13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-06, with 4,262 holding rows worth $363,328,249,000.
- Accession
- 0001390777-17-000105
- Filer
- CIK 1390777
- Filed
- 2017-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A combination report, 24,607 entries on the cover page, a total value of $363,328,249,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $363,328,249,000 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 filerHardman Johnston Global Advisors 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 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 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 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 managerRamius Advisors LLC 028-10674
- included managerKnights of Columbus Asset Advisors LLC 028-17560
- included managerGriffin Capital Advisors, LLC 028-12592
- included managerRedwood Investments, LLC 028-12592
- included managerDalton Investments LLC 028-12592
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 |
|---|---|---|---|---|---|---|
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 11,973 | $593,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 42,507 | $591,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 19,417 | $589,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 60,615 | $588,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 110,738 | $588,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 20,592 | $588,000 | thousands by filing date | |
| FNB Bancorp | 302515101 | Common | 17,329 | $588,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 19,227 | $587,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 182,022 | $586,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 213,810 | $586,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 74,548 | $586,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 600,000 | $585,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 77,915 | $584,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 12,945 | $582,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 16,346 | $582,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 750,000 | $582,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 165,180 | $581,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 55,012 | $580,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 9,795 | $577,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 16,604 | $575,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 45,293 | $574,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 84,921 | $573,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 13,960 | $572,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367PAB6 | NOTE 2.000% 6/1 | 750,000 | $572,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 91,369 | $571,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 22,858 | $568,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 503,000 | $568,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 33,597 | $567,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 21,180 | $566,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 22,928 | $563,000 | thousands by filing date | |
| BLACKHAWK NETWORK HLDGS INC | 09238EAB0 | NOTE 1.500% 1/1 | 500,000 | $561,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 61,248 | $560,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 47,532 | $556,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 46,434 | $556,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 18,501 | $556,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 17,372 | $555,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 39,734 | $554,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 29,489 | $552,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 115,819 | $550,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 65,722 | $549,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 40,572 | $548,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 57,082 | $547,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 64,808 | $547,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 23,489 | $546,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 8,100 | $546,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 9,153 | $544,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 33,358 | $543,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 31,002 | $543,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 7,481 | $542,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 22,126 | $542,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 37,085 | $542,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 41,814 | $541,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 363,101 | $541,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 12,383 | $541,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 23,626 | $540,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 213,837 | $539,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 400,000 | $538,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 78,590 | $537,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 125,269 | $537,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 19,329 | $535,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 30,534 | $533,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 28,779 | $533,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 21,381 | $533,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 22,852 | $530,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 5,709 | $527,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 21,995 | $526,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 39,914 | $525,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 400,000 | $525,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 50,221 | $524,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 500,000 | $522,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 750,000 | $521,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 35,329 | $520,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 102,213 | $517,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 26,371 | $516,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 36,073 | $515,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 584,141 | $514,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 267,709 | $514,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 29,061 | $513,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 58,175 | $513,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 106,172 | $510,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 58,548 | $507,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 81,586 | $504,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 22,074 | $504,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 75,699 | $502,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 111,823 | $500,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 102,101 | $500,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 73,323 | $499,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 58,975 | $499,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 19,086 | $498,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 7,823 | $497,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 105,642 | $497,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 166,367 | $497,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 38,683 | $495,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 406,000 | $492,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAA9 | NOTE 0.375% 9/0 | 500,000 | $492,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 128,752 | $489,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 48,376 | $488,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 191,057 | $488,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 13,708 | $485,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 31,181 | $483,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 39,752 | $483,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 350,000 | $482,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 5,676 | $480,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 17,169 | $478,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 67,668 | $478,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 24,044 | $477,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 500,000 | $475,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 107,391 | $474,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 157,162 | $472,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 188,074 | $472,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 29,795 | $472,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 52,391 | $470,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 32,112 | $467,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 3,359 | $465,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 11,100 | $465,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 89,956 | $463,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 209,641 | $462,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 97,753 | $461,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 111,007 | $459,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 34,491 | $458,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 19,057 | $456,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 39,093 | $454,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 500,000 | $452,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 2,379 | $451,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 250,000 | $451,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 450,000 | $450,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 64,821 | $447,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 600,000 | $447,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 19,024 | $445,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 61,769 | $445,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 98,308 | $445,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 17,760 | $445,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 27,860 | $444,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 129,271 | $440,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 9,831 | $436,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 75,652 | $436,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 19,584 | $435,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 13,986 | $434,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,101 | $432,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 12,217 | $431,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 9,317 | $430,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 108,909 | $430,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 11,748 | $428,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 46,688 | $427,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 43,150 | $426,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 30,296 | $425,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 34,257 | $423,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 103,523 | $423,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 20,240 | $422,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 3,581 | $418,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 16,997 | $418,000 | thousands by filing date | |
| ASB BANCORP INC N C | 00213T109 | COM | 9,281 | $418,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 12,940 | $417,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 400,000 | $415,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,570 | $413,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 98,114 | $413,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 247,416 | $413,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 209,645 | $409,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 23,910 | $407,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 25,800 | $407,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 15,801 | $405,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 8,603 | $404,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 9,457 | $404,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 9,977 | $400,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 156,505 | $399,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 4,460 | $399,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 71,166 | $397,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,865 | $396,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 184,984 | $396,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 5,991 | $395,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 25,549 | $393,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 6,750 | $392,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 11,285 | $388,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 16,751 | $387,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 95,586 | $384,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 27,702 | $384,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 251,887 | $383,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 4,709 | $381,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 14,145 | $381,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 36,101 | $381,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 522,437 | $381,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 250,000 | $381,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 350,000 | $381,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 309,000 | $376,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 10,259 | $375,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 36,997 | $375,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 250,000 | $375,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $375,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 153,104 | $375,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 82,732 | $374,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 31,653 | $371,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 250,000 | $371,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 20,398 | $370,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 12,264 | $369,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 6,020 | $367,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 7,643 | $366,000 | thousands by filing date | |
| CIENA CORP | 171779AJ0 | NOTE 3.750%10/1 | 300,000 | $365,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 33,093 | $360,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 250,000 | $357,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 300,000 | $356,000 | thousands by filing date | |
| INVACARE CORP | 461203AF8 | NOTE 5.000% 2/1 | 300,000 | $356,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 53,160 | $355,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 10,158 | $351,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 18,828 | $351,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 10,841 | $349,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 20,001 | $348,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 29,024 | $348,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAB2 | NOTE 3.25011/0 | 400,000 | $348,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 126,474 | $347,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 10,640 | $346,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 47,390 | $344,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 250,000 | $344,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 3,115 | $343,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 3,001 | $343,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 27,543 | $343,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 163,983 | $341,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 2,647 | $340,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 13,998 | $340,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 13,641 | $338,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 150,000 | $338,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 4,999 | $337,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 6,000 | $336,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 42,600 | $336,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 5,630 | $335,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 22,404 | $335,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 350,000 | $333,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 9,190 | $331,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 5,251 | $330,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 23,260 | $330,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 10,122 | $328,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 43,578 | $327,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 12,314 | $325,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 17,074 | $325,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 8,469 | $323,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 21,218 | $323,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 20,483 | $322,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 45,836 | $322,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 6,464 | $321,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 11,693 | $321,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 73,322 | $321,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 8,372 | $319,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 10,576 | $318,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 46,033 | $318,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 2,728 | $316,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 38,542 | $313,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 14,739 | $313,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 67,961 | $313,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 234,038 | $313,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 42,471 | $313,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 234 | $308,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 306,000 | $307,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 9,248 | $305,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 7,391 | $304,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 10,420 | $303,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 14,519 | $303,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 10,762 | $302,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 36,066 | $301,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 61,104 | $301,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 250,000 | $299,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 12,244 | $298,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 13,129 | $297,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,808 | $296,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 17,987 | $296,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 22,711 | $296,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 1,981 | $292,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 7,991 | $291,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 20,808 | $290,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 27,086 | $290,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 225,000 | $289,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 16,132 | $288,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,745 | $286,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 66,065 | $286,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 102,993 | $285,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 34,020 | $284,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 40,709 | $281,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 17,557 | $277,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 24,001 | $277,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 45,448 | $277,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 9,743 | $276,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 85,970 | $275,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 5,000 | $275,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 12,337 | $274,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 11,060 | $274,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 23,836 | $273,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 2,092 | $272,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 12,094 | $272,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 255,000 | $272,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 38,772 | $272,000 | thousands by filing date | |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 39,829 | $272,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 70,832 | $271,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 10,200 | $271,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 25,530 | $270,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 6,481 | $270,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 43,885 | $270,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 16,734 | $269,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 12,061 | $269,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 17,819 | $268,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R762 | PFD CL A 6.875 | 10,000 | $268,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 29,677 | $267,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,963 | $261,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 22,578 | $261,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 250,000 | $261,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 63,149 | $260,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,017 | $259,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 211,585 | $258,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 19,563 | $257,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 250,000 | $257,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 53,880 | $257,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 3,044 | $256,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 10,104 | $255,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 46,946 | $254,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 18,015 | $252,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 56,094 | $252,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 250,000 | $252,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 10,143 | $251,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 250,000 | $251,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 27,401 | $250,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 8,458 | $245,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 10,475 | $244,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 52,517 | $243,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 65,347 | $239,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 250,000 | $238,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 69,525 | $237,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 108,380 | $236,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 8,852 | $234,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 9,410 | $233,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 40,920 | $232,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 17,301 | $232,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 13,360 | $231,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 52,111 | $231,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 3,575 | $230,000 | thousands by filing date | |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 250,000 | $230,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 21,888 | $229,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 17,097 | $229,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 43,507 | $228,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,517 | $227,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 32,388 | $227,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,140 | $226,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 32,317 | $226,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 3,511 | $225,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 15,860 | $223,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 11,726 | $222,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 8,643 | $220,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 33,883 | $220,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 153,896 | $219,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 166,242 | $219,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 29,131 | $218,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 8,638 | $217,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 9,157 | $217,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 2,123 | $216,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 8,078 | $216,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 10,117 | $216,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 155,000 | $216,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 22,632 | $216,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 7,616 | $215,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 21,662 | $213,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 23,459 | $213,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 155,368 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 8,069 | $211,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 39,217 | $211,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 35,162 | $210,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 19,931 | $208,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 7,552 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 2,968 | $207,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 11,238 | $207,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 6,616 | $206,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 14,038 | $206,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 15,531 | $206,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 9,111 | $206,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 72,531 | $206,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 8,803 | $205,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 8,486 | $204,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 175,545 | $204,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,145 | $203,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 5,257 | $202,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 22,620 | $201,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 10,585 | $200,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 11,927 | $200,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 20,914 | $199,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 23,355 | $197,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 32,679 | $196,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 49,646 | $196,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 14,381 | $195,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 11,390 | $195,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 59,648 | $193,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 43,933 | $193,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 48,805 | $193,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 14,201 | $190,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 12,632 | $190,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 10,290 | $187,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 15,935 | $186,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 11,866 | $184,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 95,863 | $182,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 15,701 | $181,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 27,146 | $180,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 20,047 | $178,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 17,134 | $178,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 12,460 | $175,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 10,497 | $175,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 50,987 | $174,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 12,755 | $173,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 27,343 | $172,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 56,913 | $172,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 44,406 | $171,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 41,811 | $171,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 26,049 | $170,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 15,540 | $169,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 20,703 | $168,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 15,807 | $167,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 10,140 | $167,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 27,668 | $167,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 28,369 | $167,000 | thousands by filing date | |
| YANGTZE RIV DEV LTD | 984752105 | COM | 10,138 | $166,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 14,122 | $165,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 28,564 | $164,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 75,331 | $164,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 52,851 | $163,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M201 | COM NEW | 11,700 | $162,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 14,567 | $160,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 13,297 | $159,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 113,802 | $159,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 12,038 | $159,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 25,519 | $158,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,400 | $156,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 11,981 | $154,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 54,518 | $154,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 10,369 | $153,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 15,279 | $152,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 49,736 | $150,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 10,705 | $149,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 15,432 | $148,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 41,461 | $144,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 30,786 | $144,000 | thousands by filing date | |
| CF CORP | G20307107 | SHS CL A | 12,845 | $144,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,338 | $143,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 27,464 | $143,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 38,711 | $141,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 61,860 | $140,000 | thousands by filing date | |
| U S GEOTHERMAL INC COM NEW | 90338S201 | Stock | 35,186 | $140,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,733 | $139,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 16,055 | $139,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 36,830 | $138,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 22,559 | $138,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 30,776 | $138,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 23,389 | $137,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 27,211 | $137,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 14,524 | $136,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 10,019 | $135,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 13,460 | $134,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 18,570 | $134,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 14,048 | $132,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 14,731 | $132,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 44,280 | $131,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 10,972 | $131,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 37,011 | $131,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 21,973 | $131,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 56,937 | $131,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 10,756 | $130,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 12,000 | $130,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 20,577 | $130,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 17,052 | $129,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 36,632 | $129,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 13,675 | $128,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 14,305 | $128,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 28,912 | $128,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 21,842 | $128,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 19,571 | $127,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 29,101 | $127,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 25,163 | $127,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 46,648 | $126,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 54,410 | $125,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 85,645 | $125,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 44,334 | $124,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 11,887 | $124,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 13,988 | $123,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 27,623 | $123,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 39,075 | $123,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 11,841 | $122,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 28,050 | $122,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 27,805 | $121,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 71,865 | $120,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 22,004 | $120,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 35,667 | $119,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 15,714 | $118,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 19,251 | $117,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 28,737 | $117,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 13,617 | $117,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 36,245 | $116,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 27,202 | $115,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 28,629 | $115,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 11,746 | $115,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 12,660 | $113,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565506 | COM NEW | 41,270 | $112,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 22,064 | $111,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 36,384 | $111,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 25,479 | $110,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 12,838 | $110,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 20,015 | $109,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 23,538 | $106,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 12,340 | $105,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-17-000105 | this filing | 2017-11-06 | acceptance time not in the bulk data set |