13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 4,260 holding rows worth $347,370,548,000.
- Accession
- 0001390777-17-000064
- Filer
- CIK 1390777
- Filed
- 2017-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 24,773 entries on the cover page, a total value of $347,370,548,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $347,370,548,000 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 028-17542
- included managerMellon Capital Management Corporation 028-02900
- included managerThe Dreyfus Corporation 028-00127
- included managerNewton Investment Management (North America) Limited 028-17543
- included managerNewton Investment Management Limited 028-04797
- included managerMBSC Securities Corporation 028-12592
- 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 028-17544
- included managerCenterSquare Investment Management, Inc. 028-05577
- included managerLockwood Advisors, Inc. 028-11769
- included managerInsight Investment Management (Global) Limited 028-12592
- included managerBNY Mellon Service Kapitalanlage-Gesellschaft mbH 028-17545
- included managerPershing LLC 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 Capital Markets 028-12592
- included managerBNY Mellon Investment Management Cayman Ltd. 028-17546
- 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 |
|---|---|---|---|---|---|---|
| EASTERN CO | 276317104 | COM | 29,029 | $607,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 82,085 | $605,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 14,717 | $604,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 70,322 | $603,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 21,724 | $598,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 550,000 | $598,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 5,390 | $597,000 | thousands by filing date | |
| NEFF CORP COM CL A | 640094207 | Stock | 42,353 | $597,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 71,057 | $595,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 182,868 | $594,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 26,222 | $593,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 5,503 | $591,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 38,015 | $587,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 22,444 | $586,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 95,261 | $586,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 29,995 | $585,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 76,500 | $584,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 78,943 | $584,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 26,032 | $583,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 112,637 | $583,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 550,000 | $583,000 | thousands by filing date | |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 24,001 | $582,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 53,573 | $581,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 500,000 | $579,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 23,259 | $578,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 130,460 | $578,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 11,248 | $577,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 49,260 | $576,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 3,179 | $572,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 92,588 | $570,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 3,624 | $570,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 500,000 | $570,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 134,128 | $569,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 22,208 | $568,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 3,922 | $567,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 123,212 | $567,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 45,168 | $567,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 29,428 | $565,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 50,824 | $564,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 5,400 | $563,000 | thousands by filing date | call |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 15,527 | $559,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 500,000 | $559,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 64,389 | $554,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 96,613 | $553,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 46,729 | $548,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 195,080 | $547,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 20,562 | $545,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 400,000 | $545,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 13,413 | $544,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 500,000 | $544,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 4,460 | $543,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 48,035 | $543,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 400,000 | $543,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 57,303 | $542,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 23,376 | $540,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 17,921 | $538,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 11,745 | $538,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 12,146 | $538,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 127,979 | $538,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 165,434 | $536,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 131,008 | $535,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 256,000 | $534,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 500,000 | $534,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 139,093 | $532,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 59,715 | $532,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 354,520 | $532,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 71,737 | $531,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 20,951 | $530,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 16,554 | $530,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 35,205 | $528,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 20,349 | $528,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 16,114 | $528,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 47,153 | $528,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 9,171 | $525,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 13,658 | $524,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 107,250 | $521,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 60,988 | $519,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 13,045 | $518,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 20,676 | $517,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 39,506 | $517,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 55,076 | $515,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 88,019 | $513,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 27,139 | $512,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 400,000 | $512,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 62,220 | $511,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 381,522 | $511,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 40,166 | $510,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 58,394 | $506,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 405,000 | $506,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 116,273 | $506,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 88,496 | $504,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 13,956 | $503,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 250,000 | $503,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 8,100 | $503,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 22,715 | $500,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 53,820 | $499,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 36,624 | $498,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 18,436 | $498,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 170,221 | $495,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 19,558 | $494,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 19,297 | $490,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 63,740 | $490,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 590,184 | $490,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 12,500 | $489,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 38,066 | $485,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 12,065 | $483,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 61,769 | $483,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 450,000 | $478,000 | thousands by filing date | |
| HLS 2 12/1/43 | 421924BL4 | Bond 30/360P2 U | 400,000 | $477,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 400,000 | $474,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 50,221 | $472,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 204,824 | $471,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 302,935 | $470,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 41,801 | $470,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 600,000 | $470,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 120,416 | $469,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 186,211 | $469,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 15,339 | $468,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 91,125 | $467,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 31,173 | $465,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 9,001 | $463,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 59,517 | $461,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 10,571 | $460,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 14,696 | $460,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 442,391 | $459,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 13,197 | $458,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 75,105 | $458,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 64,421 | $457,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 105,982 | $457,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 32,368 | $457,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 85,164 | $456,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 13,416 | $454,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 84,965 | $454,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 54,319 | $453,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 250,000 | $453,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 34,279 | $450,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 36,148 | $448,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 168,964 | $448,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 82,122 | $447,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 400,000 | $447,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 350,000 | $447,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 7,994 | $446,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 61,077 | $446,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 342,371 | $445,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 10,847 | $442,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 17,957 | $441,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 51,510 | $439,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 16,814 | $437,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 61,695 | $437,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 25,235 | $435,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 201,626 | $434,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 43,876 | $434,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 3,363 | $432,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 31,578 | $429,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 18,983 | $427,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 29,743 | $426,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 300,000 | $424,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 400,000 | $422,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 106,054 | $420,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 191,151 | $420,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 68,891 | $420,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 85,328 | $419,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 28,075 | $417,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 26,801 | $415,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 15,956 | $414,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 78,655 | $414,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 217,864 | $414,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 306,473 | $414,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 4,000 | $413,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 39,703 | $413,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 16,001 | $413,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 18,806 | $411,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 21,001 | $408,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 34,050 | $407,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 300,000 | $407,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 6,531 | $402,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 7,382 | $398,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 143,776 | $398,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 7,867 | $397,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 8,391 | $397,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 18,937 | $396,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $396,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 7,379 | $396,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 11,420 | $394,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 29,994 | $394,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 3,775 | $393,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 250,000 | $392,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 69,913 | $391,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 53,193 | $388,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 151,262 | $386,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 3,089 | $384,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 300,000 | $383,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 19,926 | $382,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 25,979 | $381,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 49,683 | $380,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 29,098 | $379,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 10,647 | $379,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 14,047 | $379,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 250,000 | $378,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 5,913 | $377,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 24,880 | $376,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,000 | $375,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 220,447 | $375,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 26,788 | $374,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 91,837 | $372,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 184,984 | $370,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 400,000 | $370,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 19,484 | $369,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 12,983 | $369,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 321,041 | $369,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 8,129 | $367,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 33,094 | $367,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 29,486 | $366,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 12,880 | $366,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 238,639 | $365,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 29,811 | $365,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 21,538 | $363,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 13,972 | $361,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 63,353 | $361,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 81,073 | $358,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 18,701 | $355,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 40,826 | $355,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 145,327 | $354,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 4,436 | $353,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAB2 | NOTE 3.25011/0 | 400,000 | $353,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 5,462 | $351,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 56,577 | $350,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 137,083 | $350,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 63,610 | $350,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 16,725 | $349,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367PAB6 | NOTE 2.000% 6/1 | 500,000 | $348,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 23,708 | $346,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 27,158 | $345,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 14,650 | $345,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 13,500 | $345,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 14,894 | $345,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 2,125 | $344,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 38,752 | $344,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 78,984 | $344,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,729 | $343,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,425 | $341,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 92,957 | $338,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 11,714 | $335,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 10,543 | $335,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 41,011 | $334,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 66,947 | $334,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 55,717 | $334,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 26,519 | $333,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 13,188 | $332,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 17,970 | $331,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 20,053 | $331,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 13,100 | $330,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 64,612 | $330,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 156,414 | $328,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 11,805 | $327,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 20,301 | $326,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 33,065 | $325,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 139,486 | $325,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,811 | $324,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 4,818 | $323,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 309,000 | $323,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 6,124 | $322,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 38,816 | $321,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 26,558 | $320,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 86,788 | $319,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,637 | $318,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 20,428 | $317,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 25,840 | $317,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 6,143 | $315,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 13,389 | $314,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 42,451 | $314,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 8,697 | $313,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 98,405 | $313,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 250,000 | $313,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 38,178 | $311,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 12,165 | $311,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 72,471 | $310,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 12,274 | $309,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 60,678 | $307,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 44,842 | $304,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 53,880 | $303,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 6,279 | $301,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 23,029 | $300,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 133,219 | $299,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 5,728 | $298,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 12,564 | $298,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 49,087 | $297,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 56,214 | $296,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 5,852 | $296,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 63,527 | $296,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 350,000 | $294,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 5,208 | $291,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 59,412 | $291,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 63,320 | $291,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 20,466 | $288,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 780099CK1 | NOTE 8.000%12/3 | 300,000 | $287,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 253,000 | $286,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 15,995 | $286,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 104,891 | $284,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 42,600 | $283,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 106,419 | $282,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 31,419 | $281,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 4,667 | $280,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 10,516 | $280,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 116,868 | $277,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 24,000 | $276,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 105,740 | $275,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 28,269 | $274,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 8,688 | $274,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 20,240 | $273,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 7,280 | $272,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 3,523 | $270,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 5,704 | $270,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 31,519 | $269,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 5,100 | $268,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 17,811 | $268,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 6,343 | $266,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 99,758 | $266,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 7,901 | $263,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 10,826 | $262,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 16,134 | $260,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 17,001 | $259,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 38,934 | $258,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 43,650 | $256,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 6,148 | $255,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 12,034 | $254,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 13,834 | $253,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 164,200 | $251,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 19,106 | $250,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 94,185 | $249,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 27,821 | $249,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 62,363 | $249,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 24,863 | $245,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 6,000 | $245,000 | thousands by filing date | |
