13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-15, with 7,200 holding rows worth $585,337,749,000.
- Accession
- 0001140361-18-023594
- Filer
- CIK 70858
- Filed
- 2018-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 20,878 entries on the cover page, a total value of $585,337,749,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $585,337,749,000 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 |
|---|---|---|---|---|---|---|
| CINER RES LP | 172464109 | COM UNIT LTD | 2,000 | $56,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E851 | DAILY JR BULL 3X | 4,158 | $56,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 4,163 | $56,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,908 | $55,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 20,754 | $55,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,160 | $55,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,583 | $55,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 6,470 | $55,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 14,580 | $55,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 16,732 | $54,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 24,054 | $54,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 16,570 | $54,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 8,919 | $54,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 2,827 | $54,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 8,266 | $53,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 3,128 | $53,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 6,451 | $53,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 5,086 | $53,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 1,153 | $53,000 | thousands by filing date | |
| EATON VANCE N J MUN BD FD | 27828R103 | COM | 4,500 | $53,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,931 | $53,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 7,500 | $53,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 5,900 | $53,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 5,150 | $53,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 6,544 | $53,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 1,967 | $52,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 1,200 | $52,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 10,466 | $52,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 8,588 | $52,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 8,245 | $52,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 18,043 | $52,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 14,008 | $52,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 17,452 | $52,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 2,665 | $52,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 4,500 | $52,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 15,546 | $52,000 | thousands by filing date | |
| DBX ETF TR | 233051564 | XTRCK EURZON EQT | 2,183 | $52,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 2,454 | $51,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 2,515 | $51,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,289 | $51,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 18,000 | $51,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 676 | $50,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 3,200 | $50,000 | thousands by filing date | put |
| GEE GROUP INC | 36165A102 | COM | 19,040 | $50,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 669 | $50,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 28,908 | $50,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 688 | $49,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 5,742 | $49,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 6,700 | $49,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 21,697 | $49,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 14,006 | $49,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 7,554 | $49,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,910 | $49,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 16,420 | $49,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 3,208 | $49,000 | thousands by filing date | |
| ACTIVE WEIGHTING FDS ETF TR | 00509T102 | REPUBLICAN | 2,262 | $49,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 2,000 | $48,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 25,400 | $48,000 | thousands by filing date | call |
| RH | 74967X103 | COM | 500 | $48,000 | thousands by filing date | put |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 6,249 | $48,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1,483 | $48,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,728 | $48,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 4,000 | $48,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,192 | $47,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,632 | $47,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 16,668 | $47,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 15,000 | $47,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 2,024 | $47,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 9,653 | $47,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A693 | BRAND VALUE | 3,062 | $47,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 5,800 | $46,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 1,611 | $46,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 28,474 | $46,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 1,346 | $46,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 42,781 | $46,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,131 | $46,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,815 | $46,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 22,027 | $46,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 14,085 | $46,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 5,037 | $46,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 3,500 | $46,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 3,674 | $45,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 39,900 | $45,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 2,469 | $45,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 4,316 | $45,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 701 | $45,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 40,996 | $45,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 6,200 | $45,000 | thousands by filing date | put |
| MUSTANG BIO INC | 62818Q104 | COM | 4,104 | $45,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 8,710 | $45,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 25,000 | $45,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 5,507 | $44,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 3,486 | $44,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,975 | $44,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,610 | $44,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,075 | $44,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 13,000 | $44,000 | thousands by filing date | principal |
| MITEK SYS INC | 606710200 | COM NEW | 5,737 | $43,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 980 | $42,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,420 | $42,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 4,609 | $42,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 2,000 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 2,000 | $42,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 6,565 | $42,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 14,668 | $42,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 29,477 | $42,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 7,535 | $42,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L126 | UNIT 01/09/2023 | 4,100 | $42,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 1,465 | $41,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 2,516 | $41,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 2,600 | $41,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,284 | $41,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 4,053 | $41,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 14,124 | $41,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 3,101 | $41,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 11,185 | $41,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 7,202 | $41,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 9,307 | $41,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 2,207 | $41,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 2,562 | $40,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 3,972 | $40,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,931 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 400 | $40,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 2,500 | $40,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 3,868 | $40,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 3,972 | $40,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $40,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 4,687 | $40,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 5,350 | $40,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 714 | $40,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 16,500 | $40,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 648 | $40,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 31,259 | $40,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 1,600 | $40,000 | thousands by filing date | |
| DITECH HLDG CORP | 25501G105 | COM | 4,485 | $40,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 50,430 | $40,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 3,500 | $39,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 8,260 | $39,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 1,542 | $39,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 2,266 | $39,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 5,475 | $39,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 38,000 | $39,000 | thousands by filing date | principal |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 682 | $39,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 36,864 | $39,000 | thousands by filing date | |
| Armo Biosciences Inc | 04225U104 | COM | 1,047 | $39,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 3,892 | $39,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 4,068 | $39,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 13,510 | $38,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 42,889 | $38,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 18,566 | $38,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 2,031 | $38,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 2,914 | $38,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 7,084 | $38,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,216 | $38,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 23,134 | $38,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 1,703 | $37,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 6,195 | $37,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 11,739 | $37,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,200 | $37,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 6,067 | $37,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 10,148 | $37,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 13,248 | $37,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 15,601 | $37,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 737 | $37,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,078 | $37,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 300 | $36,000 | thousands by filing date | put |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 400 | $36,000 | thousands by filing date | call |
