13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-09, with 4,353 holding rows worth $379,942,734,000.
- Accession
- 0001390777-18-000055
- Filer
- CIK 1390777
- Filed
- 2018-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A combination report, 26,351 entries on the cover page, a total value of $379,942,734,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $379,942,734,000 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 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 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 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 |
|---|---|---|---|---|---|---|
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 52,677 | $635,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 20,930 | $632,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 25,241 | $631,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 26,928 | $627,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 115,121 | $627,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 46,368 | $623,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 600,000 | $623,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 11,146 | $622,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 591,359 | $622,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 4,855 | $621,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 10,089 | $621,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 79,015 | $621,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 69,555 | $621,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 28,544 | $620,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 5,923 | $620,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 55,757 | $619,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 50,186 | $615,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 620,000 | $615,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 35,393 | $613,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 16,015 | $613,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 11,226 | $612,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 53,017 | $609,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 114,544 | $604,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 58,294 | $603,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 13,401 | $602,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 12,485 | $602,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 40,812 | $602,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 3,186 | $600,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 600,000 | $595,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 19,501 | $593,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 514,000 | $592,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 23,319 | $592,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 37,414 | $592,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 28,450 | $591,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 77,645 | $587,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 115,020 | $587,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 41,115 | $586,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 500 | $585,000 | thousands by filing date | call |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 3,670 | $585,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 45,889 | $585,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 6,620 | $585,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 750,000 | $585,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 4,606 | $584,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 28,442 | $584,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 92,240 | $584,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 64,821 | $584,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 113,646 | $583,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 500,000 | $583,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 59,228 | $583,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 17,654 | $582,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 29,341 | $582,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 36,210 | $581,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 145,885 | $580,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 34,053 | $578,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 600,000 | $577,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 70,819 | $577,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 84,147 | $576,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 21,021 | $575,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 13,235 | $575,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 500,000 | $575,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 19,300 | $575,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 177,938 | $573,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 14,063 | $573,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 19,296 | $573,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 600,000 | $572,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 19,732 | $567,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 15,613 | $567,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 406,000 | $567,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 600,000 | $561,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 309,840 | $561,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 500,000 | $561,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 64,030 | $560,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 11,948 | $556,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 21,107 | $553,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 13,889 | $551,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 86,097 | $551,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 63,633 | $550,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 101,842 | $549,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 18,462 | $548,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 16,816 | $548,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 60,900 | $548,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 559,000 | $548,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 53,023 | $546,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 40,473 | $544,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 121,053 | $544,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 40,547 | $543,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 25,001 | $542,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 146,549 | $542,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 27,441 | $541,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 45,344 | $540,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 57,606 | $540,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 117,192 | $539,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 114,042 | $537,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 72,692 | $534,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 750,000 | $534,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 500,000 | $534,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 3,612 | $532,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 2,865 | $532,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 51,869 | $532,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 90,994 | $530,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 60,472 | $529,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 32,873 | $526,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 18,008 | $523,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 43,881 | $521,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 500,000 | $521,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 5,859 | $518,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 33,616 | $516,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 24,485 | $515,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 10,134 | $514,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 600,000 | $514,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 173,034 | $513,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 28,991 | $510,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 11,100 | $509,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 28,108 | $509,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 29,472 | $508,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 21,819 | $501,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 11,225 | $499,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 37,555 | $497,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 39,146 | $494,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 49,682 | $494,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 208,956 | $494,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 12,156 | $492,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 209,640 | $492,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 500,000 | $489,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 65,722 | $488,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 57,294 | $487,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 16,296 | $486,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 99,081 | $486,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 22,047 | $486,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 7,756 | $483,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 12,637 | $482,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 51,864 | $480,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 22,717 | $479,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 350,000 | $479,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 45,775 | $478,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 51,829 | $477,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 19,797 | $476,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 122,073 | $476,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 207,761 | $475,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,287 | $473,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 26,052 | $473,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 511,000 | $473,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 500,000 | $472,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 17,860 | $466,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 103,975 | $465,000 | thousands by filing date | |
