13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-11, with 4,222 holding rows worth $319,399,836,000.
- Accession
- 0001390777-19-000046
- Filer
- CIK 1390777
- Filed
- 2019-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, 19,490 entries on the cover page, a total value of $319,399,836,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $319,399,836,000 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 managerMellon Investments 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 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 managerBoston Partners Global Investors, 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 managerBNY Mellon Investment Management Cayman Ltd. 028-17546
- included managerChanning Capital Management 028-11090
- included managerMoody Aldrich Partners LLC 028-04634
- included managerKnights of Columbus Asset Advisors LLC 028-17560
- included managerRedwood Investments, LLC 028-12234
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 |
|---|---|---|---|---|---|---|
| LEVEL ONE BANCORP INC | 52730d208 | COM | 21,750 | $488,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 500,000 | $486,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 30,997 | $485,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 29,622 | $484,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 500,000 | $483,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 42,446 | $483,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 17,056 | $481,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 50,685 | $481,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 17,383 | $480,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 36,883 | $480,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 13,501 | $478,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 60,647 | $478,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 493,000 | $477,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 22,016 | $477,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 19,390 | $474,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,750 | $472,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 27,718 | $470,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 84,537 | $470,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 56,938 | $468,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 20,449 | $468,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 14,315 | $466,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 66,579 | $466,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 500,000 | $466,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 114,735 | $465,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 159,120 | $465,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 31,225 | $464,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 500,000 | $463,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 10,995 | $462,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 19,300 | $462,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 20,305 | $461,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 433,294 | $459,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 9,593 | $459,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 500,000 | $458,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 9,725 | $455,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 43,789 | $454,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 17,928 | $453,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 9,908 | $451,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 134,975 | $451,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 450,000 | $451,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 94,948 | $450,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 13,445 | $449,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 94,536 | $449,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 100,229 | $449,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 425,549 | $447,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 7,546 | $445,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 38,084 | $444,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 128,810 | $442,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 46,109 | $442,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 14,970 | $441,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 18,848 | $441,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 454,018 | $440,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 7,231 | $439,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 47,827 | $438,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 27,373 | $436,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 32,987 | $436,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 36,689 | $435,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 6,830 | $434,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 77,139 | $433,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 452,164 | $433,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 21,921 | $433,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 8,012 | $432,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 25,937 | $431,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 400,000 | $431,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 60,220 | $431,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 16,929 | $431,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 11,052 | $430,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 14,802 | $429,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 37,018 | $427,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 63,269 | $426,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 27,968 | $425,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 191,189 | $424,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 42,424 | $423,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 400,000 | $422,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 18,230 | $419,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 24,844 | $418,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 400,000 | $418,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 500,000 | $417,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 350,000 | $416,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 118,434 | $414,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 71,653 | $414,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 17,998 | $413,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 17,143 | $411,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 17,424 | $411,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 57,679 | $410,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 37,113 | $410,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 52,479 | $409,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 300,000 | $409,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 48,848 | $408,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 73,386 | $407,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 7,885 | $403,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 18,612 | $403,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 14,508 | $403,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 153,603 | $401,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 107,303 | $400,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 9,238 | $398,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 56,774 | $398,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 28,407 | $395,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 99,190 | $395,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 395,518 | $395,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 139,429 | $394,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 21,483 | $393,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,267 | $392,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 165,680 | $392,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 55,703 | $391,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 24,824 | $390,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 78,594 | $390,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 88,512 | $389,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 400,000 | $388,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 3,215 | $387,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 15,486 | $387,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 85,364 | $386,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 9,405 | $385,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 27,681 | $381,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 10,706 | $380,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 100,921 | $380,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 25,800 | $379,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 46,174 | $378,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 49,907 | $378,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 12,072 | $376,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 350,000 | $376,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 408,881 | $373,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 15,483 | $372,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 178,493 | $372,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 118,154 | $372,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 49,470 | $371,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 11,887 | $370,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 35,771 | $370,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 19,076 | $370,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 400,000 | $370,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 400,000 | $369,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 6,830 | $368,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 5,250 | $368,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 46,455 | $367,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 14,682 | $364,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 250,000 | $364,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 73,093 | $362,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 69,682 | $361,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 13,112 | $359,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 54,001 | $359,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 8,000 | $358,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 12,402 | $357,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 3,015 | $357,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 29,942 | $356,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 300,000 | $354,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 92,282 | $353,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 5,530 | $353,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 110,661 | $352,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 34,691 | $351,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 250,000 | $351,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 72,791 | $350,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 2,153 | $348,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 42,599 | $347,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 25,617 | $346,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 17,362 | $346,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 350,000 | $346,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 8,099 | $345,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $345,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 33,471 | $344,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 878,715 | $344,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 350,000 | $344,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 272 | $343,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 3,460 | $343,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 129,330 | $341,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 72,300 | $339,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 19,941 | $339,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 45,694 | $338,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 3,050 | $336,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 28,382 | $334,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 488,347 | $334,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 200,000 | $331,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 23,502 | $331,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 79,001 | $328,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 350,000 | $328,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 15,502 | $328,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 20,000 | $326,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 26,726 | $325,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 300,505 | $325,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 300,000 | $324,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 178,023 | $324,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 25,415 | $324,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 22,324 | $323,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 300,000 | $323,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 103,768 | $322,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 161,041 | $322,000 | thousands by filing date | |
