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 |
|---|---|---|---|---|---|---|
| CVS Health Corporation | 126650100 | COM | 200 | $15,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 28,200 | $15,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $15,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 338 | $15,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,185 | $15,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 5,011 | $15,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,169 | $15,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 3,200 | $15,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $15,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,500 | $15,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,063 | $15,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,955 | $15,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $15,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 14,000 | $15,000 | thousands by filing date | principal |
| OMINTO INC | 68217C208 | COM NEW | 4,292 | $15,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $15,000 | thousands by filing date | principal |
| MONGODB INC CL A | 60937P106 | Stock | 446 | $14,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 901 | $14,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 200 | $14,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 799 | $14,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 2,405 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 430 | $14,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,000 | $14,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,822 | $14,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 2,300 | $14,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 937 | $14,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 965 | $14,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 315 | $14,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 4,174 | $14,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 775 | $14,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $14,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,485 | $14,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 1,148 | $14,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 666 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 558 | $13,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 200 | $13,000 | thousands by filing date | put |
| ECOLAB INC COM | 278865100 | Stock | 100 | $13,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 3,100 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 408 | $13,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 518 | $13,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,205 | $13,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 848 | $13,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,489 | $13,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 695 | $13,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 399 | $13,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 500 | $13,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $13,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 994 | $13,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 906 | $13,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 11,000 | $13,000 | thousands by filing date | principal |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $13,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 37,503 | $13,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 700 | $13,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 1,342 | $13,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 1,125 | $13,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 6,941 | $13,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 423 | $13,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 3,500 | $13,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 822 | $13,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 12,000 | $13,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 12,000 | $13,000 | thousands by filing date | principal |
| NXT-ID INC | 67091J206 | COM NEW | 3,642 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $13,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 1,443 | $13,000 | thousands by filing date | |
| MABVAX THERAPEUTICS HLDGS INC COM NEW | 55414P504 | COM | 18,996 | $13,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C864 | EMERGING MKT | 460 | $13,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 360 | $13,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 1,412 | $12,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 2,678 | $12,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 423 | $12,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 379 | $12,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 969 | $12,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 607 | $12,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 8,100 | $12,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 10,538 | $12,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 6,026 | $12,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 2,139 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 12,042 | $12,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 21,594 | $12,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $12,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 600 | $11,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 840 | $11,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 800 | $11,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 500 | $11,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 589 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 345 | $11,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,259 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 180 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 404 | $11,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,965 | $11,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 5,338 | $11,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,007 | $11,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 400 | $11,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $11,000 | thousands by filing date | principal |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 4,283 | $11,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $11,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 3,311 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X396 | GBL EX US HDGD | 394 | $11,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 288 | $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 | |
| W & T OFFSHORE INC | 92922P106 | COM | 3,000 | $10,000 | thousands by filing date | put |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,308 | $10,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $10,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,037 | $10,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 190 | $10,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 8,958 | $10,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 875 | $10,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 2,230 | $10,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,075 | $10,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $10,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 200 | $10,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,531 | $10,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $10,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 452 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 421 | $10,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,128 | $10,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 3,263 | $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 |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 4,230 | $10,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 1,074 | $10,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 6,500 | $10,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 2,375 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 411 | $10,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 1,000 | $10,000 | thousands by filing date | principal |
| ENERGY FUELS INC | 292671708 | COM NEW | 5,094 | $9,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 621 | $9,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,683 | $9,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,112 | $9,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 800 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 600 | $9,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,868 | $9,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 4,010 | $9,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 450 | $9,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 3,000 | $9,000 | thousands by filing date | principal |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,861 | $9,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,970 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 300 | $9,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 4,521 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 145 | $9,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 7,668 | $9,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 11,280 | $9,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 890 | $9,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 2,282 | $9,000 | thousands by filing date | |
