13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-03, with 4,266 holding rows worth $336,112,645,000.
- Accession
- 0001390777-16-000254
- Filer
- CIK 1390777
- Filed
- 2016-11-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 22,845 entries on the cover page, a total value of $336,112,645,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $336,112,645,000 with VALUE read as thousands by filing date, 13F file number 028-12592. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filer1832 Asset Management L.P.028-11685
- reports for this filerKELLOGG W K FOUNDATION TRUST028-15333
- reports for this filerJOHNSTON ASSET MANAGEMENT LLC028-05210
- reports for this filerMANAGED ASSET PORTFOLIOS, LLC028-16090
- reports for this filerMawer Investment Management Ltd.028-14623
- reports for this filerABERDEEN ASSET MANAGEMENT PLC/UK028-04701
- included managerThe Boston Company Asset Management, LLC 028-00242
- included managerBNY Mellon Trust of Delaware 028-12592
- included managerMellon Capital Management Corporation 028-02900
- included managerThe Dreyfus Corporation 028-00127
- included managerNewton Investment Management (North America) Limited 028-12592
- included managerNewton Investment Management Limited 028-04797
- included managerStandish Mellon Asset Management Company LLC 028-04303
- included managerThe Bank of New York Mellon Trust Company, NA 028-11850
- included managerThe Bank of New York Mellon 028-02009
- included managerBNY Mellon, NA 028-00620
- included managerWalter Scott & Partners Limited 028-12592
- included managerCenterSquare Investment Management, Inc. 028-05577
- included managerLockwood Advisors, Inc. 028-11769
- included managerBNY Mellon Service Kapitalanlage-Gesellschaft mbH 028-12592
- included managerAmerican Beacon Advisors, Inc. 028-14511
- included managerCupps Capital Management, LLC 028-12766
- included managerEAM Investors, LLC 028-14070
- included managerFayez Sarofim & Co. 028-10991
- included managerGeneva Capital Management, LTD 028-03935
- included managerKayne Anderson Rudnick Investment Management, LLC 028-05792
- included managerLombardia Capital Partners, LLC 028-03157
- included managerNeuberger Berman Management, LLC 028-13574
- included managerNicholas Investment Partners, L.P. 028-12426
- included managerRiverbridge Partners, LLC 028-05655
- included managerRobeco Investment Management, Inc. 028-12484
- included managerThompson, Siegel & Walmsley, LLC 028-04041
- included managerWalthausen & Co., LLC 028-13672
- included managerGranite Investment Partners, LLC 028-14862
- included managerRice Hall James & Associates, LLC 028-10467
- included managerSirios Capital Management, L.P. 028-05369
- included managerOwl Creek Asset Management, L.P. 028-11037
- included managerBNY Mellon Investment Management Cayman Ltd. 028-12592
- included managerChanning Capital Management 028-11090
- included managerBrown Brothers Harriman & Co. 028-00408
- included managerMoody Aldrich Partners LLC 028-04634
- included managerCramer Rosenthal McGlynn, LLC 028-02028
- included managerPine River Capital Management LP 028-10902
- included managerRamius Advisors LLC 028-10674
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 |
|---|---|---|---|---|---|---|
| KEY TECHNOLOGY INC | 493143101 | COM | 10,927 | $120,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 201,071 | $118,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 21,460 | $118,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 11,100 | $117,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 16,974 | $117,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 18,464 | $117,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 11,310 | $116,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 25,368 | $116,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 21,758 | $115,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 33,452 | $115,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 11,228 | $115,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 20,300 | $115,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 13,816 | $113,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 65,803 | $113,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 192,133 | $113,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 40,536 | $113,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,266 | $112,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 11,020 | $112,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 11,283 | $112,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 19,571 | $110,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 33,113 | $110,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 25,064 | $110,000 | thousands by filing date | |
| Emergent Capital | 29102N105 | Com | 37,198 | $109,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 34,940 | $108,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 10,135 | $106,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 39,058 | $106,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 72,859 | $106,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 14,933 | $106,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 45,904 | $105,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 14,498 | $104,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 39,323 | $103,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 19,266 | $103,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,596 | $103,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 10,157 | $103,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 138,910 | $103,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 13,814 | $102,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 14,334 | $102,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 13,369 | $102,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 61,126 | $102,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 14,000 | $101,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 13,131 | $101,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 35,811 | $101,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 81,272 | $101,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 40,142 | $101,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,325 | $100,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 31,819 | $100,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 60,740 | $99,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 16,658 | $98,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 11,417 | $98,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 34,882 | $97,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 16,056 | $96,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 23,315 | $96,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 13,845 | $96,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 40,280 | $95,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 12,483 | $94,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 11,075 | $94,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 5,000 | $93,000 | thousands by filing date | call |
| ELECTROMED INC | 285409108 | COMMON STOCK | 20,164 | $93,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 12,490 | $93,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 48,727 | $93,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 12,920 | $93,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 81,650 | $93,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 15,783 | $92,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 28,402 | $92,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 19,825 | $92,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 15,510 | $91,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 21,749 | $91,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 31,361 | $91,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 209,444 | $90,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 18,225 | $89,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 15,685 | $87,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 14,871 | $86,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 59,906 | $86,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 64,975 | $86,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 29,000 | $86,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 230,491 | $86,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 32,464 | $85,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 28,412 | $84,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 32,310 | $83,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 48,219 | $82,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 57,249 | $80,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 71,038 | $77,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 15,567 | $77,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 25,440 | $75,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 29,899 | $74,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 10,000 | $72,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 66,467 | $70,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 51,583 | $70,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,315 | $69,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 97,087 | $69,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 13,395 | $69,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 12,322 | $69,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 12,890 | $68,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 149,516 | $68,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 30,136 | $68,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 41,040 | $68,000 | thousands by filing date | |