| COGINT INC | 19241Q101 | COM | 105,473 | $464,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAD0 | NOTE 0.750 8/1 | 250,000 | $463,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 11,778 | $460,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 70,154 | $459,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 177,429 | $458,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 10,265 | $457,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 14,874 | $456,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 34,200 | $455,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 18,343 | $455,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 6,509 | $453,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 36,073 | $451,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 10,226 | $447,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 3,699 | $447,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 33,876 | $444,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 19,033 | $442,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 12,455 | $442,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 92,860 | $440,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 13,009 | $439,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 66,031 | $439,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 15,241 | $439,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 44,682 | $438,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 134,928 | $436,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 20,240 | $433,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 17,783 | $431,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 21,750 | $429,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 63,500 | $428,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 107,209 | $428,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 75,350 | $428,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 36,922 | $427,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 15,021 | $427,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 8,412 | $426,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 26,763 | $426,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 46,900 | $422,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 61,769 | $421,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 43,400 | $421,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 184,245 | $420,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 26,754 | $416,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 19,166 | $416,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 28,465 | $414,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 34,269 | $414,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 8,233 | $414,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 2,030 | $411,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 42,936 | $411,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,865 | $410,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 6,001 | $410,000 | thousands by filing date | |
| SENDGRID INC | 816883102 | COM | 17,021 | $409,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 22,127 | $409,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 81,668 | $406,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 87,571 | $405,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 64,185 | $404,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 14,214 | $404,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 158,237 | $404,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 13,604 | $404,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 400,000 | $404,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 40,563 | $401,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 140,875 | $400,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 25,990 | $399,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 250,000 | $399,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 31,815 | $398,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 41,749 | $397,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 17,236 | $396,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 8,162 | $396,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 45,176 | $396,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 94,549 | $395,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 25,800 | $394,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 39,312 | $392,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 70,024 | $392,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 9,786 | $391,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 10,802 | $390,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 254,000 | $390,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 297 | $389,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 19,786 | $389,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 17,085 | $388,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 13,093 | $386,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 5,970 | $385,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 39,133 | $383,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 13,867 | $382,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 4,972 | $381,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 11,640 | $381,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 5,445 | $380,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 7,591 | $380,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 17,338 | $379,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $378,000 | thousands by filing date | |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 11,881 | $376,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,570 | $376,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 47,219 | $376,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 8,096 | $374,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 200,000 | $373,000 | thousands by filing date | |
| INVACARE CORP | 461203AF8 | NOTE 5.000% 2/1 | 300,000 | $373,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAB2 | NOTE 3.25011/0 | 400,000 | $369,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 399,167 | $368,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 21,963 | $367,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 30,000 | $367,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 37,203 | $365,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 29,339 | $363,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 43,234 | $361,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 328,219 | $361,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 300,000 | $359,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 104,659 | $358,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 9,700 | $356,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 10,201 | $355,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 189,362 | $354,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 5,479 | $353,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 11,192 | $353,000 | thousands by filing date | |
| CIENA CORP | 171779AJ0 | NOTE 3.750%10/1 | 300,000 | $353,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 7,683 | $352,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 2,544 | $351,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 48,431 | $351,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 46,511 | $350,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 10,273 | $348,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 36,736 | $348,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 5,421 | $347,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 35,219 | $343,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 20,500 | $342,000 | thousands by filing date | call |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 3,875 | $341,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 4,827 | $341,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 28,042 | $338,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 1,920 | $333,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 204,035 | $333,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 12,822 | $329,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 32,687 | $329,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 14,124 | $328,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 96,443 | $327,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 46,929 | $326,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 20,315 | $325,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 17,696 | $323,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 5,000 | $322,000 | thousands by filing date | call |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 12,090 | $321,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 16,208 | $320,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 260,000 | $320,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 11,588 | $319,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 37,443 | $318,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 11,724 | $317,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 14,701 | $316,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 10,209 | $315,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 2,022 | $315,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,862 | $315,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 35,485 | $315,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 9,862 | $315,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 100,985 | $313,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 225,000 | $312,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 10,187 | $311,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 311,000 | $311,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 7,344 | $310,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 69,319 | $309,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,236 | $306,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 128,895 | $306,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 23,142 | $304,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 253,180 | $304,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 12,044 | $301,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 8,807 | $301,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 84,128 | $301,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 31,305 | $300,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 21,998 | $300,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 12,207 | $299,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 21,630 | $299,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 31,762 | $298,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 7,480 | $297,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 9,716 | $296,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 250,000 | $295,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 68,478 | $293,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 11,001 | $293,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 250,000 | $293,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 3,141 | $292,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 5,795 | $291,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 22,876 | $291,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 181,722 | $291,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 4,898 | $290,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 13,700 | $290,000 | thousands by filing date | call |
