13F-HR/A filed by Virtu Financial LLC
Virtu Financial LLC filed this 13F-HR/A for the quarter ended 2017-09-30, filed 2017-11-20, with 2,466 holding rows worth $2,019,262,000.
- Accession
- 0001533964-17-000008
- Filer
- CIK 1533964
- Filed
- 2017-11-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, amendment of type restatement, 2,651 entries on the cover page, a total value of $2,019,262,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,019,262,000 with VALUE read as thousands by filing date, 13F file number 028-14585. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerVIRTU FINANCIAL CAPITAL MARKETS 028-12744
- included managerVirtu Financial BD LLC 028-13648
- included managerVirtu Americas LLC 028-15626
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 |
|---|---|---|---|---|---|---|
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 11,535 | $133,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 12,968 | $133,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 15,117 | $133,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 10,224 | $133,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 16,158 | $132,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,870 | $132,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 309,953 | $132,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 39,489 | $132,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 46,433 | $130,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG NATURAL GAS | 74347W296 | ETF | 14,649 | $129,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 15,836 | $128,000 | thousands by filing date | |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 124,680 | $128,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 24,579 | $126,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 12,436 | $126,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 14,063 | $125,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 21,377 | $123,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 76,116 | $123,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 12,595 | $122,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 135,788 | $122,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 46,253 | $122,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 14,599 | $121,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 16,732 | $121,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 23,573 | $121,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25490K745 | Common Stocks | 26,336 | $121,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 47,294 | $121,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 10,047 | $120,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 11,582 | $120,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 16,145 | $119,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 56,516 | $119,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 10,883 | $118,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 11,049 | $118,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 11,558 | $117,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 27,355 | $117,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 15,215 | $116,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,034 | $115,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 24,223 | $115,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 10,168 | $115,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 12,450 | $114,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 19,861 | $114,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 39,844 | $114,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 75,653 | $113,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 14,991 | $112,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 11,692 | $112,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 12,458 | $111,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 100,876 | $111,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 68,478 | $111,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 36,202 | $111,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 17,021 | $111,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 14,864 | $110,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 34,096 | $110,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 21,200 | $110,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 25,862 | $109,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 71,477 | $108,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 40,910 | $108,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 12,656 | $108,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 104,753 | $108,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 21,322 | $108,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 14,510 | $108,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 24,533 | $107,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 63,172 | $107,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 10,461 | $106,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 24,264 | $106,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 10,400 | $105,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 12,462 | $105,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 17,383 | $105,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 13,863 | $105,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 11,700 | $104,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 10,872 | $104,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 10,198 | $103,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 15,627 | $103,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 14,059 | $103,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 24,671 | $102,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,117 | $101,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 14,897 | $101,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 10,662 | $101,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 20,834 | $100,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 80,429 | $100,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 34,975 | $100,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 34,859 | $100,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 11,606 | $100,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 10,976 | $100,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 15,980 | $99,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 68,365 | $99,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 15,553 | $98,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 11,613 | $98,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 36,571 | $98,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 11,038 | $97,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748206 | COM NEW | 58,437 | $97,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 16,793 | $96,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 13,000 | $96,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 17,541 | $96,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 12,307 | $96,000 | thousands by filing date | |
| PRECIPIO INC | 74019L107 | COM | 44,165 | $95,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 30,201 | $95,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 19,332 | $94,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 10,420 | $94,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 22,519 | $94,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 30,555 | $94,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 13,341 | $94,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 21,382 | $93,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 19,353 | $93,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 64,619 | $92,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L209 | COM NEW | 41,620 | $92,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 10,195 | $91,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 22,508 | $91,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 152,109 | $91,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 13,911 | $90,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 15,989 | $90,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 79,763 | $90,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 14,441 | $88,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 57,508 | $87,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 15,824 | $86,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 12,836 | $85,000 | thousands by filing date | |