| IShares Edge MSCI Min Vol | 464289115 | STK IDX | 306 | $9,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 46,700 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 169 | $8,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 258 | $8,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 216 | $8,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 885 | $8,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $8,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 1,628 | $8,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 318 | $8,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 316 | $8,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,222 | $8,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 246 | $8,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,450 | $8,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 724 | $8,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 8,068 | $8,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 6,600 | $8,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 6,400 | $8,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $8,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 15,370 | $8,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 442 | $8,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $8,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 3,100 | $8,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,282 | $8,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $8,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,200 | $8,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 1,284 | $8,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 2,600 | $8,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 6,160 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B373 | TREASURY CLTRL | 72 | $8,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 355 | $7,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 1,000 | $7,000 | thousands by filing date | put |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,578 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $7,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 617 | $7,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 960 | $7,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 5,000 | $7,000 | thousands by filing date | principal |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 11,414 | $7,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 3,300 | $7,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 666 | $7,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,900 | $7,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $7,000 | thousands by filing date | |
| Anthera Pharmaceuticals Inc (NV) | 03674U300 | COM | 3,735 | $7,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,000 | $7,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,338 | $7,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 5,020 | $7,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 6,000 | $7,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 7,050 | $7,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 687 | $7,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,425 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 105 | $6,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 2,077 | $6,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 713 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 224 | $6,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 620 | $6,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,600 | $6,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 458 | $6,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 530 | $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 | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 556 | $6,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 4,000 | $6,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 17,187 | $6,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,400 | $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 |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $6,000 | thousands by filing date | principal |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 17,308 | $6,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,600 | $6,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 218 | $6,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 249 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 565 | $6,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,375 | $6,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 2,721 | $6,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 4,446 | $6,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 3,000 | $6,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,118 | $6,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 812 | $6,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 255 | $6,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 3,000 | $6,000 | thousands by filing date | principal |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 250 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 615 | $5,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,937 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $5,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 519 | $5,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,400 | $5,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 5,000 | $5,000 | thousands by filing date | principal |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 3,160 | $5,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 6,700 | $5,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $5,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 500 | $5,000 | thousands by filing date | |
| 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 | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 6,000 | $5,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 400 | $5,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 829 | $5,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 387 | $5,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 810 | $5,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,911 | $5,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 5,000 | $5,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 738 | $5,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 5,000 | $5,000 | thousands by filing date | principal |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 312 | $5,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 1,841 | $5,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 5,000 | $5,000 | thousands by filing date | principal |
| ISHARES TR | 46435G854 | MSCI ACWI ETF | 173 | $5,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 186 | $4,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 284 | $4,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 700 | $4,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 11,667 | $4,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 84 | $4,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 500 | $4,000 | thousands by filing date | call |
| ASTRONOVA INC | 04638F108 | COM | 275 | $4,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 469 | $4,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 300 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $4,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 4,000 | $4,000 | thousands by filing date | principal |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 3,949 | $4,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $4,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 3,247 | $4,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 4,953 | $4,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 7,634 | $4,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 870 | $4,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 432 | $4,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 632 | $4,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,640 | $4,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 6,772 | $4,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 110 | $4,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 200 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 236 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 150 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 115 | $4,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 184 | $4,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 126 | $4,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 814 | $4,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,000 | $4,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,519 | $4,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 6,000 | $4,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 4,000 | $4,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 204 | $4,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 268 | $3,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 1,000 | $3,000 | thousands by filing date | call |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 133 | $3,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 63 | $3,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 115 | $3,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 191 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 206 | $3,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 585 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 100 | $3,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,550 | $3,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 200 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $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 |
| ISHARES TR | 46429B515 | CMN | 71 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $3,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 436 | $3,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $3,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 100 | $3,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 100 | $3,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 898 | $3,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 377 | $3,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 100 | $3,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 444 | $3,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,000 | $3,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 495 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,780 | $3,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 107 | $3,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 100 | $3,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 1,500 | $3,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 283 | $3,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 703 | $3,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 485 | $3,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 4,000 | $3,000 | thousands by filing date | principal |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,000 | $3,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 500 | $3,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 500 | $3,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 540 | $3,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,000 | $3,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 356 | $3,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 933 | $3,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 3,000 | $3,000 | thousands by filing date | principal |
