $52,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 17,166 | $52,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 7,380 | $52,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 2,619 | $52,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 3,076 | $51,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 4,026 | $51,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 57,361 | $51,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 2,499 | $51,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 4,985 | $51,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR INDUSTRIALS ETF | 46435G557 | ETF | 1,610 | $51,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 688 | $50,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 5,819 | $50,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,495 | $50,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 2,283 | $50,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 940 | $50,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 39,521 | $50,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 4,315 | $50,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 1,468 | $50,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 119,000 | $50,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,000 | $50,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 5,037 | $50,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,868 | $50,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,084 | $49,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 8,726 | $49,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 1,442 | $49,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 12,316 | $49,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 23,329 | $49,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 36,864 | $49,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 4,141 | $49,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 20,000 | $48,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 2,536 | $48,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 1,330 | $48,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,955 | $47,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 2,162 | $47,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 43,000 | $47,000 | thousands by filing date | principal |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 18,566 | $47,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 25,000 | $47,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 1,500 | $47,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 17,720 | $46,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,147 | $46,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 700 | $46,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 4,268 | $46,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 1,823 | $46,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 6,544 | $46,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 42,160 | $46,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 1,158 | $45,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,912 | $45,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 3,684 | $45,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,081 | $45,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 16,668 | $45,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 3,950 | $45,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 32,159 | $45,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 5,230 | $45,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,593 | $45,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 249 | $45,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 5,116 | $44,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 5,062 | $44,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,653 | $44,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 9,529 | $44,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 2,466 | $44,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,152 | $44,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 27,418 | $44,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 2,929 | $44,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 3,000 | $44,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 5,292 | $44,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 1,015 | $44,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 12,500 | $44,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 3,173 | $44,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 1,919 | $44,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 1,517 | $43,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 980 | $43,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 5,423 | $43,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 558 | $43,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,400 | $43,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,048 | $43,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,663 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 2,007 | $43,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,075 | $43,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 10,097 | $43,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 16,500 | $43,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 27,000 | $43,000 | thousands by filing date | principal |
| B COMMUNICATIONS LTD | M15629104 | SHS | 2,353 | $43,000 | thousands by filing date | |
| ABLYNX NV | 00372Y105 | SPONSORED ADR | 1,725 | $43,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 7,467 | $42,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 9,100 | $42,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,500 | $42,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 2,079 | $42,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 9,549 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,940 | $42,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,450 | $42,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 3,300 | $42,000 | thousands by filing date | call |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 6,646 | $42,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 3,000 | $42,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 6,034 | $42,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 704 | $42,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 3,159 | $42,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 4,000 | $42,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 500 | $41,000 | thousands by filing date | put |
| INVITAE CORP | 46185L103 | COM | 4,503 | $41,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 1,300 | $41,000 | thousands by filing date | call |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 3,893 | $41,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 5,964 | $41,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 983 | $41,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 1,000 | $41,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 2,559 | $41,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,326 | $41,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,476 | $41,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,000 | $41,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,819 | $41,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 15,967 | $41,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 3,930 | $41,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 22,813 | $41,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 6,934 | $40,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,611 | $40,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 5,475 | $40,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 1,092 | $40,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,677 | $40,000 | thousands by filing date | |
| ISHARES TR | 46435G649 | ADAPTV JPN ETF | 1,363 | $40,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 300 | $39,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,351 | $39,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 830 | $39,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 945 | $39,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $39,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 12,500 | $39,000 | thousands by filing date | call |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,437 | $39,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 29,776 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,197 | $39,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 19,068 | $39,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 1,100 | $38,000 | thousands by filing date | put |
| FOOT LOCKER INC | 344849104 | COM | 800 | $38,000 | thousands by filing date | call |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,393 | $38,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,200 | $38,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 7,000 | $38,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,280 | $38,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 1,655 | $38,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 4,047 | $38,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 2,600 | $37,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 1,355 | $37,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 2,213 | $37,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 4,166 | $37,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $37,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 5,830 | $37,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,623 | $37,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,529 | $37,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 5,632 | $37,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 1,864 | $37,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 4,076 | $36,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 500 | $36,000 | thousands by filing date | call |
| FATE THERAPEUTICS INC | 31189P102 | COM | 6,013 | $36,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 509 | $36,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 5,098 | $36,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 3,910 | $36,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 6,000 | $36,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,980 | $36,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 12,500 | $36,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,017 | $35,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 428 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 544 | $35,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,034 | $35,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,278 | $35,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,400 | $35,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 41,433 | $35,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 600 | $35,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,772 | $35,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,192 | $35,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,772 | $35,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 9,503 | $35,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 2,150 | $35,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 3,305 | $35,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 1,201 | $34,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,950 | $34,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 2,500 | $34,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,277 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,229 | $34,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,412 | $34,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 8,315 | $34,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 1,488 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,683 | $34,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 17,425 | $34,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 12,438 | $34,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,611 | $33,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,465 | $33,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 1,834 | $33,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 446 | $33,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 8,159 | $33,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 646 | $33,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 1,563 | $33,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 5,000 | $33,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 2,648 | $33,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 15,455 | $33,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,753 | $33,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 2,038 | $33,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,156 | $33,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,062 | $33,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 18,141 | $32,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 7,314 | $32,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,007 | $32,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,758 | $32,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 563 | $32,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 3,134 | $32,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,903 | $32,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 9,752 | $32,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 5,721 | $32,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,590 | $32,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,000 | $32,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,834 | $32,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 4,046 | $32,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 6,907 | $32,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 1,101 | $32,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 3,168 | $32,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 1,000 | $32,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 7,100 | $31,000 | thousands by filing date | call |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 760 | $31,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 1,000 | $31,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,041 | $31,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,016 | $31,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,539 | $31,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 71,480 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,490 | $31,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,995 | $31,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 4,185 | $31,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 1,380 | $30,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 825 | $30,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,278 | $30,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,311 | $30,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 12,655 | $30,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 1,217 | $30,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,365 | $30,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 722 | $30,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,400 | $30,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 30,000 | $30,000 | thousands by filing date | principal |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 2,097 | $30,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 1,000 | $30,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 828 | $30,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 200 | $29,000 | thousands by filing date | put |