| ISTAR INC | 45031UCB5 | NOTE 3.125% 9/1 | 350,000 | $318,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 26,172 | $316,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 500,000 | $316,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 300,000 | $314,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 103,582 | $312,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,600 | $311,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 3,111 | $311,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 22,356 | $311,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 63,049 | $310,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 3,169 | $309,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 5,383 | $309,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 19,102 | $308,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 250,000 | $307,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 59,094 | $307,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 5,501 | $305,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 15,815 | $305,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 114,655 | $305,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 95,602 | $305,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 44,278 | $305,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 12,760 | $303,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 40,000 | $303,000 | thousands by filing date | call |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 35,877 | $303,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 105,291 | $302,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 99,844 | $302,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 27,695 | $301,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 24,485 | $301,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 36,859 | $301,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 10,958 | $300,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 20,170 | $299,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 274,813 | $299,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 166,596 | $298,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 300,000 | $298,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 300,000 | $297,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 250,000 | $297,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 5,600 | $296,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 400,000 | $296,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 97,859 | $294,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 6,329 | $293,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 4,100 | $292,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 29,278 | $291,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 496 | $291,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 11,815 | $291,000 | thousands by filing date | |
| HIVE | 007786106 | Stock | 89,214 | $291,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 6,209 | $290,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 51,405 | $290,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 300,000 | $290,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 65,036 | $289,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 6,922 | $289,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 22,600 | $287,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 23,291 | $286,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 270 | $284,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 57,911 | $283,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 4,357 | $282,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 5,314 | $280,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 11,276 | $280,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 21,416 | $279,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 6,308 | $277,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 160,069 | $277,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 13,265 | $277,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 13,220 | $277,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 4,724 | $276,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 12,837 | $275,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 35,449 | $275,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,569 | $273,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 19,973 | $272,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 3,330 | $271,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 300,000 | $271,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,981 | $267,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 23,898 | $267,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 8,326 | $265,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 211 | $264,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 8,811 | $264,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 5,315 | $262,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 13,991 | $262,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 15,000 | $261,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 300,000 | $261,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 51,282 | $260,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 7,012 | $260,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 71,236 | $260,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 61,100 | $259,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 144,787 | $258,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 300,000 | $258,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 12,145 | $256,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 7,560 | $254,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 5,345 | $254,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 300,000 | $252,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,441 | $251,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 5,792 | $251,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 250,000 | $250,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 14,088 | $249,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,305 | $247,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 250,000 | $247,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 5,794 | $246,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 16,166 | $246,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 175,579 | $246,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 250,000 | $246,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 8,784 | $245,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 8,813 | $245,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 5,800 | $244,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 51,776 | $243,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 10,985 | $241,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 24,049 | $240,000 | thousands by filing date | |
| NABORS INDS INC | 62957HAB1 | BOND | 400,000 | $240,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 4,611 | $239,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 27,788 | $239,000 | thousands by filing date | |
| ISHARES TR | 46435U697 | IBONDS DEC | 9,349 | $238,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 76,606 | $238,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 250,000 | $238,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 39,701 | $237,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 209,353 | $237,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 331,604 | $237,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 91,041 | $236,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 250,000 | $236,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 172,310 | $236,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 5,250 | $235,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 181,006 | $235,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 13,981 | $234,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 250,000 | $234,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 250,000 | $234,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 69,068 | $233,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 76,454 | $233,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 11,000 | $232,000 | thousands by filing date | |
