13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-07, with 4,209 holding rows worth $364,459,420,000.
- Accession
- 0001390777-19-000105
- Filer
- CIK 1390777
- Filed
- 2019-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 19,652 entries on the cover page, a total value of $364,459,420,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $364,459,420,000 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 managerBNY Mellon Investment Adviser, Inc. 028-00127
- included managerNewton Investment Management (North America) Limited 028-17543
- included managerNewton Investment Management Limited 028-04797
- included managerBNY Mellon 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 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 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 |
|---|---|---|---|---|---|---|
| SYNLOGIC INC | 87166L100 | COM | 50,439 | $116,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 71,540 | $114,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 57,838 | $114,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 54,338 | $114,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 18,935 | $113,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 82,371 | $112,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 25,638 | $112,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 77,918 | $112,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 52,801 | $112,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 72,334 | $111,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 41,513 | $110,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 11,453 | $110,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,886 | $109,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 50,783 | $109,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 55,309 | $109,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 37,474 | $108,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 29,293 | $107,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 29,327 | $105,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AC4 | NOTE 1.250% 5/0 | 250,000 | $105,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 19,508 | $103,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 60,031 | $103,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 42,703 | $102,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 13,540 | $101,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 13,445 | $101,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 11,073 | $101,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 59,124 | $100,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 13,213 | $100,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 52,821 | $100,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 25,038 | $99,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 154,558 | $97,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 54,443 | $94,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 16,051 | $93,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 11,000 | $92,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 11,583 | $92,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 21,997 | $91,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 27,201 | $91,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 30,535 | $91,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 10,864 | $89,000 | thousands by filing date | |
| BLUE CAP REINS HLDGS LTD COM COM | G1190F107 | COM | 11,984 | $89,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 35,260 | $88,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 14,647 | $87,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 29,273 | $87,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 10,155 | $85,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 13,722 | $84,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 10,617 | $84,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 21,985 | $84,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 34,449 | $84,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 17,621 | $83,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 22,395 | $83,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 98,115 | $83,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,000 | $82,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 12,078 | $82,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 11,788 | $82,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 170,672 | $82,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 15,452 | $81,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 21,343 | $80,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 16,331 | $80,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 17,631 | $79,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 23,595 | $79,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 55,043 | $79,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 70,678 | $78,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 57,270 | $77,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 23,661 | $76,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 162,094 | $76,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 30,193 | $75,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 19,096 | $75,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 12,561 | $72,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 69,918 | $72,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 41,147 | $72,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 61,924 | $72,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 74,152 | $72,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 28,352 | $72,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 42,302 | $71,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 25,812 | $71,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 23,000 | $70,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 18,277 | $70,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 77,810 | $68,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 30,058 | $67,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 19,860 | $67,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 13,069 | $66,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 11,999 | $66,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 48,963 | $65,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 45,950 | $65,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 11,287 | $65,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 13,060 | $65,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 18,600 | $65,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 35,054 | $65,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 10,065 | $63,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 23,886 | $63,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 11,577 | $63,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 13,117 | $62,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 26,437 | $62,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 28,272 | $62,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 45,339 | $61,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 13,387 | $60,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 19,864 | $59,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 17,494 | $59,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 31,634 | $59,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 31,607 | $59,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 100,640 | $59,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 33,989 | $59,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 17,954 | $57,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 28,095 | $56,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 14,462 | $56,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 13,321 | $55,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 38,439 | $55,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,000 | $54,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 63,300 | $54,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 27,357 | $54,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 31,408 | $53,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 49,020 | $53,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 16,229 | $53,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 17,488 | $52,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 36,614 | $52,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 16,632 | $52,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 15,096 | $52,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 10,629 | $51,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 12,338 | $51,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 23,500 | $51,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 44,761 | $51,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 17,574 | $51,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 32,443 | $51,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 11,057 | $51,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 39,322 | $51,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 11,882 | $49,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 86,474 | $48,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 16,478 | $47,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 10,503 | $46,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 27,754 | $46,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 19,731 | $45,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,795 | $45,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 13,352 | $45,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 30,979 | $44,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 14,026 | $43,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 22,818 | $43,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 35,570 | $43,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 137,500 | $43,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 18,468 | $42,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 14,785 | $41,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 61,232 | $41,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 13,848 | $39,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 15,366 | $38,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 18,580 | $37,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 12,657 | $37,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 30,829 | $36,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 18,541 | $35,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 10,307 | $35,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 34,345 | $35,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 18,700 | $33,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,499 | $33,000 | thousands by filing date | |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 16,594 | $33,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 30,093 | $32,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 10,153 | $32,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 12,941 | $31,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 19,162 | $31,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 36,270 | $31,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 14,101 | $30,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 11,000 | $29,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 14,067 | $29,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 11,410 | $27,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 22,267 | $27,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 22,105 | $26,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 26,747 | $26,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 23,207 | $26,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 12,369 | $26,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 17,001 | $26,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 10,045 | $25,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 22,324 | $25,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 40,114 | $24,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 35,232 | $24,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 70,198 | $24,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 16,037 | $24,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 10,707 | $23,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 23,503 | $23,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 22,098 | $23,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 45,406 | $22,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,622 | $22,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 14,029 | $21,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 41,876 | $21,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 21,609 | $21,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 18,858 | $20,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 13,645 | $20,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 12,470 | $19,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 26,666 | $19,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 25,123 | $19,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 24,800 | $18,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 34,447 | $18,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541204 | CL A NEW | 13,337 | $18,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 10,258 | $17,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 65,054 | $17,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 25,056 | $17,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 15,596 | $16,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 19,346 | $16,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 14,692 | $16,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 19,980 | $15,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 25,000 | $15,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 20,229 | $15,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 13,000 | $14,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 25,594 | $14,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 11,913 | $14,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 21,009 | $13,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 23,293 | $12,000 | thousands by filing date | |
| ORAGENICS INC | 684023302 | COM PAR | 20,000 | $11,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 10,762 | $10,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 17,983 | $9,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 10,179 | $5,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 12,294 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J118 | *W EXP 03/06/202 | 10,700 | $2,000 | thousands by filing date | |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 10,441 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-19-000105 | this filing | 2019-11-07 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-21-000086 | added | 2021-10-08 | acceptance time not in the bulk data set |