| FENIX PTS INC | 31446L100 | COM | 17,105 | $68,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 31,139 | $67,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 19,561 | $67,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 25,685 | $66,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 32,853 | $66,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 77,331 | $65,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 12,920 | $65,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 20,214 | $64,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 36,274 | $64,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 10,752 | $64,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 18,424 | $63,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 17,228 | $63,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 12,412 | $63,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 19,498 | $62,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 17,473 | $61,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 19,808 | $61,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 10,669 | $61,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 17,835 | $59,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 14,553 | $59,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 10,579 | $59,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 13,049 | $59,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 65,390 | $58,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 12,140 | $58,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 13,717 | $58,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 47,991 | $58,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 41,129 | $57,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 75,463 | $57,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 22,193 | $56,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 23,651 | $56,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 13,156 | $56,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 11,446 | $56,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 18,245 | $56,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 11,846 | $56,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 16,864 | $55,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 28,834 | $54,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 76,068 | $53,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 71,862 | $52,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 10,567 | $52,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 15,685 | $52,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 48,951 | $51,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 33,908 | $51,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 11,671 | $51,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 60,092 | $50,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 71,391 | $49,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 56,413 | $49,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 45,283 | $48,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 23,176 | $48,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 11,103 | $48,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 15,407 | $47,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 10,558 | $47,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 26,213 | $47,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 24,833 | $46,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 29,682 | $46,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 10,000 | $46,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAB1 | PRFD 6.625%12/3 | 50,000 | $46,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 10,718 | $45,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 28,731 | $45,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 11,299 | $44,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 28,710 | $44,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 32,488 | $43,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 10,365 | $43,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 28,838 | $43,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC COM NEW | 23305L107 | Stock | 37,745 | $43,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 12,270 | $43,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,709 | $42,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 24,526 | $42,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 23,445 | $41,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 50,981 | $41,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 15,956 | $41,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 12,843 | $40,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 122,383 | $40,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 73,591 | $40,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 15,741 | $38,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 50,830 | $38,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 34,782 | $38,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 25,881 | $36,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 16,942 | $36,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 21,985 | $35,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 18,283 | $35,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 46,728 | $35,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 111,748 | $35,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 53,556 | $35,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 55,840 | $34,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 10,050 | $34,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 11,150 | $33,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 60,405 | $33,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 18,840 | $33,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 11,195 | $33,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 50,186 | $32,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 26,657 | $32,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 13,915 | $31,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 25,146 | $30,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 29,245 | $30,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 58,337 | $30,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 15,789 | $30,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 24,959 | $30,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 67,472 | $29,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 17,097 | $29,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 13,338 | $29,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 23,830 | $29,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 31,721 | $29,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 24,648 | $28,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 50,592 | $28,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 34,454 | $27,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 24,433 | $27,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 126,014 | $26,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 89,254 | $25,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 14,224 | $25,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 18,405 | $25,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 14,006 | $25,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 21,171 | $24,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 20,977 | $24,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 38,332 | $24,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 10,500 | $24,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 31,824 | $23,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 34,291 | $22,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 62,167 | $21,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 13,963 | $21,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 18,793 | $21,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 10,418 | $21,000 | thousands by filing date | |
| CATALYST | 14888D109 | COM | 17,598 | $21,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 11,570 | $20,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 72,584 | $20,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,777 | $19,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 36,873 | $19,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 10,889 | $19,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 1,000 | $18,000 | thousands by filing date | call |
| AEMETIS INC | 00770K202 | COM NEW | 16,875 | $18,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 11,135 | $18,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 17,036 | $18,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 13,247 | $17,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 29,815 | $17,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 103,189 | $17,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 13,584 | $17,000 | thousands by filing date | |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 23,438 | $17,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 25,698 | $16,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 14,638 | $16,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 13,273 | $15,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 134,463 | $15,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 49,061 | $15,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 11,544 | $15,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 979,011 | $14,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 17,016 | $14,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 16,295 | $13,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 11,829 | $13,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 10,706 | $12,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 17,715 | $12,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 11,096 | $11,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 16,000 | $11,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 90,379 | $10,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 11,892 | $10,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 24,022 | $10,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 10,048 | $10,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 19,767 | $10,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 11,400 | $9,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 16,875 | $8,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 15,321 | $8,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 29,680 | $8,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 10,469 | $7,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 12,978 | $7,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 14,255 | $7,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 13,063 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 39,300 | $4,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 36,657 | $3,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 12,292 | $2,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 200 | $2,000 | thousands by filing date | call |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 14,998 | $2,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 14,886 | $1,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 10,198 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 59,528 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-16-000254 | this filing | 2016-11-03 | acceptance time not in the bulk data set |