| ROSETTA GENOMICS | M82183209 | Equities | 81,379 | $85,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 34,158 | $85,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 28,936 | $84,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 62,779 | $84,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 24,032 | $84,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 57,546 | $84,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 24,064 | $82,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 12,368 | $81,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 18,223 | $81,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 28,126 | $80,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 16,659 | $80,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 22,769 | $80,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 60,532 | $80,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 10,093 | $79,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 10,031 | $79,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 10,940 | $79,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 84,137 | $79,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 18,008 | $78,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 26,601 | $78,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 26,032 | $78,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 12,721 | $77,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 30,372 | $77,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 12,764 | $77,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 110,074 | $77,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 28,199 | $76,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 11,046 | $76,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 12,449 | $76,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 23,536 | $76,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 13,437 | $75,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 15,864 | $75,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 55,964 | $75,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 11,924 | $75,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 29,970 | $75,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 23,684 | $75,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 43,348 | $74,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 34,671 | $74,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 18,493 | $73,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 19,060 | $73,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 22,797 | $73,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 24,079 | $73,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 99,567 | $73,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 10,080 | $72,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 33,656 | $72,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 40,790 | $72,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 17,745 | $72,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 13,541 | $71,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 10,119 | $71,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 17,911 | $71,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 36,588 | $70,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 255,494 | $70,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 192,361 | $70,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 13,228 | $69,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 15,657 | $69,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,180 | $68,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 48,703 | $67,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 29,468 | $67,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 11,296 | $66,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 43,580 | $66,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 15,559 | $66,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 18,859 | $66,000 | thousands by filing date | |
| OMINTO INC | 68217C208 | COM NEW | 14,719 | $66,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 11,502 | $65,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 18,362 | $65,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 62,029 | $65,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 12,527 | $65,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 14,870 | $65,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 15,978 | $64,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 13,529 | $64,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 13,150 | $64,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 12,935 | $64,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 93,085 | $64,000 | thousands by filing date | |
| ROOT9B HOLDINGS INC | 776650202 | COM NEW | 31,815 | $64,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 22,064 | $63,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 12,196 | $63,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 39,922 | $63,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 12,249 | $63,000 | thousands by filing date | |
| PHASERX INC | 71723F103 | COM | 76,739 | $63,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 15,881 | $63,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 29,699 | $63,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 14,723 | $62,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 16,667 | $62,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 10,090 | $62,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 32,632 | $62,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 46,958 | $62,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 148,710 | $61,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 38,546 | $61,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 12,642 | $60,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 13,443 | $59,000 | thousands by filing date | |
| CARDIOME PHARMA CORP | 14159U301 | COM NO PAR | 27,658 | $59,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 35,828 | $59,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 36,454 | $59,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 79,050 | $58,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 10,301 | $57,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 36,694 | $57,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 41,928 | $56,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 12,320 | $56,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,826 | $55,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 21,022 | $55,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 32,105 | $55,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 30,030 | $55,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 16,838 | $54,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 19,752 | $54,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 17,346 | $53,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 11,365 | $53,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 14,575 | $53,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 14,442 | $53,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 12,571 | $52,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 100,138 | $52,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 18,004 | $52,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 27,363 | $51,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 28,409 | $51,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 11,791 | $50,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 11,527 | $50,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 100,353 | $50,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 18,600 | $50,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 13,145 | $50,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 11,584 | $50,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 14,700 | $50,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 311,653 | $49,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 20,107 | $49,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 26,617 | $49,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 67,538 | $49,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 13,290 | $48,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,766 | $48,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 74,154 | $48,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 20,995 | $47,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 25,938 | $46,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 16,223 | $46,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 47,640 | $46,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 35,862 | $45,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 16,496 | $45,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 19,854 | $43,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 150,077 | $43,000 | thousands by filing date | |
