13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-09, with 4,239 holding rows worth $389,055,018,000.
- Accession
- 0001390777-18-000130
- Filer
- CIK 1390777
- Filed
- 2018-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, 20,366 entries on the cover page, a total value of $389,055,018,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $389,055,018,000 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 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 filerUNITED SERVICES AUTOMOBILE ASSOCIATION028-05810
- included managerBNY Mellon Trust of Delaware 028-17542
- included managerBNY Mellon Asset Management North America 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 028-18785
- 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, LLC 028-18741
- included managerLockwood Advisors, Inc. 028-11769
- included managerInsight Investment Management (Global) Limited 028-18887
- 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, LLC 028-18886
- 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 managerRedwood Investments, LLC 028-12234
- included managerDalton Investment LLC 028-12151
- included managerGotham Asset Management, LLC 028-14365
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 |
|---|---|---|---|---|---|---|
| CARNIVAL PLC ADS | 14365C103 | ADR | 10,454 | $660,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 30,702 | $657,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 15,284 | $654,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 199,607 | $654,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 56,612 | $654,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 13,903 | $654,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 63,269 | $651,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 149,603 | $651,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 13,625 | $650,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 94,294 | $649,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 82,686 | $648,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 9,842 | $647,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 43,627 | $647,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 40,260 | $646,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 69,295 | $645,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 600,000 | $644,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 68,671 | $643,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 53,030 | $642,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 600,000 | $640,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 34,632 | $639,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 22,048 | $639,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 113,908 | $638,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 72,223 | $636,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 25,307 | $635,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 43,318 | $635,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 27,948 | $633,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 38,814 | $631,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 25,039 | $631,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 128,430 | $629,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 27,347 | $625,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 4,650 | $624,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 39,990 | $623,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 18,798 | $622,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 25,644 | $621,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 28,855 | $618,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 11,719 | $617,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 41,232 | $613,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 266,290 | $613,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 11,264 | $612,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 18,297 | $612,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 650,000 | $611,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 750,000 | $608,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 74,723 | $607,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 47,413 | $606,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 15,167 | $605,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 750,000 | $603,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 79,341 | $602,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 67,133 | $599,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 7,808 | $595,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 79,920 | $595,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 8,158 | $594,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 79,388 | $594,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 150,340 | $594,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 19,300 | $591,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 32,549 | $591,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 16,562 | $590,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 26,842 | $589,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 595,263 | $588,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 45,896 | $587,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 38,105 | $586,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 99,075 | $585,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 98,421 | $584,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 60,700 | $584,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 61,020 | $583,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 10,801 | $582,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 11,034 | $581,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 23,273 | $580,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 114,735 | $580,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 210,003 | $580,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 66,761 | $580,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 32,169 | $579,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 119,356 | $577,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 8,377 | $577,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 750,000 | $577,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 500,000 | $577,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 72,045 | $574,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 16,573 | $573,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 115,567 | $573,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,645 | $572,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 28,179 | $572,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 33,942 | $572,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 148,029 | $571,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 29,888 | $571,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 63,330 | $570,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 18,673 | $570,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 26,919 | $570,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 99,940 | $569,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 28,004 | $566,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 27,342 | $566,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 23,559 | $565,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 14,648 | $564,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 19,501 | $562,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 10,939 | $560,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 4,110 | $559,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 59,711 | $559,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 16,283 | $555,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 500,000 | $555,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 33,198 | $554,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 138,879 | $554,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 600,000 | $553,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 149,452 | $553,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 39,865 | $552,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 247,154 | $551,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 35,756 | $550,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 134,053 | $550,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 600,000 | $550,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 38,128 | $549,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,750 | $547,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 16,962 | $545,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 18,189 | $544,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 18,982 | $544,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 21,926 | $541,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 50,531 | $541,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 535,000 | $540,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 102,648 | $539,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339AA3 | NOTE 2.500% 2/0 | 500,000 | $538,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 537,303 | $536,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 500,000 | $536,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 57,331 | $535,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 48,543 | $535,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 29,290 | $534,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 114,824 | $534,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 23,922 | $533,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 33,266 | $531,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 13,635 | $531,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 500,000 | $531,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 30,609 | $530,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 38,084 | $528,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 525,000 | $528,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 37,343 | $523,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 108,974 | $521,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 58,557 | $521,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 53,435 | $520,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 84,318 | $519,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 36,392 | $518,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 39,971 | $517,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 493,000 | $517,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 503,000 | $517,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 33,781 | $515,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 27,373 | $515,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 21,046 | $513,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 400,000 | $511,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 43,917 | $510,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 15,707 | $508,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 128,371 | $508,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 500,000 | $507,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 190,887 | $506,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 425,549 | $506,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 20,784 | $505,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 27,166 | $503,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 500,000 | $503,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 201,404 | $502,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 456,357 | $502,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 20,960 | $501,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 20,928 | $501,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 