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 |
|---|---|---|---|---|---|---|
| AXOVANT SCIENCES LTD | G0750W104 | COM | 9,968 | $14,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 376 | $14,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,287 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 581 | $14,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,282 | $14,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 2,622 | $14,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 875 | $14,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 13,750 | $14,000 | thousands by filing date | principal |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 6,573 | $14,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 1,650 | $14,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 1,012 | $14,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 11,000 | $14,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 15,024 | $13,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 11,348 | $13,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 4,000 | $13,000 | thousands by filing date | call |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 948 | $13,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 300 | $13,000 | thousands by filing date | call |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,329 | $13,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 532 | $13,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 325 | $13,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,884 | $13,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 3,232 | $13,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 2,464 | $13,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,776 | $13,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 1,227 | $13,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 3,624 | $13,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,700 | $13,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,250 | $13,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 37,503 | $13,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,265 | $13,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $13,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 337 | $13,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 2,221 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 15,817 | $13,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 16,000 | $13,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 7,485 | $13,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 9,563 | $13,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 590 | $13,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 439 | $13,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 5,000 | $13,000 | thousands by filing date | principal |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 3,400 | $13,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 666 | $13,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 9,000 | $13,000 | thousands by filing date | principal |
| DYNEGY INC NEW DEL | 26817R157 | *W EXP 02/02/202 | 46,696 | $13,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,004 | $12,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,040 | $12,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 578 | $12,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,732 | $12,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,405 | $12,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 467 | $12,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 500 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 338 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 130 | $12,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,032 | $12,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,596 | $12,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 1,079 | $12,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,000 | $12,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 627 | $12,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,185 | $12,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 2,857 | $12,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 244 | $12,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,453 | $12,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,290 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $12,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 157 | $12,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,450 | $12,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,650 | $12,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 2,624 | $12,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,859 | $12,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 6,949 | $12,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 460 | $12,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 3,000 | $12,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 5,635 | $12,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,955 | $12,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 200 | $11,000 | thousands by filing date | put |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 1,654 | $11,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 1,287 | $11,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 878 | $11,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 497 | $11,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 500 | $11,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 404 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 180 | $11,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,109 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 404 | $11,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 477 | $11,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 2,300 | $11,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 164 | $11,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 1,072 | $11,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,063 | $11,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 2,306 | $11,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 304 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 437 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $11,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 602 | $11,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,250 | $11,000 | thousands by filing date | principal |
| PROVIDENT BANCORP INC | 74383X109 | COM | 401 | $11,000 | thousands by filing date | |
| TIGENIX | 88675R109 | SPONSORED ADS | 255 | $11,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,319 | $11,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 492 | $10,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 906 | $10,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,525 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 150 | $10,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 6,047 | $10,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,000 | $10,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 618 | $10,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 733 | $10,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,401 | $10,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 16,513 | $10,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,395 | $10,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 16,125 | $10,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,007 | $10,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,200 | $10,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $10,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 777 | $10,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 2,000 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 474 | $10,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 5,667 | $10,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 7,773 | $10,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 1,339 | $10,000 | thousands by filing date | |
| MABVAX THERAPEUTICS | 55414P702 | Equities | 6,331 | $10,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 350 | $10,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 100 | $9,000 | thousands by filing date | call |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 3,376 | $9,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 1,000 | $9,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 400 | $9,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 511 | $9,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 1,007 | $9,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 728 | $9,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 245 | $9,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $9,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 511 | $9,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 1,342 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 315 | $9,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 526 | $9,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,299 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 600 | $9,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 661 | $9,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 724 | $9,000 | thousands by filing date | |
| LONGFIN CORP CLASS A | 54304F106 | COMMON STOCK | 496 | $9,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 855 | $9,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 3,000 | $9,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 477 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 655 | $9,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 380 | $9,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 9,000 | $9,000 | thousands by filing date | principal |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 400 | $9,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 237 | $9,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 2,056 | $9,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 2,533 | $9,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,000 | $9,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 903 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 385 | $9,000 | thousands by filing date | |