| ROKA BIOSCIENCE INC COM NEW | 775431208 | Stock | 58,663 | $43,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 18,575 | $43,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 15,486 | $42,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 132,445 | $42,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 58,800 | $42,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,958 | $41,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 67,265 | $41,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 27,509 | $41,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 27,622 | $41,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 16,199 | $41,000 | thousands by filing date | |
| Yogaworks, Inc. | 986005106 | com | 14,447 | $40,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,217 | $40,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 22,890 | $40,000 | thousands by filing date | |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 43,624 | $40,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 29,123 | $40,000 | thousands by filing date | |
| BIOCEPT INC | 09072V204 | COM NEW | 31,513 | $39,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 39,723 | $38,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 33,663 | $38,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 115,513 | $37,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 103,425 | $37,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 33,283 | $37,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y602 | SHS NEW | 120,745 | $37,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 11,171 | $36,000 | thousands by filing date | |
| CONCORDIA INTL CORP | 20653P102 | COM | 30,914 | $36,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 10,306 | $36,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 26,084 | $36,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 20,929 | $35,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 12,656 | $35,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 21,000 | $35,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 57,892 | $35,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC-CW18 | 00444P116 | W E | 455,053 | $35,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468104 | COM | 16,583 | $34,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 21,024 | $33,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 54,404 | $33,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 14,676 | $33,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 15,571 | $33,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 15,958 | $33,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 19,469 | $33,000 | thousands by filing date | |
| DETERMINE INC | 250660107 | COM | 15,171 | $33,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 20,378 | $32,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 29,074 | $32,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 63,014 | $32,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 12,352 | $32,000 | thousands by filing date | |
| CF CORP | G20307115 | *W EXP 05/25/202 | 14,690 | $31,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 11,646 | $30,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 36,827 | $30,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 35,666 | $30,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 67,070 | $29,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 14,172 | $29,000 | thousands by filing date | |
| SHINECO INC COM NEW | 824567200 | Stock | 11,241 | $29,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 10,058 | $28,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 19,785 | $28,000 | thousands by filing date | |
| SOLENO THERAPEUTICS INC | 834203101 | COM | 52,942 | $28,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 17,889 | $27,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 30,621 | $27,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 10,578 | $26,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 16,206 | $26,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 17,524 | $26,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 20,074 | $26,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 15,642 | $26,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 11,472 | $26,000 | thousands by filing date | |
| PATRIOT NATL INC | 70338T102 | COM | 19,255 | $26,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 31,254 | $26,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 13,587 | $26,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 21,207 | $25,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 15,692 | $25,000 | thousands by filing date | |
| INSPIREMD INC | 45779A804 | COM PAR | 62,443 | $25,000 | thousands by filing date | |
| Ocugen | 43358V109 | Common | 12,381 | $25,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 83,912 | $25,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 36,000 | $24,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 33,345 | $24,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 64,160 | $24,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 25,423 | $24,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 19,945 | $24,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 10,516 | $24,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 76,574 | $24,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 15,538 | $24,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 20,446 | $24,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 19,100 | $24,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 41,774 | $24,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H209 | COM NEW | 45,557 | $24,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 35,481 | $24,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC | Y2069P143 | SHS PAR | 38,397 | $24,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 49,880 | $23,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 11,716 | $23,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 20,472 | $23,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195116 | *W EXP 09/16/202 | 33,656 | $23,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 42,624 | $22,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 19,007 | $22,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 28,408 | $22,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 10,752 | $22,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 138,411 | $22,000 | thousands by filing date | |
| LINIU TECHNOLOGY GROUP | G54971208 | SNC | 20,440 | $22,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 15,476 | $22,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 70,685 | $22,000 | thousands by filing date | |