500,000 | $500,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 41,359 | $498,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 17,500 | $496,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 5,639 | $495,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 11,526 | $494,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 2,598 | $492,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 17,016 | $489,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 25,319 | $489,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 42,185 | $486,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 82,325 | $485,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 28,963 | $484,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 11,749 | $482,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 72,300 | $481,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 500,000 | $479,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 7,699 | $478,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 19,029 | $477,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 45,458 | $477,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 15,913 | $476,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 550,000 | $476,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 9,813 | $475,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 72,136 | $473,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 47,235 | $473,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 18,857 | $473,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 500,000 | $473,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,998 | $471,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 53,453 | $469,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629505 | COM | 12,559 | $469,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 2,892 | $468,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 32,652 | $468,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 14,618 | $468,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 25,782 | $465,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 18,229 | $458,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 132,528 | $457,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 400,000 | $456,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 15,813 | $453,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 500,000 | $453,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 23,274 | $449,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 55,620 | $449,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 104,402 | $448,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 20,908 | $448,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 105,464 | $448,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 14,463 | $447,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 13,194 | $446,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 8,000 | $446,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 15,483 | $445,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,831 | $442,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 62,198 | $440,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 12,577 | $438,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 200,000 | $437,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 14,943 | $436,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 5,960 | $435,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 10,225 | $435,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 17,071 | $435,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 16,082 | $433,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 5,100 | $432,000 | thousands by filing date | call |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 34,436 | $428,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 7,623 | $427,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 29,242 | $425,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 44,320 | $424,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 56,837 | $424,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 21,483 | $422,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 8,923 | $421,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 81,807 | $418,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 17,718 | $416,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 18,089 | $416,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 178,050 | $416,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 42,599 | $415,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 86,564 | $413,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 22,459 | $413,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 23,117 | $413,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 14,671 | $411,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 13,378 | $408,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 41,755 | $408,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 40,041 | $404,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 8,162 | $404,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 19,000 | $403,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 139,733 | $403,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 44,504 | $403,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 49,762 | $402,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 9,223 | $398,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 16,023 | $398,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 29,929 | $398,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 345,694 | $398,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 400,000 | $398,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 3,900 | $397,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 113,169 | $396,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 25,800 | $395,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 10,124 | $395,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 11,285 | $393,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 51,405 | $393,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 3,286 | $391,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $391,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 39,447 | $389,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 6,499 | $388,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 64,620 | $387,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 58,374 | $386,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 25,291 | $383,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 79,208 | $382,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 19,166 | $381,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 20,367 | $379,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 24,932 | $377,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 350,000 | $376,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 91,132 | $375,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 300,000 | $375,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 5,256 | $374,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 8,908 | $372,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 15,815 | $372,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 3,019 | $368,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 21,416 | $366,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,292 | $364,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 20,000 | $364,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 75,186 | $364,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 25,000 | $363,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 9,485 | $363,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 250,000 | $362,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 7,985 | $358,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 277 | $357,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 20,212 | $356,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 118,154 | $355,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 9,363 | $355,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 14,582 | $355,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 3,169 | $354,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 300,000 | $354,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 13,633 | $351,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 62,743 | $350,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 3,976 | $349,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 179,683 | $348,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 24,715 | $347,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 318 | $346,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 48,561 | $345,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 22,509 | $344,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 31,836 | $342,000 | thousands by filing date | |
| INVACARE CORP | 461203AF8 | NOTE 5.000% 2/1 | 300,000 | $342,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 54,828 | $340,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 56,463 | $336,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,569 | $335,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 107,233 | $332,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 11,404 | $332,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 5,314 | $330,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 32,897 | $329,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 36,565 | $329,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 37,260 | $326,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 250,000 | $326,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 6,500 | $325,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 150,671 | $325,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 46,928 | $324,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 4,000 | $322,000 | thousands by filing date | call |
| IVC 4 1/2 6/1/22 | 461203AH4 | CONVERTIBLE BOND | 250,000 | $321,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 5,315 | $320,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 2,776 | $320,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 37,274 | $320,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 19,840 | $319,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 177,745 | $318,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 250,000 | $318,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 24,974 | $316,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 11,540 | $316,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 30,193 | $315,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 11,866 | $315,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 4,611 | $315,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 10,147 | $310,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 10,940 | $309,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 47,593 | $309,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 9,375 | $305,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 10,200 | $305,000 | thousands by filing date | call |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 150,000 | $305,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 5,097 | $304,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 12,162 | $303,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 31,903 | $301,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 3,968 | $301,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 6,402 | $300,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 300,000 | $299,000 | thousands by filing date | |