| PREFORMED LINE PRODS CO | 740444104 | COM | 563 | $36,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 4,449 | $36,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 2,524 | $36,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 11,700 | $36,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 4,907 | $36,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 5,396 | $36,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 11,940 | $36,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 5,079 | $36,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 2,595 | $36,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 1,009 | $36,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 5,230 | $36,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 2,300 | $35,000 | thousands by filing date | call |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,650 | $35,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 4,615 | $35,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $35,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,500 | $35,000 | thousands by filing date | |
| ANCHOR | 032838104 | COMMON STOCK | 1,401 | $35,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 37,000 | $35,000 | thousands by filing date | principal |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,151 | $34,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 2,000 | $34,000 | thousands by filing date | call |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,288 | $34,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,051 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,200 | $34,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $34,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,347 | $34,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 28,000 | $34,000 | thousands by filing date | principal |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 8,487 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 1,605 | $34,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,554 | $34,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 18,137 | $34,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 249 | $34,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 12,763 | $34,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,890 | $33,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 2,835 | $33,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,957 | $33,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 825 | $33,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,145 | $33,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 3,439 | $33,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,831 | $33,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 38,000 | $33,000 | thousands by filing date | principal |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 18,228 | $33,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 2,203 | $33,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 3,529 | $33,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 2,876 | $33,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 41,707 | $33,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 6,428 | $32,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 1,556 | $32,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,894 | $32,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 1,285 | $32,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 721 | $32,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 18,000 | $32,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 1,525 | $32,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 2,779 | $32,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,199 | $31,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 4,088 | $31,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 4,515 | $31,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,200 | $31,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 7,759 | $31,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,792 | $31,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 48,001 | $31,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 8,124 | $31,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 16,790 | $31,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,253 | $31,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 1,484 | $30,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 716 | $30,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,689 | $30,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 1,144 | $30,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 12,655 | $30,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 4,750 | $30,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 12,400 | $30,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 76,150 | $30,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,000 | $30,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 809 | $30,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 6,003 | $30,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 1,000 | $30,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 30,000 | $30,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 6,545 | $30,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 17,000 | $30,000 | thousands by filing date | principal |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 1,931 | $30,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 22,750 | $30,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 3,405 | $30,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 500 | $29,000 | thousands by filing date | call |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 2,623 | $29,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 7,872 | $29,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 2,202 | $29,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,430 | $29,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,129 | $29,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 3,310 | $29,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 2,000 | $29,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 2,603 | $29,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 2,909 | $29,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 8,100 | $29,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 3,941 | $29,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 14,501 | $29,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 26,000 | $29,000 | thousands by filing date | principal |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 27,840 | $29,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 7,630 | $29,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 1,700 | $29,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 3,331 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B357 | S&P INTL DEV HIG | 1,000 | $29,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 857 | $28,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $28,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 2,134 | $28,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,835 | $28,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,829 | $28,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 1,442 | $28,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 2,553 | $28,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,692 | $28,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 6,695 | $28,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 1,208 | $28,000 | thousands by filing date | |
| GAFISA S A | 362607400 | UNSPONSORED ADR | 4,554 | $28,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,166 | $27,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,895 | $27,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 27,550 | $27,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 2,500 | $27,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 12,202 | $27,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 1,330 | $27,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 26,000 | $27,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 4,813 | $27,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $26,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,281 | $26,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,435 | $26,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 958 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 1,144 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 600 | $26,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 5,210 | $26,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 3,699 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 771 | $26,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 23,000 | $26,000 | thousands by filing date | principal |
| ASANKO GOLD INC | 04341Y105 | COM | 25,900 | $26,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 25,338 | $26,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 9,408 | $26,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 2,225 | $26,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 6,612 | $26,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 27,500 | $26,000 | thousands by filing date | principal |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $26,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 29,000 | $26,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| COGENTIX MED INC COM | 19243A104 | Stock | 6,879 | $26,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 2,000 | $25,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 1,600 | $25,000 | thousands by filing date | call |
| AXT INC | 00246W103 | COM | 3,511 | $25,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 4,000 | $25,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,635 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,277 | $25,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 642 | $25,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $25,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,554 | $25,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 5,773 | $25,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,230 | $25,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 25,750 | $25,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 25,250 | $25,000 | thousands by filing date | principal |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 892 | $25,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 26,000 | $25,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,465 | $25,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| BLACKHAWK NETWORK HLDGS INC | 09238EAB0 | NOTE 1.500% 1/1 | 23,000 | $25,000 | thousands by filing date | principal |