| GOGO INC | 38046CAB5 | NOTE 3.750 3/0 | 250,000 | $232,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 22,091 | $230,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 39,054 | $230,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 8,258 | $230,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 46,270 | $230,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 250,000 | $230,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 27,492 | $230,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 250,000 | $230,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 26,409 | $229,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 7,375 | $228,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 37,106 | $228,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 11,943 | $227,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 36,716 | $226,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 225,000 | $226,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 22,790 | $224,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 1,605 | $223,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 250,000 | $223,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 145,832 | $222,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 21,447 | $222,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 32,222 | $221,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 250,000 | $219,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 450,638 | $218,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 25,640 | $218,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 21,303 | $217,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 4,415 | $216,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 14,754 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 7,876 | $215,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 18,532 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 1,812 | $211,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 7,895 | $211,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 3,462 | $210,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 27,968 | $210,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 250,000 | $210,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 19,335 | $209,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 81,321 | $207,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 47,494 | $206,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 59,135 | $205,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 200,000 | $205,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 10,085 | $204,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 46,248 | $204,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 3,926 | $203,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 8,494 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 8,150 | $202,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 159,945 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 7,740 | $201,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 235,852 | $201,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 3,191 | $200,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 56,777 | $200,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 19,697 | $200,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 229,585 | $200,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339AA3 | NOTE 2.500% 2/0 | 250,000 | $200,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 168,196 | $198,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 52,525 | $196,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 119,063 | $196,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 150,689 | $194,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,665 | $190,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 92,233 | $189,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 250,000 | $189,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 44,887 | $188,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 15,534 | $186,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 337,496 | $186,000 | thousands by filing date | |
| DERMIRA INC | 24983LAB0 | NOTE 3.000% 5/1 | 250,000 | $186,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 132,230 | $181,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 10,284 | $179,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 11,237 | $178,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AC4 | NOTE 1.250% 5/0 | 250,000 | $177,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 250,000 | $175,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 33,621 | $174,000 | thousands by filing date | |
| IVC 4 1/2 6/1/22 | 461203AH4 | CONVERTIBLE BOND | 250,000 | $174,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 56,720 | $172,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 200,000 | $172,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 116,053 | $171,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 42,979 | $169,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 19,090 | $168,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 136,345 | $168,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 23,452 | $166,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 30,985 | $166,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 73,049 | $165,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 44,280 | $164,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 55,668 | $163,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 16,073 | $163,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 16,766 | $162,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 10,479 | $161,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 29,521 | $161,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 34,332 | $160,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 39,203 | $160,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 57,704 | $160,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 108,074 | $159,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 38,662 | $159,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 68,676 | $158,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 38,304 | $156,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 15,573 | $155,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 67,149 | $155,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,400 | $153,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 21,000 | $151,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 46,084 | $150,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 36,854 | $149,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 102,226 | $149,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 26,871 | $149,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 13,000 | $147,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 38,774 | $147,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 11,800 | $145,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 22,804 | $145,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 14,132 | $145,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 86,140 | $145,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 27,798 | $143,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 23,000 | $142,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 25,296 | $142,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 174,902 | $140,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 51,818 | $138,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 10,227 | $138,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 45,962 | $137,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 37,099 | $136,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 16,662 | $136,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 65,325 | $136,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 189,417 | $133,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 31,691 | $132,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 54,828 | $131,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 49,392 | $131,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 11,600 | $130,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 65,147 | $130,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 23,358 | $126,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 31,620 | $125,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 19,231 | $125,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 5,000 | $123,000 | thousands by filing date | call |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,338 | $123,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 12,113 | $122,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 71,939 | $122,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 111,970 | $120,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 16,956 | $118,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 34,933 | $118,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 100,963 | $117,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 12,000 | $116,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,750 | $115,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 12,897 | $113,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 33,563 | $113,000 | thousands by filing date | |
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 142,938 | $113,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 150,673 | $111,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 17,124 | $108,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 12,340 | $108,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 37,394 | $108,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 17,348 | $108,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 72,598 | $107,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 16,584 | $107,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 28,033 | $106,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 13,465 | $105,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 343,963 | $105,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 18,330 | $104,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 39,017 | $103,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 27,617 | $103,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 100,904 | $103,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 43,627 | $101,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 19,221 | $99,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 34,690 | $98,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 69,221 | $98,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 19,427 | $98,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 31,441 | $97,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 51,501 | $97,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 11,346 | $96,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 18,592 | $95,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 43,583 | $95,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 13,444 | $95,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 13,261 | $94,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 71,463 | $94,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 42,183 | $94,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 25,482 | $93,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 11,572 | $92,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 63,888 | $92,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 20,171 | $91,000 | thousands by filing date | |
| BK TECHNOLOGIES INC | 09180A100 | COM | 24,295 | $91,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 12,798 | $90,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 15,754 | $90,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 72,880 | $90,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 61,859 | $89,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 18,973 | $89,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 17,228 | $88,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 20,577 | $88,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 46,897 | $87,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 96,175 | $86,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 72,256 | $85,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 34,766 | $84,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 45,474 | $83,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 16,040 | $83,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 15,913 | $83,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 208,876 | $83,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 44,164 | $82,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 48,706 | $82,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 67,762 | $82,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 53,112 | $80,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 14,219 | $80,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 46,946 | $80,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 64,380 | $79,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 91,994 | $79,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 13,934 | $78,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-19-000046 | this filing | 2019-02-11 | acceptance time not in the bulk data set |