| MERIDIAN WASTE SOLUTIONS INC | 58985L209 | COM | 17,331 | $22,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 17,396 | $21,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 15,559 | $21,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 11,416 | $21,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 10,437 | $21,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 29,913 | $21,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 21,303 | $20,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 11,076 | $20,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 10,323 | $20,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 15,965 | $20,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C201 | COM | 100,863 | $20,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 10,094 | $20,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 17,389 | $20,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A111 | *W EXP 03/28/202 | 13,475 | $20,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 11,169 | $19,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 15,914 | $19,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 15,967 | $19,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 11,059 | $19,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 15,699 | $18,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 12,638 | $18,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 12,193 | $18,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 48,538 | $18,000 | thousands by filing date | |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 10,517 | $18,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 28,698 | $17,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 20,503 | $17,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 10,409 | $17,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 29,455 | $17,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 15,830 | $17,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 13,592 | $17,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 12,362 | $17,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 21,722 | $17,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 10,254 | $17,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 31,902 | $17,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 55,486 | $17,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 18,567 | $16,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 14,281 | $16,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 45,568 | $16,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 11,370 | $15,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 20,137 | $15,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 10,900 | $15,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 12,866 | $15,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 20,404 | $15,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 13,789 | $15,000 | thousands by filing date | |
| CUMULUS MEDIA INC. | 231082603 | COM | 48,273 | $15,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 16,766 | $14,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 10,339 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 11,387 | $14,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 23,520 | $14,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 34,140 | $14,000 | thousands by filing date | |
| CHF SOLUTIONS INC | 12542Q102 | COM | 24,088 | $14,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 19,096 | $14,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W115 | *W EXP 03/22/2022 | 37,629 | $14,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 24,908 | $13,000 | thousands by filing date | |
| CHINA PHARMA HOLDINGS INC | 16941T104 | COM | 76,491 | $13,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 19,651 | $13,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 14,736 | $13,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 19,229 | $13,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 18,262 | $12,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 31,387 | $12,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U116 | *W EXP 08/08/202 | 23,900 | $12,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 12,482 | $12,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 275,240 | $12,000 | thousands by filing date | |
| Borqs Technologies Inc. | G1466B111 | *W EXP 08/18/202 | 45,266 | $12,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 10,078 | $11,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 10,851 | $11,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 23,404 | $11,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W115 | *W EXP 06/01/202 | 14,500 | $11,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 31,369 | $10,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 12,348 | $10,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 26,314 | $10,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 11,795 | $10,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F138 | *W EXP 04/20/202 | 15,596 | $10,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM NEW | 759757602 | Stock | 53,475 | $10,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 27,198 | $9,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 11,011 | $9,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 34,816 | $9,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,079 | $8,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 47,244 | $8,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 24,100 | $8,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H104 | COM | 28,642 | $8,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 19,051 | $7,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 645,929 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 20,404 | $7,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 20,087 | $7,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 25,577 | $6,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 17,286 | $6,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 14,130 | $6,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,405 | $6,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 16,050 | $6,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 15,284 | $6,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 13,508 | $6,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 23,621 | $6,000 | thousands by filing date | |
| RENNOVA HEALTH INC | 759757123 | *W EXP 06/30/202 | 392,601 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 16,111 | $5,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 10,090 | $5,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 13,132 | $5,000 | thousands by filing date | |
| AVISTA HEALTHCARE PUB ACQ CO | G0726L117 | *W EXP 10/07/202 | 12,200 | $5,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 10,828 | $5,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 22,722 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 10,625 | $4,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 11,064 | $4,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 11,051 | $4,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 13,137 | $4,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 10,150 | $4,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 12,605 | $4,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 10,308 | $4,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C112 | *W EXP 06/16/202 | 11,629 | $4,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 13,156 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 15,042 | $4,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 33,928 | $4,000 | thousands by filing date | |
| CERECOR INC | 15671L117 | *W EXP 10/20/201 | 117,659 | $4,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 16,165 | $3,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 37,527 | $3,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B110 | *W EXP 03/07/202 | 14,510 | $3,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 13200M102 | Stock | 18,339 | $3,000 | thousands by filing date | |
| MONSTER DIGITAL INC | 61174L113 | *W EXP 99/99/999 | 19,138 | $3,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 16,328 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M115 | *W EXP 08/05/202 | 20,581 | $2,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 12,388 | $2,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 78,651 | $2,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 19,262 | $2,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 11,980 | $1,000 | thousands by filing date | |
| Soleno Therapeutics Inc Wt S E | 834203119 | W | 12,516 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 69,272 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTORI THERAPEUTICS INC | 23283K121 | *W EXP 12/09/201 | 10,504 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001533964-17-000007 | superseded | 2017-11-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001533964-17-000008 | this filing | 2017-11-20 | acceptance time not in the bulk data set |