13F-HR filed by WEDBUSH SECURITIES INC
WEDBUSH SECURITIES INC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-13, with 899 holding rows worth $881,410,000.
- Accession
- 0001142495-18-000004
- Filer
- CIK 1142495
- Filed
- 2018-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 14,387 entries on the cover page, a total value of $881,410,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $881,410,000 with VALUE read as thousands by filing date, 13F file number 028-12460. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 3,000 | $377,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 2,480 | $373,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 12,017 | $373,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 17,362 | $373,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 34,330 | $372,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 8,467 | $370,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 29,428 | $369,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 3,000 | $369,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 25,837 | $367,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 7,854 | $366,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 4,153 | $365,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 19,192 | $364,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 11,798 | $363,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 19,451 | $363,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 1,722 | $359,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 19,697 | $359,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 908 | $355,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 5,029 | $353,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 83,624 | $352,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 3,441 | $351,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 7,000 | $351,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 2,416 | $349,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 19,198 | $349,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 11,415 | $348,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 17,081 | $347,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 18,106 | $347,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,628 | $346,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,363 | $345,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 45,989 | $345,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 4,705 | $344,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 5,911 | $343,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 18,164 | $343,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 26,833 | $343,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 3,027 | $343,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 32,875 | $339,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 7,844 | $337,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,644 | $337,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 52,070 | $337,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 25,686 | $337,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 4,232 | $336,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 3,864 | $335,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 13,500 | $335,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 15,333 | $333,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 733 | $332,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 6,736 | $330,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 3,540 | $329,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 3,555 | $328,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 10,100 | $328,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 32,870 | $327,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 31,050 | $327,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 3,228 | $326,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 12,825 | $326,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 5,299 | $324,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 3,569 | $323,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 39,924 | $322,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 897 | $321,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 7,476 | $321,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 6,617 | $320,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,945 | $320,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 10,917 | $318,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 11,720 | $318,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,345 | $317,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 16,901 | $317,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 5,284 | $316,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 4,753 | $314,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 9,611 | $313,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 6,809 | $313,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 7,900 | $313,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 2,334 | $313,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 2,579 | $312,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 8,632 | $311,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 22,148 | $311,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 15,091 | $310,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 11,670 | $309,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 1,513 | $306,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 6,603 | $304,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 24,728 | $303,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 3,000 | $303,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 17,317 | $302,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 6,965 | $302,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 8,959 | $302,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,670 | $301,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 1,939 | $301,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 5,017 | $299,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 4,766 | $297,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 8,750 | $296,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 20,555 | $295,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 4,030 | $294,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 10,500 | $293,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 25,982 | $292,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 3,797 | $291,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 2,711 | $290,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 16,551 | $290,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 5,913 | $290,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 7,728 | $290,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 72,750 | $290,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 1,153 | $288,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 4,306 | $287,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 661 | $286,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 626 | $285,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 11,933 | $285,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 22,659 | $285,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 1,950 | $285,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 2,586 | $283,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 12,623 | $283,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 10,647 | $283,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 2,611 | $282,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 5,623 | $282,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 46,414 | $282,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 3,650 | $281,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 15,603 | $281,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 1,837 | $281,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 873 | $281,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 8,125 | $281,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 1,796 | $280,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 4,809 | $280,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 2,522 | $279,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 56,086 | $279,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 9,858 | $279,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 2,023 | $277,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 9,049 | $277,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 9,647 | $277,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 20,112 | $276,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 1,694 | $276,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 21,762 | $276,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 3,615 | $276,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 12,822 | $276,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 24,066 | $275,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 38,230 | $275,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 8,230 | $274,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 15,300 | $274,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,341 | $270,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 9,832 | $269,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 21,518 | $269,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 9,606 | $268,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 792 | $268,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 4,618 | $268,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 14,550 | $268,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 5,477 | $266,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 43,498 | $265,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 29,987 | $263,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 11,282 | $263,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 6,797 | $263,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 4,064 | $263,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 9,633 | $263,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 2,706 | $262,000 | thousands by filing date | |
| GRAMERCY PPTY TR | 385002308 | COM NEW | 9,551 | $262,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 26,569 | $262,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 21,355 | $261,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 29,500 | $261,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 2,520 | $261,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 4,181 | $260,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 4,754 | $260,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 5,276 | $259,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 17,377 | $259,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 3,404 | $258,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 3,676 | $258,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 23,788 | $258,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 1,948 | $257,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 23,198 | $257,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 6,499 | $256,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 5,568 | $255,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 3,822 | $255,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 5,171 | $254,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 1,956 | $254,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 19,763 | $254,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 3,413 | $253,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 2,372 | $252,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 1,522 | $250,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 10,120 | $250,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,104 | $249,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 3,393 | $249,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 22,332 | $249,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 6,719 | $249,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 92,050 | $249,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,511 | $248,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 3,895 | $248,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 201,774 | $248,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 4,640 | $246,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 12,742 | $246,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,794 | $242,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 16,829 | $241,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 3,739 | $240,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 3,791 | $240,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 23,507 | $240,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 6,000 | $239,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 25,507 | $239,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 11,707 | $239,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 18,379 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 3,972 | $238,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 133,770 | $238,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 25,010 | $238,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 7,215 | $236,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 3,486 | $236,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,354 | $236,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 6,100 | $235,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,418 | $235,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 18,937 | $235,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,399 | $234,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 3,761 | $234,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 1,250 | $233,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 21,108 | $233,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 20,400 | $232,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 7,935 | $231,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 9,010 | $231,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 14,794 | $231,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 3,946 | $229,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 1,556 | $228,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 8,493 | $228,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 10,118 | $228,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 15,150 | $227,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 3,637 | $226,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,969 | $226,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 8,820 | $226,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 4,120 | $225,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,274 | $225,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 8,720 | $225,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 10,857 | $225,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 532 | $224,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,585 | $224,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 19,019 | $223,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 24,214 | $223,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,583 | $222,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 2,261 | $221,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 7,771 | $221,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 9,021 | $221,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 5,049 | $220,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 17,881 | $220,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,200 | $219,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,333 | $219,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 2,228 | $218,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 4,204 | $218,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 9,818 | $218,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 1,950 | $217,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 5,488 | $216,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 4,092 | $216,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 29,579 | $216,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 6,750 | $215,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 4,426 | $215,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 11,160 | $215,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 2,037 | $213,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 4,273 | $213,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 2,514 | $213,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 858 | $212,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 2,109 | $212,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 12,711 | $212,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 14,042 | $211,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 8,379 | $211,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 6,057 | $210,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 16,500 | $210,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 33,058 | $210,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 19,084 | $210,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 2,532 | $209,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 16,345 | $209,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 5,207 | $209,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 8,856 | $209,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,110 | $208,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 958 | $207,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,400 | $207,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 29,100 | $207,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 8,986 | $207,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,625 | $206,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 21,023 | $206,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 6,942 | $206,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 10,306 | $205,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 5,844 | $205,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 11,106 | $205,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 5,595 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 3,324 | $205,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 3,199 | $204,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 1,345 | $204,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 28,612 | $203,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 3,766 | $203,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 4,713 | $203,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 74,847 | $203,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 4,338 | $202,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 15,597 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 1,268 | $201,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E362 | S&P500 HDL VOL | 4,845 | $201,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 11,031 | $200,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 18,171 | $200,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 20,736 | $197,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 21,658 | $196,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 20,818 | $195,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 13,352 | $194,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 32,085 | $194,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 18,389 | $194,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 10,395 | $189,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 16,402 | $188,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 10,870 | $187,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 17,689 | $183,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 14,497 | $179,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 42,656 | $177,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 13,327 | $176,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 11,803 | $169,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 17,184 | $169,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 18,475 | $167,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 24,383 | $162,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 17,381 | $161,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 13,917 | $159,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 15,815 | $159,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 36,310 | $158,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 10,560 | $156,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 11,029 | $154,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 10,658 | $154,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 14,010 | $151,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 22,800 | $148,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 12,800 | $148,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 10,692 | $147,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 30,696 | $146,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 10,015 | $141,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 14,545 | $141,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 12,650 | $140,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 98,681 | $139,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 19,981 | $138,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 26,880 | $137,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 11,900 | $134,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 11,242 | $131,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 15,642 | $131,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 12,403 | $131,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 28,860 | $130,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 18,414 | $130,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 20,947 | $128,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 12,922 | $126,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 11,124 | $124,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 13,576 | $123,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 13,184 | $123,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 26,918 | $119,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 22,204 | $117,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 15,600 | $116,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 36,183 | $115,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,245 | $114,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,677 | $112,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 12,773 | $112,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 13,400 | $111,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 19,673 | $109,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 17,998 | $108,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 10,400 | $106,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 74,660 | $105,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 11,217 | $102,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 21,700 | $99,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 16,858 | $96,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 10,161 | $94,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,060 | $93,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 11,443 | $90,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 12,000 | $88,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,147 | $87,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 27,466 | $83,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 10,348 | $80,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 11,345 | $80,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 19,190 | $79,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 18,050 | $79,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO COM | 46186M407 | Stock | 38,755 | $78,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 16,540 | $76,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 12,027 | $74,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 13,500 | $73,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 18,483 | $69,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 39,800 | $68,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 69,184 | $67,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 12,500 | $67,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 18,234 | $65,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 16,270 | $65,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 12,838 | $63,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,854 | $60,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,560 | $60,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 28,719 | $58,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 22,080 | $55,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 28,944 | $54,000 | thousands by filing date | |
| AURIS MED HLDG AG | H0381L104 | COM | 148,290 | $54,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 49,532 | $52,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 14,176 | $50,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 39,536 | $50,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 11,500 | $48,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 11,000 | $48,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 194,000 | $45,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 19,000 | $45,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640200 | COM NEW | 25,500 | $45,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 11,000 | $44,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 20,000 | $39,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 156,179 | $31,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 28,425 | $30,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 65,500 | $30,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 23,000 | $29,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 16,325 | $28,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 10,554 | $25,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 17,875 | $23,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 10,200 | $20,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 15,379 | $18,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 104,133 | $18,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 86,530 | $18,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 75,000 | $14,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E105 | COM | 34,080 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,500 | $11,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 13,000 | $10,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 10,000 | $7,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 20,000 | $6,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 30,000 | $4,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 219,256 | $3,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001142495-18-000004 | this filing | 2018-11-13 | acceptance time not in the bulk data set |