| ADMA BIOLOGICS INC | 000899104 | COM | 5,188 | $24,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 3,000 | $24,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 2,002 | $24,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 3,516 | $24,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 230 | $24,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F577 | GEN DRUGS ETF | 1,000 | $24,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 2,973 | $24,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 7,300 | $24,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 16,565 | $24,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 24,000 | $24,000 | thousands by filing date | principal |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,115 | $23,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 1,307 | $23,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,643 | $23,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 566 | $23,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 1,050 | $23,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 856 | $23,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 5,442 | $23,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,909 | $23,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 4,910 | $23,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 551 | $23,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 26,000 | $23,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 819 | $23,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 3,595 | $23,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 3,150 | $23,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 2,712 | $23,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,461 | $23,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 3,158 | $23,000 | thousands by filing date | |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 2,500 | $23,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 1,000 | $22,000 | thousands by filing date | put |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 30,000 | $22,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 1,612 | $22,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,394 | $22,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 8,200 | $22,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 5,630 | $22,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,280 | $22,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 1,834 | $22,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233206 | COM NEW | 1,601 | $22,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 5,977 | $21,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $21,000 | thousands by filing date | put |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,377 | $21,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 13,075 | $21,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,138 | $21,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 1,000 | $21,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 773 | $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 | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 1,169 | $21,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 743 | $20,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 559 | $20,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 775 | $20,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,390 | $20,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 3,774 | $20,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,150 | $20,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| BRIGHTCOVE INC | 10921T101 | COM | 2,831 | $20,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 5,215 | $20,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,066 | $20,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,468 | $20,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,094 | $20,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 916 | $20,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 10,102 | $20,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 650 | $20,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,283 | $20,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,100 | $19,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 846 | $19,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,083 | $19,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $19,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 3,249 | $19,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 589 | $19,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,070 | $19,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 8,360 | $19,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 434 | $19,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 1,178 | $19,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 214,643 | $19,000 | thousands by filing date | principal |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $19,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 505 | $19,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 202 | $19,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,045 | $19,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 11,425 | $19,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 2,661 | $19,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 218 | $18,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 500 | $18,000 | thousands by filing date | put |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 577 | $18,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,147 | $18,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,000 | $18,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 500 | $18,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 356 | $18,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 580 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $18,000 | thousands by filing date | principal |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 501 | $18,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,250 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 451 | $18,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 3,118 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 700 | $18,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 4,000 | $18,000 | thousands by filing date | principal |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 2,381 | $18,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 11,501 | $18,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 4,200 | $18,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 580 | $18,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,000 | $18,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 13,751 | $18,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 477 | $18,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 2,240 | $18,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,018 | $18,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,200 | $18,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 330 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 412 | $17,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 3,834 | $17,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 3,047 | $17,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 8,372 | $17,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,300 | $17,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 2,698 | $17,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 343 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 182 | $17,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 5,565 | $17,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 17,000 | $17,000 | thousands by filing date | principal |
| GOLD STD VENTURES CORP | 380738104 | COM | 10,126 | $17,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,932 | $17,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,538 | $17,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,815 | $17,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $17,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,337 | $17,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,632 | $17,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 14,000 | $17,000 | thousands by filing date | principal |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 11,170 | $17,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 4,706 | $17,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 846 | $17,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,115 | $16,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 12,907 | $16,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 1,000 | $16,000 | thousands by filing date | put |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 2,173 | $16,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 696 | $16,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 726 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 502 | $16,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 532 | $16,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 2,000 | $16,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 869 | $16,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 1,711 | $16,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 4,007 | $16,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 379 | $16,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,860 | $16,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $16,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,047 | $16,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $16,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 638 | $16,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,000 | $16,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 1,590 | $16,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,063 | $16,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,206 | $16,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 565 | $16,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 2,964 | $16,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 951 | $15,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $15,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,987 | $15,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,896 | $15,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 250,216 | $15,000 | thousands by filing date | principal |
| LUTHER BURBANK CORP | 550550107 | COM | 1,251 | $15,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 315 | $15,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 890 | $15,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 4,158 | $15,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,500 | $15,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $15,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $15,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 100 | $15,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 4,451 | $15,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 600 | $14,000 | thousands by filing date | put |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 2,259 | $14,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 2,067 | $14,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 751 | $14,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 2,000 | $14,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 2,405 | $14,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 204 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 434 | $14,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,163 | $14,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 1,235 | $14,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 469 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-18-023594 | this filing | 2018-05-15 | acceptance time not in the bulk data set |