| ALLIENT INC | 019330109 | COM | 898 | $29,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,159 | $29,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 2,457 | $29,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $29,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,000 | $29,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 29,000 | $29,000 | thousands by filing date | principal |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 1,445 | $29,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 3,351 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B357 | S&P INTL DEV HIG | 1,000 | $29,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 400 | $28,000 | thousands by filing date | put |
| PENTAIR PLC SHS | G7S00T104 | Stock | 400 | $28,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,256 | $28,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,490 | $28,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 4,668 | $28,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 5,300 | $28,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,182 | $28,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 4,041 | $28,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 4,416 | $28,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,895 | $28,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 7,706 | $28,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 264 | $28,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,430 | $28,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 25,444 | $28,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 7,798 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 976 | $28,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,171 | $27,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,039 | $27,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 3,538 | $27,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 4,564 | $27,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 1,790 | $27,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,442 | $27,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,007 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 260 | $27,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 682 | $27,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 2,553 | $27,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 4,834 | $27,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 3,300 | $27,000 | thousands by filing date | put |
| NORTHEAST BANCORP | 663904209 | COM | 1,189 | $27,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 4,142 | $27,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,043 | $27,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 11,053 | $27,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 1,124 | $27,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 7,300 | $27,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 11,348 | $26,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 650 | $26,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,580 | $26,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,548 | $26,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,505 | $26,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 2,266 | $26,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 5,083 | $26,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,109 | $26,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 5,635 | $26,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $25,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,299 | $25,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,308 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347B573 | CMN | 460 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 601 | $25,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 24,848 | $25,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,600 | $25,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 8,200 | $25,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,598 | $25,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 8,000 | $25,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 341 | $25,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 843 | $25,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 400 | $24,000 | thousands by filing date | put |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 1,121 | $24,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 7,250 | $24,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 3,500 | $24,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,377 | $24,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 1,610 | $24,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 1,053 | $24,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 7,342 | $24,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 6,053 | $24,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 613 | $24,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 965 | $24,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 1,000 | $24,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $24,000 | thousands by filing date | principal |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 400 | $23,000 | thousands by filing date | put |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 546 | $23,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 600 | $23,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 1,754 | $23,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 620 | $23,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 4,189 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,000 | $23,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,545 | $23,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 12,277 | $23,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,601 | $23,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $22,000 | thousands by filing date | put |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 685 | $22,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,133 | $22,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 500 | $22,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 727 | $22,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 1,404 | $22,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 1,114 | $22,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 3,960 | $22,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 3,241 | $22,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 26,000 | $22,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $22,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,432 | $22,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,256 | $22,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,000 | $22,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,203 | $22,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 729 | $22,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 1,173 | $22,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 271 | $22,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,281 | $21,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 834 | $21,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,659 | $21,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,728 | $21,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,671 | $21,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $21,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 12,240 | $21,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 3,409 | $21,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,704 | $21,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,166 | $21,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 10,000 | $21,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,150 | $21,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N808 | VICOTRYSHS EMG | 800 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 973 | $21,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 1,071 | $21,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 311 | $20,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 683 | $20,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 833 | $20,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,000 | $20,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,000 | $20,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,825 | $20,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 407 | $20,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,095 | $20,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 4,200 | $20,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,000 | $20,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 2,676 | $20,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 10,100 | $20,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 650 | $20,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,500 | $20,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,309 | $20,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 500 | $19,000 | thousands by filing date | put |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 937 | $19,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 2,000 | $19,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 700 | $19,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,260 | $19,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 507 | $19,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,495 | $19,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 11,343 | $19,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 2,032 | $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 |
| JUPAI HLDGS LTD | 48205B107 | ADS | 1,044 | $19,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,200 | $19,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 1,000 | $18,000 | thousands by filing date | call |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,389 | $18,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 571 | $18,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 987 | $18,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 500 | $18,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,300 | $18,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 7,867 | $18,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 7,500 | $18,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 3,739 | $18,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 20,674 | $18,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 13,750 | $18,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $18,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 674 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 330 | $18,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 100 | $17,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 2,662 | $17,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 4,311 | $17,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,158 | $17,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 781 | $17,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,377 | $17,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,363 | $17,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,000 | $17,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $17,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 3,700 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $17,000 | thousands by filing date | principal |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 702 | $17,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 1,000 | $17,000 | thousands by filing date | call |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 562 | $17,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 4,005 | $17,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,612 | $17,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 14,000 | $17,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 6,000 | $17,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $17,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $17,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,745 | $17,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 893 | $17,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $17,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 435 | $17,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 297 | $17,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 9,000 | $17,000 | thousands by filing date | principal |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 4,490 | $17,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 609 | $17,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 4,391 | $17,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 100 | $16,000 | thousands by filing date | put |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 1,247 | $16,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 226 | $16,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,300 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 505 | $16,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 788 | $16,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 1,250 | $16,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,787 | $16,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 1,649 | $16,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,100 | $16,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,909 | $16,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 16,390 | $16,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 24,992 | $16,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,006 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 9,000 | $16,000 | thousands by filing date | principal |
| CORMEDIX INC | 21900C100 | COM | 32,000 | $16,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 750 | $16,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,641 | $16,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-18-008283 | this filing | 2018-02-14 | acceptance time not in the bulk data set |