| IShares Edge MSCI Min Vol | 464289115 | STK IDX | 308 | $9,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 300 | $9,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 10,000 | $9,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 6,130 | $8,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 258 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 330 | $8,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $8,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 500 | $8,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 700 | $8,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,259 | $8,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,062 | $8,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 500 | $8,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 1,473 | $8,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,032 | $8,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 752 | $8,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,622 | $8,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,073 | $8,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,450 | $8,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 1,025 | $8,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,128 | $8,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 6,830 | $8,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,101 | $8,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $8,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,650 | $8,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 542 | $8,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C200 | COM NEW | 23,514 | $8,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 2,244 | $8,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 1,493 | $8,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 419 | $8,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 5,734 | $8,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 820 | $8,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 344 | $8,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 321 | $8,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 4,184 | $8,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,141 | $8,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 2,600 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B373 | TREASURY CLTRL | 72 | $8,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 898 | $7,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $7,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 15,950 | $7,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 291 | $7,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,600 | $7,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 559 | $7,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $7,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,759 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $7,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $7,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 672 | $7,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 546 | $7,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,965 | $7,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 17,009 | $7,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 2,500 | $7,000 | thousands by filing date | call |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 3,203 | $7,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,142 | $7,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,655 | $7,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 4,514 | $7,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,970 | $7,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 3,900 | $7,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 1,089 | $7,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,338 | $7,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 2,944 | $7,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,100 | $7,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $7,000 | thousands by filing date | |
| CLEMENTIA PHARMACEUTICALS IN | 185575107 | COM | 484 | $7,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 6,870 | $7,000 | thousands by filing date | |
| TDH HLDGS INC SHS NEW | G87084102 | Stock | 1,673 | $7,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 5,500 | $7,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,208 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 24,728 | $6,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,697 | $6,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 340 | $6,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 919 | $6,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 387 | $6,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 459 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 339 | $6,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 530 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,578 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $6,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 556 | $6,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 345 | $6,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 200 | $6,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 860 | $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 |
| SENOMYX INC | 81724Q107 | COM | 6,600 | $6,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 765 | $6,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 198,668 | $6,000 | thousands by filing date | principal |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 500 | $6,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 2,000 | $6,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 259 | $6,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 442 | $6,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,247 | $6,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 4,106 | $6,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,376 | $6,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 2,080 | $6,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 1,171 | $6,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,244 | $6,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 1,548 | $6,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 536 | $6,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR CONSUMER DISCRETIONARY ETF | 46435G623 | ETF | 198 | $6,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 404 | $5,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 260 | $5,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 353 | $5,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 607 | $5,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,016 | $5,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 518 | $5,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 353 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $5,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 348 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,200 | $5,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 602 | $5,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 3,024 | $5,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 640 | $5,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,551 | $5,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,045 | $5,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 5,500 | $5,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,000 | $5,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 432 | $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 | 472 | $5,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 2,790 | $5,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 13,370 | $5,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $5,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 122 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 157 | $5,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 1,674 | $5,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 4,444 | $5,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 1,364 | $5,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 1,950 | $5,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,911 | $5,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 3,019 | $5,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 5,000 | $5,000 | thousands by filing date | principal |
| PEAK RESORTS INC | 70469L100 | COM | 1,000 | $5,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 227 | $5,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 4,000 | $5,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 5,000 | $5,000 | thousands by filing date | principal |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 287 | $5,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 3,000 | $5,000 | thousands by filing date | principal |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 2,500 | $4,000 | thousands by filing date | call |
| COMSTOCK RES INC COM | 205768302 | Stock | 493 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 130 | $4,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 704 | $4,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 275 | $4,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 724 | $4,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| NEXA RES S A | L67359106 | COM | 250 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 436 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 80 | $4,000 | thousands by filing date | |
| 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 | |
| NORTECH SYS INC | 656553104 | COM | 1,400 | $4,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $4,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,106 | $4,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 676 | $4,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 8,603 | $4,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 523 | $4,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 10,917 | $4,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,780 | $4,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 142 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 115 | $4,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 500 | $4,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 4,982 | $4,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 2,317 | $4,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 4,000 | $4,000 | thousands by filing date | principal |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 674 | $4,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,562 | $4,000 | thousands by filing date | principal |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 409 | $4,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 90 | $4,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 508 | $4,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 3,000 | $4,000 | thousands by filing date | |