| MAJESCO | 56068V102 | COM | 659 | $3,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 3,000 | $3,000 | thousands by filing date | principal |
| ITUS CORP | 45069V203 | COM NEW | 1,120 | $3,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 15,725 | $3,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 100 | $2,000 | thousands by filing date | put |
| AMERICANRLTYINVSINC | 029174109 | STOK | 144 | $2,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 550 | $2,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 245 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 125 | $2,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,000 | $2,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 130 | $2,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 474 | $2,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 16 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 497 | $2,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 94 | $2,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 400 | $2,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 459 | $2,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,465 | $2,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 750 | $2,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 300 | $2,000 | thousands by filing date | call |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 203 | $2,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 500 | $2,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 901 | $2,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 177 | $2,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,061 | $2,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 460 | $2,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 454 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 190 | $2,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 206 | $2,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 2,000 | $2,000 | thousands by filing date | principal |
| GOLDFIELD CORP | 381370105 | COM | 522 | $2,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 5,825 | $2,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $2,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 110 | $2,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 3,000 | $2,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 6,147 | $2,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 389 | $2,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 250 | $2,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,099 | $2,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 500 | $2,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 11,357 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 91 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 53 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 650 | $2,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 29 | $2,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 123 | $2,000 | thousands by filing date | |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 2,766 | $2,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,700 | $2,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 2,000 | $2,000 | thousands by filing date | principal |
| COGENTIX MED INC COM | 19243A104 | Stock | 726 | $2,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 1,000 | $2,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 1,000 | $2,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $2,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 425 | $2,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 1,000 | $2,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 1,400 | $2,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 2,000 | $2,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 9,300 | $2,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 2,857 | $2,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 29 | $2,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 1,000 | $2,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T606 | COM PAR | 1,692 | $2,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 50 | $2,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 165 | $1,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 30 | $1,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 156 | $1,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 54 | $1,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 100 | $1,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 200 | $1,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 250 | $1,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 41 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 50 | $1,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 205 | $1,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 100 | $1,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 600 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 49 | $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 | 72 | $1,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 34 | $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 | 500 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 700 | $1,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 317 | $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 | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 200 | $1,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 310 | $1,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 1,000 | $1,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R117 | WARR | 274 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 296 | $1,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 1,000 | $1,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 200 | $1,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 108 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 150 | $1,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,065 | $1,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 300 | $1,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 200 | $1,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 200 | $1,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 306 | $1,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 276 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,050 | $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 | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,116 | $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 | |
| IBIO INC | 451033104 | COM | 4,000 | $1,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 500 | $1,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 200 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 342 | $1,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 550 | $1,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 625 | $1,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| 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 | 1,400 | $1,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 250 | $1,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 629 | $1,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 285 | $1,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,000 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 50 | $1,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 52 | $1,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 1,000 | $1,000 | thousands by filing date | principal |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 29 | $1,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 647 | $1,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 359 | $1,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES IN | 18449C500 | COM PAR NEW | 400 | $1,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 176 | $1,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 960 | $1,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 1,000 | $1,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 40 | $1,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 34 | $1,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 399 | $1,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 503 | $1,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 285 | $1,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 417 | $1,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 1,000 | $1,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P202 | UNIT 99/99/9999 | 100 | $1,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 1,896 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X446 | GBL SMLCP DIVI | 21 | $1,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 839 | $1,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L113 | *W EXP 01/21/202 | 2,250 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 81 | $1,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 1,000 | $1,000 | thousands by filing date | principal |
| FORM HLDGS CORP COM | 34634E102 | Stock | 500 | $1,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 860 | $1,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 200 | $1,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A202 | UNIT 99/99/9999 | 111 | $1,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 33,609 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 1,410 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y640 | ICONIC US | 33 | $1,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXTDECADE CORP | 65342K105 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 94 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |