13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-03, with 4,279 holding rows worth $361,146,047,000.
- Accession
- 0001390777-17-000075
- Filer
- CIK 1390777
- Filed
- 2017-05-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A combination report, 25,460 entries on the cover page, a total value of $361,146,047,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $361,146,047,000 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 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 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 |
|---|---|---|---|---|---|---|
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 56,659 | $114,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 10,000 | $113,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 10,557 | $112,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 52,397 | $112,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 22,854 | $112,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 11,061 | $111,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 10,136 | $110,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 25,600 | $109,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 43,935 | $109,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 20,088 | $109,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 135,142 | $109,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 17,443 | $108,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 16,067 | $108,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 10,075 | $108,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 30,942 | $108,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 26,627 | $107,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 125,280 | $106,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 67,856 | $106,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 91,891 | $106,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 25,269 | $106,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 10,850 | $105,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 11,726 | $105,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 15,276 | $104,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 43,431 | $104,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 30,467 | $103,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 37,523 | $103,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 17,134 | $103,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 20,914 | $102,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 10,756 | $101,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 10,565 | $101,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 37,638 | $101,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 12,759 | $101,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 29,119 | $99,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 37,990 | $99,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 12,340 | $98,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 20,869 | $98,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 44,479 | $98,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 27,454 | $96,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 11,746 | $95,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 20,103 | $95,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 11,850 | $95,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 38,180 | $95,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 18,854 | $93,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 30,162 | $93,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 22,151 | $92,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 216,249 | $92,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 32,679 | $91,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 21,643 | $91,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 15,433 | $90,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 76,740 | $90,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 155,496 | $90,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 14,257 | $90,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 46,776 | $89,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 13,941 | $89,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 22,723 | $88,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 10,123 | $88,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 16,183 | $88,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 18,013 | $86,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 13,243 | $86,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 10,368 | $85,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 57,481 | $85,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 20,613 | $85,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 20,775 | $85,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 44,280 | $84,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 191,220 | $84,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 16,940 | $83,000 | thousands by filing date | |
| HARVEST NAT RES | 41754v202 | COM | 12,363 | $82,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 16,456 | $82,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 39,558 | $82,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 12,088 | $82,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 15,546 | $81,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 20,448 | $81,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 68,764 | $80,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 15,560 | $79,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 84,614 | $78,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 78,480 | $78,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 10,423 | $78,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 10,417 | $78,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 14,004 | $77,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 35,979 | $77,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 11,909 | $77,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 11,532 | $76,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 15,210 | $75,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 17,204 | $74,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 13,575 | $74,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 12,111 | $74,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 69,099 | $73,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 18,279 | $73,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 48,402 | $73,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 24,502 | $72,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 30,358 | $71,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 43,600 | $71,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 125,112 | $71,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,709 | $70,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 38,980 | $70,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 39,626 | $70,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 39,777 | $69,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 57,102 | $69,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 36,465 | $69,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,849 | $68,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 37,973 | $68,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 16,168 | $66,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 18,996 | $66,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 139,436 | $65,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 127,389 | $65,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 13,726 | $65,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 53,735 | $64,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 31,882 | $64,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 30,484 | $63,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 14,873 | $63,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 10,574 | $63,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 29,125 | $62,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 23,345 | $62,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 11,763 | $62,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 28,167 | $62,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 17,292 | $60,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 31,918 | $59,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 18,111 | $59,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 49,623 | $58,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 11,732 | $58,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 45,290 | $58,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 19,013 | $57,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 40,616 | $57,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 11,570 | $56,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 32,787 | $56,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 17,081 | $56,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 12,658 | $54,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 10,579 | $54,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 47,886 | $53,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 53,339 | $52,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 29,823 | $52,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 10,483 | $52,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 85,856 | $51,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 60,197 | $51,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 42,247 | $51,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 14,955 | $51,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 14,517 | $50,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 11,407 | $50,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 10,312 | $50,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 17,500 | $50,000 | thousands by filing date | |
| BARCLAYS PLC | 06738EAB1 | PRFD 6.625%12/3 | 50,000 | $50,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 82,890 | $49,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 10,376 | $49,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 20,677 | $48,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 10,997 | $48,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 46,203 | $48,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 34,341 | $47,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 12,995 | $47,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 35,508 | $46,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 10,962 | $45,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 32,477 | $45,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 12,133 | $44,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 87,833 | $44,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 27,493 | $44,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 28,827 | $44,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 14,819 | $44,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 100,086 | $44,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 13,333 | $44,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 73,137 | $42,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 34,727 | $42,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 52,184 | $42,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 30,098 | $41,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 10,141 | $40,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 47,465 | $40,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 14,470 | $39,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 84,258 | $38,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 55,568 | $38,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 17,520 | $38,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 21,176 | $38,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 21,707 | $38,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 10,797 | $37,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 27,542 | $37,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 22,734 | $37,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 20,782 | $37,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 85,653 | $37,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 22,955 | $36,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 39,300 | $36,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 20,229 | $36,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 21,692 | $36,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 24,304 | $35,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 10,861 | $35,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 27,903 | $35,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 13,144 | $35,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 35,472 | $34,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 52,827 | $33,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 22,556 | $33,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 13,454 | $33,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 78,915 | $31,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 65,733 | $31,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 18,320 | $31,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 26,198 | $31,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 22,386 | $31,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 12,300 | $30,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 28,075 | $30,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 36,399 | $30,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 17,479 | $30,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 10,490 | $30,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 29,763 | $29,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 12,405 | $29,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 10,614 | $28,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 27,302 | $28,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 11,070 | $28,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358400 | COM PAR NEW | 15,617 | $28,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 17,200 | $28,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 15,921 | $27,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 22,446 | $27,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 23,145 | $27,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 25,558 | $26,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 12,297 | $26,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,175 | $26,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 26,040 | $26,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 11,765 | $26,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 29,569 | $25,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 25,055 | $25,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 32,685 | $25,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 28,052 | $25,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 40,513 | $25,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 54,248 | $24,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 190,598 | $24,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 16,087 | $24,000 | thousands by filing date | |
| ParkerVision Inc | 701354300 | USD | 11,333 | $23,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 13,271 | $23,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 24,117 | $23,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 50,380 | $23,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 15,113 | $23,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 27,766 | $23,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 16,680 | $22,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 53,799 | $21,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 13,354 | $20,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 10,483 | $20,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 14,202 | $20,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 12,779 | $19,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 13,081 | $19,000 | thousands by filing date | |
| DATARAM NV ORD | 238108401 | COM | 16,673 | $19,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 32,862 | $17,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 10,554 | $16,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 17,553 | $16,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 28,165 | $15,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 12,562 | $15,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 11,356 | $15,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 12,496 | $14,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 10,436 | $14,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 16,848 | $14,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 13,538 | $14,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 96,928 | $14,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 10,000 | $14,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 21,235 | $13,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 37,035 | $13,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 17,305 | $13,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 18,718 | $13,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 41,885 | $12,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255500 | COM PAR NEW | 19,984 | $12,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 15,158 | $11,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 12,733 | $11,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 29,746 | $11,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 18,829 | $10,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 10,025 | $10,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 11,830 | $10,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 105,519 | $9,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 15,212 | $9,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 13,455 | $8,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 19,567 | $8,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P404 | COM PAR $.0001 N | 20,267 | $7,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 10,675 | $7,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 15,319 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 18,072 | $6,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 24,087 | $6,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 500 | $5,000 | thousands by filing date | call |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 11,664 | $5,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 10,140 | $5,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 10,505 | $5,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 14,392 | $5,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 11,731 | $5,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 22,251 | $4,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 18,115 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 259,579 | $2,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 103,110 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 649,333 | $1,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P500 | COM PAR | 11,860 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-17-000075 | this filing | 2017-05-03 | acceptance time not in the bulk data set |