| TCP CAP CORP | 87238Q103 | COM | 18,949 | $290,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 4,600 | $290,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 20,747 | $289,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 101,030 | $289,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 27,775 | $288,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 17,152 | $288,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 14,325 | $287,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 234,843 | $287,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 21,325 | $286,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 102,009 | $286,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,525 | $286,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 2,847 | $285,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 27,631 | $285,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 2,714 | $284,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 11,171 | $283,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 21,061 | $282,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 56,936 | $281,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 15,481 | $281,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B712 | KBW RG BK PORT | 5,001 | $280,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 75,001 | $280,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 42,930 | $279,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 26,558 | $277,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 5,485 | $274,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,962 | $274,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 10,627 | $274,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 9,357 | $271,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 33,209 | $271,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 266,939 | $270,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 8,091 | $269,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 98,629 | $269,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 22,500 | $266,000 | thousands by filing date | call |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 148,914 | $265,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 3,762 | $264,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 19,824 | $264,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 3,281 | $264,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 11,348 | $263,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 10,027 | $262,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 8,203 | $261,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,454 | $260,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 6,199 | $260,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 17,811 | $259,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 250,000 | $259,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 18,634 | $258,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 10,526 | $258,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 72,841 | $257,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 116,783 | $257,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 29,047 | $256,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 118,154 | $256,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 91,625 | $256,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 9,060 | $254,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 15,417 | $254,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 250,000 | $254,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 361,445 | $253,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 12,590 | $250,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 1,452 | $246,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 46,817 | $246,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 1,753 | $243,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 18,163 | $242,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 68,244 | $242,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 44,188 | $241,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 10,631 | $240,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 3,434 | $239,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 14,443 | $239,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 250,000 | $239,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 6,017 | $238,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 8,825 | $237,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 18,060 | $236,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 8,951 | $236,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 15,432 | $234,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 155,000 | $234,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 210,587 | $234,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 70,491 | $233,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,690 | $232,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 8,971 | $232,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 119,584 | $231,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 32,388 | $230,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 16,718 | $229,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 9,555 | $229,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 53,880 | $229,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 3,452 | $228,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 10,203 | $228,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 3,511 | $228,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 82,897 | $228,000 | thousands by filing date | |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 250,000 | $228,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 15,324 | $227,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 57,563 | $227,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 150,000 | $227,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 30,368 | $226,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 19,382 | $225,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 157,682 | $224,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 10,392 | $223,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 33,162 | $223,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 595,154 | $223,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 5,408 | $222,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 18,677 | $221,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 59,664 | $220,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025705 | COM NEW | 22,026 | $220,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 3,376 | $219,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 51,313 | $219,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 44,210 | $219,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 18,376 | $219,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,311 | $218,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 11,937 | $218,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 15,153 | $218,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 14,645 | $218,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 18,078 | $217,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 8,438 | $216,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 59,430 | $216,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 19,267 | $215,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,031 | $215,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 10,764 | $215,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 11,394 | $215,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 46,947 | $215,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 10,596 | $213,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 5,965 | $211,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 3,567 | $210,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 15,319 | $209,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 1,701 | $209,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 8,355 | $209,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 4,808 | $209,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 15,796 | $208,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 5,933 | $208,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 54,598 | $207,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 40,688 | $207,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 13,556 | $206,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 6,400 | $206,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 45,589 | $205,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 10,192 | $205,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 15,721 | $204,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 228,477 | $204,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 4,489 | $203,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 11,391 | $203,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 175,325 | $203,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 15,329 | $203,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 9,089 | $203,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 4,352 | $201,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 3,317 | $200,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 16,968 | $200,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 25,366 | $199,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 14,257 | $199,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 25,550 | $198,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 10,585 | $195,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 63,930 | $195,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 13,893 | $192,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 29,364 | $189,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 15,619 | $188,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 13,801 | $188,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 51,338 | $188,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 21,741 | $187,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,982 | $187,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 30,160 | $185,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 21,511 | $185,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 12,464 | $183,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 10,497 | $183,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 58,532 | $183,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 12,336 | $182,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 20,008 | $182,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,137 | $179,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 32,317 | $179,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,877 | $178,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 19,579 | $177,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,000 | $176,000 | thousands by filing date | call |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 17,407 | $176,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 12,639 | $175,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 12,198 | $173,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 73,222 | $172,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 63,598 | $171,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 28,624 | $170,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 10,350 | $170,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 13,803 | $168,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 52,152 | $168,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 48,229 | $166,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 113,802 | $165,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 25,195 | $164,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 41,689 | $164,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 33,763 | $163,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 40,666 | $163,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 59,648 | $162,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 30,778 | $160,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 20,010 | $160,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 13,161 | $160,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 12,686 | $160,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 26,767 | $159,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 155,060 | $156,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 68,918 | $155,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 11,955 | $154,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-18-000055 | this filing | 2018-02-09 | acceptance time not in the bulk data set |