| YANDEX N.V. | 98474TAB3 | 1.125% CNV BDS 15/12/18 USD | 300,000 | $299,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 278,385 | $298,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 12,241 | $296,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 21,185 | $295,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 6,021 | $295,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 27,828 | $293,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 73,122 | $292,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 22,600 | $291,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 12,281 | $291,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 45,064 | $290,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 47,494 | $289,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 120,748 | $289,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 6,505 | $288,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 6,840 | $288,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 16,046 | $286,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 5,794 | $283,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 4,750 | $282,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 11,614 | $279,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,400 | $277,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 7,560 | $277,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 9,300 | $277,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 8,065 | $277,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 25,179 | $277,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 3,929 | $276,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 5,769 | $275,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 8,811 | $275,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 27,066 | $275,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 10,000 | $274,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 40,028 | $274,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 19,983 | $272,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 17,466 | $271,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 19,036 | $270,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 5,273 | $269,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 350,000 | $264,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 13,965 | $263,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 14,914 | $262,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 60,616 | $261,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 8,393 | $260,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 43,557 | $260,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 250,000 | $256,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 15,705 | $256,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 8,126 | $255,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 18,419 | $253,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 7,895 | $253,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 235,852 | $253,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 250,000 | $253,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 25,598 | $252,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 250,000 | $252,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 13,019 | $249,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 1,752 | $248,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 6,635 | $246,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 2,727 | $246,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 4,537 | $246,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 5,048 | $246,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 16,111 | $245,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 8,170 | $242,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 19,919 | $239,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 59,095 | $238,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 110,842 | $238,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 6,166 | $236,000 | thousands by filing date | |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 250,000 | $236,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 84,519 | $235,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,139 | $233,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 72,963 | $233,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 26,409 | $232,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,447 | $231,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 3,462 | $231,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 84,518 | $231,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 10,085 | $230,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 6,390 | $228,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 168,196 | $227,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 20,000 | $226,000 | thousands by filing date | call |
| CANADA GOOSE HLDGS INC SHS SUB VTG | 135086106 | Stock | 3,508 | $226,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 4,663 | $224,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 39,384 | $223,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 4,617 | $222,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 7,434 | $221,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 7,103 | $221,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,372 | $220,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 200,000 | $219,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 18,820 | $218,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 14,920 | $218,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,180 | $217,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 17,612 | $216,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 67,812 | $216,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 24,614 | $215,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,187 | $215,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 30,610 | $213,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 18,200 | $213,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 6,750 | $212,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 3,451 | $212,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 116,053 | $212,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,975 | $211,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,100 | $211,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 5,974 | $211,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 10,434 | $211,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 6,948 | $210,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 705 | $210,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,299 | $210,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 46,946 | $209,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,267 | $208,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 11,394 | $207,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,154 | $207,000 | thousands by filing date | |
| DERMIRA INC | 24983LAB0 | NOTE 3.000% 5/1 | 250,000 | $207,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,200 | $206,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 14,794 | $205,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 5,232 | $203,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 4,119 | $200,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 62,863 | $200,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 28,200 | $199,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 4,300 | $197,000 | thousands by filing date | call |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 34,731 | $197,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 67,627 | $196,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 13,101 | $196,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 10,531 | $195,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 11,981 | $195,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 15,701 | $194,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AC4 | NOTE 1.250% 5/0 | 250,000 | $194,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 21,500 | $194,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 41,910 | $194,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 64,820 | $192,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 11,225 | $191,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 174,902 | $189,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 27,485 | $187,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 22,789 | $187,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 16,710 | $185,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 72,598 | $185,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 25,727 | $185,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 35,621 | $185,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 21,000 | $184,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,400 | $184,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 27,141 | $181,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 14,909 | $181,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 139,040 | $178,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 71,463 | $176,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 15,098 | $173,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 14,604 | $173,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 13,210 | $172,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 70,447 | $169,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 88,059 | $168,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 43,283 | $167,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 15,190 | $166,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 12,572 | $163,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 19,470 | $163,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 12,645 | $162,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 62,713 | $161,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 18,217 | $160,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 14,126 | $159,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 12,433 | $154,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 33,563 | $154,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 13,000 | $152,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 23,000 | $152,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 16,701 | $151,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 62,318 | $150,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 69,221 | $149,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 11,800 | $148,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 18,066 | $148,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 91,994 | $147,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 48,705 | $146,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 26,778 | $144,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 117,501 | $141,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 16,522 | $141,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 49,893 | $139,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 13,887 | $139,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 26,004 | $139,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 12,400 | $138,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 13,690 | $137,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 72,880 | $136,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 13,157 | $135,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 17,493 | $133,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 18,159 | $133,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 23,358 | $132,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 59,647 | $130,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 16,956 | $130,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-18-000130 | this filing | 2018-11-09 | acceptance time not in the bulk data set |