| QUANTENNA COMMUNICATIONS INC | 74766D100 | COM | 13,468 | $245,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 10,738 | $245,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 24,367 | $244,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 51,251 | $244,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,819 | $242,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 7,645 | $242,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 13,041 | $242,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 23,400 | $239,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 7,145 | $239,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 58,910 | $238,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 122,441 | $238,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 6,567 | $237,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 20,557 | $236,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 57,513 | $236,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 49,778 | $234,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 37,602 | $233,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 15,333 | $233,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 13,497 | $232,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 12,770 | $232,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 200,000 | $232,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 76,400 | $230,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 170,206 | $230,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 9,153 | $229,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 4,682 | $228,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 7,201 | $227,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 7,684 | $227,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 3,357 | $226,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 99,495 | $226,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 9,066 | $225,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 300,000 | $224,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 250,000 | $224,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 27,238 | $223,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 63,001 | $223,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 3,026 | $222,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 14,749 | $222,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 50,891 | $222,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,919 | $220,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 41,566 | $220,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 4,420 | $219,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 20,675 | $219,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 35,820 | $219,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 36,501 | $219,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 20,733 | $218,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 17,454 | $217,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 24,854 | $216,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 11,310 | $215,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 16,438 | $214,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 7,704 | $212,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 7,253 | $211,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 9,009 | $211,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 24,408 | $211,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 72,564 | $211,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 13,029 | $210,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 10,162 | $210,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 50,607 | $210,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 1,923 | $209,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 33,162 | $209,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 12,179 | $209,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 6,617 | $209,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 30,918 | $208,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 3,326 | $208,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 60,053 | $207,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 39,805 | $206,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 13,558 | $206,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 61,830 | $205,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 16,816 | $205,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 11,395 | $205,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 15,072 | $204,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 10,781 | $201,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 3,383 | $201,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 34,165 | $201,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 10,471 | $201,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 12,826 | $199,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 10,663 | $199,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 53,344 | $198,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 11,004 | $197,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 255,636 | $196,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 16,897 | $195,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 92,476 | $194,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 41,760 | $193,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 109,284 | $192,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 13,224 | $191,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 27,236 | $188,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 12,368 | $186,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 11,908 | $186,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 21,443 | $181,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 11,530 | $180,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 20,209 | $179,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 81,651 | $179,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 13,817 | $178,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 281,261 | $178,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 29,567 | $177,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 25,850 | $176,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 41,566 | $175,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 11,320 | $175,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 79,718 | $173,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 35,885 | $172,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 39,098 | $171,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 21,039 | $169,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 10,345 | $169,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 10,325 | $169,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 25,172 | $168,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 17,253 | $167,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 10,814 | $167,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 23,834 | $167,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 27,883 | $167,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 19,591 | $166,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 30,676 | $165,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 23,345 | $164,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 13,020 | $163,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 11,438 | $163,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 56,418 | $163,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 59,958 | $160,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 42,247 | $160,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 28,741 | $158,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 11,445 | $157,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 20,742 | $156,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 16,216 | $155,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 15,485 | $154,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,298 | $152,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 13,082 | $152,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 28,096 | $151,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 142,278 | $148,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 12,148 | $148,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 58,558 | $147,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 48,102 | $147,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 20,366 | $146,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 46,648 | $145,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 66,673 | $144,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 11,245 | $143,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 17,275 | $142,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 25,643 | $140,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 14,000 | $140,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 19,933 | $138,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 13,038 | $137,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 17,134 | $137,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 10,831 | $135,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 57,481 | $135,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,400 | $133,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 10,836 | $133,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 10,224 | $133,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 117,921 | $132,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 13,499 | $132,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 53,328 | $131,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 199,287 | $129,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 44,882 | $129,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 27,207 | $128,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 10,557 | $126,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 20,465 | $125,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 13,284 | $125,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 17,762 | $124,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 18,116 | $124,000 | thousands by filing date | |
| ProShares Ultra Short Dow 30 | 74347x112 | COM | 12,001 | $123,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 36,834 | $123,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 34,409 | $123,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 135,376 | $122,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 10,585 | $122,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 28,401 | $122,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 41,722 | $121,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 21,961 | $121,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 14,162 | $120,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 12,828 | $120,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 23,227 | $120,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 17,546 | $120,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 103,148 | $119,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 24,061 | $119,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-17-000064 | this filing | 2017-02-13 | acceptance time not in the bulk data set |