| OPPENHEIMER ETF TR RUSL 1000 MOMT | 68386C682 | CEF | 152 | $4,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $4,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 587 | $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 |
| OMINTO INC | 68217C208 | COM NEW | 1,293 | $4,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 100 | $3,000 | thousands by filing date | put |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 63 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 61 | $3,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 211 | $3,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 11,000 | $3,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 500 | $3,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 140 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 325 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 206 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 26 | $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 | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 500 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,565 | $3,000 | thousands by filing date | principal |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 129 | $3,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 187 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $3,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $3,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 906 | $3,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,459 | $3,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,800 | $3,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $3,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,674 | $3,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,262 | $3,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 444 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 658 | $3,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,000 | $3,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 1,846 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,861 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,800 | $3,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HLDGS IN | 71426V306 | COM NEW | 1,102 | $3,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 1,186 | $3,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 971 | $3,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 540 | $3,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 4,000 | $3,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 1,058 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,275 | $3,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 885 | $3,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $3,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 3,000 | $3,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 4,296 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRADED FD | 18386R403 | GUGGENHEIM 2025 | 110 | $3,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 2,000 | $3,000 | thousands by filing date | principal |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 550 | $2,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $2,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 320 | $2,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 249 | $2,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 50 | $2,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 414 | $2,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 510 | $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 | 106 | $2,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 725 | $2,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 94 | $2,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 500 | $2,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 300 | $2,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 114 | $2,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 194 | $2,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 955 | $2,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 178 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,443 | $2,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 200 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 45 | $2,000 | thousands by filing date | |
| XTL BIOPHARMACEUTICALS LTD | 98386D307 | SPONSORED ADR NE | 1,000 | $2,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 1,853 | $2,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 509 | $2,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 200 | $2,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 1,037 | $2,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 11,679 | $2,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 3,293 | $2,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,000 | $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 | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 250 | $2,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 175 | $2,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 622 | $2,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 6,147 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 3,000 | $2,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 542 | $2,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 500 | $2,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 250 | $2,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 121 | $2,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,099 | $2,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 1,113 | $2,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 2,000 | $2,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 202 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 1,197 | $2,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 541 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,000 | $2,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 1,031 | $2,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L105 | COM | 540 | $2,000 | thousands by filing date | |
| CGG | 12531Q204 | SPON ADR NEW | 814 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 650 | $2,000 | thousands by filing date | |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 2,766 | $2,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 1,000 | $2,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,700 | $2,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 422 | $2,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 775 | $2,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 425 | $2,000 | thousands by filing date | |
| PRECISION THERAPEUTICS INC | 74033P100 | COM | 1,692 | $2,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 686 | $2,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 1,100 | $2,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 2,857 | $2,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 8,944 | $2,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 88 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 20 | $1,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 22 | $1,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 220 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 250 | $1,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 900 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 50 | $1,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 156 | $1,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 150 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 206 | $1,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 100 | $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 | |
| ISHARES TR | 46429B515 | CMN | 32 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 29 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 5 | $1,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 12,337 | $1,000 | thousands by filing date | principal |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 323 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 1,200 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 600 | $1,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 1,844 | $1,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 217 | $1,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 221 | $1,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 775 | $1,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 590 | $1,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 200 | $1,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 79 | $1,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 310 | $1,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 522 | $1,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 1,000 | $1,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,079 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 250 | $1,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 185 | $1,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 150 | $1,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,065 | $1,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $1,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 300 | $1,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 1,000 | $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 | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 312 | $1,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,050 | $1,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 3,500 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 643 | $1,000 | thousands by filing date | principal |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 187 | $1,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 23,500 | $1,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 575 | $1,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 412 | $1,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 4,000 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,525 | $1,000 | thousands by filing date | principal |
| KONA GRILL INC | 50047H201 | COM | 559 | $1,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 200 | $1,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 3,500 | $1,000 | thousands by filing date | principal |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 3,230 | $1,000 | thousands by filing date | principal |
| BROADVISION INC | 111412706 | COM | 342 | $1,000 | 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 |