13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-14, with 7,299 holding rows worth $603,711,687,000.
- Accession
- 0001567619-18-001119
- Filer
- CIK 70858
- Filed
- 2018-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 20,855 entries on the cover page, a total value of $603,711,687,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $603,711,687,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerBlue Ridge Investments, L.L.C.028-16009
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
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 |
|---|---|---|---|---|---|---|
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $20,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,548 | $20,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,000 | $20,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $20,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 3,800 | $20,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 3,490 | $20,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,000 | $20,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,550 | $20,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 236,260 | $20,000 | thousands by filing date | principal |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $20,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 1,043 | $20,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 3,911 | $20,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 650 | $20,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 20,000 | $20,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 973 | $20,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 1,169 | $20,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,058 | $19,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 4,000 | $19,000 | thousands by filing date | call |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 1,800 | $19,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,377 | $19,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 3,000 | $19,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 2,408 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 542 | $19,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,549 | $19,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 847 | $19,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,007 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 8,548 | $19,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,192 | $19,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 2,888 | $19,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 10,258 | $19,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 412 | $18,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 512 | $18,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 1,939 | $18,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 2,000 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $18,000 | thousands by filing date | principal |
| HARTE HANKS INC | 416196202 | COM | 1,638 | $18,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,185 | $18,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 26,447 | $18,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 1,138 | $18,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 18,250 | $18,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 2,942 | $18,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 3,197 | $18,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 30,824 | $17,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 729 | $17,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,133 | $17,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 5,457 | $17,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 770 | $17,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N691 | VICTORYSHS US | 609 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 182 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 449 | $17,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 964 | $17,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 4,224 | $17,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 16,000 | $17,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 955 | $17,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 7,709 | $17,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 13,868 | $17,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,884 | $17,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,049 | $17,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,001 | $17,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 4,300 | $17,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 904 | $17,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 616 | $17,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 248 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 330 | $17,000 | thousands by filing date | |
| PROOFPOINT INC | 743424AD5 | DBCV 0.750% 6/1 | 12,000 | $17,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,948 | $16,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,316 | $16,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,549 | $16,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 343 | $16,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $16,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $16,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,009 | $16,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 7,050 | $16,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,283 | $16,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 1,900 | $16,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,300 | $15,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 838 | $15,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 5,002 | $15,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,788 | $15,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 11,560 | $15,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,139 | $15,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $15,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,000 | $15,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 4,460 | $15,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 229 | $15,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 7,023 | $15,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 14,209 | $15,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 250 | $14,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 307 | $14,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 201 | $14,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,608 | $14,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,107 | $14,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,263 | $14,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,150 | $14,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 315 | $14,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,225 | $14,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 8,904 | $14,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 12,287 | $14,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 10,000 | $14,000 | thousands by filing date | principal |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 191 | $13,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 2,000 | $13,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,035 | $13,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L306 | SELECT WRLD WI | 479 | $13,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 662 | $13,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $13,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,212 | $13,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 3,392 | $13,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 226,502 | $13,000 | thousands by filing date | principal |
| KADMON HLDGS INC | 48283N106 | COM | 3,251 | $13,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 899 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 415 | $13,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 1,300 | $13,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 1,069 | $13,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 2,904 | $13,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,950 | $13,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 10,006 | $13,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 2,000 | $12,000 | thousands by filing date | call |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 2,182 | $12,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,048 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 479 | $12,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,349 | $12,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 500 | $12,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,030 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 423 | $12,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 961 | $12,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 12,000 | $12,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,940 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,243 | $12,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $12,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 100 | $12,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 4,080 | $12,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 1,000 | $12,000 | thousands by filing date | principal |
| CAMECO CORP COM | 13321L108 | Stock | 1,000 | $11,000 | thousands by filing date | call |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,760 | $11,000 | thousands by filing date | |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 754 | $11,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 391 | $11,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 500 | $11,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 404 | $11,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 868 | $11,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767876 | EMRNG MKT CONS | 472 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 404 | $11,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,695 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 9,000 | $11,000 | thousands by filing date | principal |
| SERVOTRONICS INC | 817732100 | COM | 1,209 | $11,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,101 | $11,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,203 | $11,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 4,200 | $11,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 684 | $11,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 7,000 | $11,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $11,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R119 | S&P TECH H | 153 | $11,000 | thousands by filing date | |
| INVESCO CURNCYSHS SNGPORE DL | 46138Y103 | SINGAPORE DLR | 157 | $11,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 759 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 250 | $10,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,000 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 315 | $10,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,532 | $10,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 612 | $10,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,201 | $10,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 706 | $10,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 6,365 | $10,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 1,186 | $10,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 3,102 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 4,500 | $10,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $10,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,773 | $10,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 400 | $10,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,100 | $10,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,349 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 10,000 | $10,000 | thousands by filing date | principal |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $10,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $10,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138G854 | ZACKS INTL MLT | 580 | $10,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 4,000 | $10,000 | thousands by filing date | principal |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $10,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 639 | $10,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 680 | $9,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 785 | $9,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 403 | $9,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 1,677 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,395 | $9,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 1,584 | $9,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 1,000 | $9,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $9,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,875 | $9,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $9,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 225 | $9,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 3,924 | $9,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,338 | $9,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 20,000 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 421 | $9,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 250 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 375 | $9,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 6,176 | $9,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 859 | $9,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 600 | $9,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $9,000 | thousands by filing date | principal |
| IShares Edge MSCI Min Vol | 464289115 | STK IDX | 308 | $9,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 623 | $8,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $8,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 449 | $8,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $8,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $8,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 965 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,578 | $8,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,480 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 300 | $8,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 724 | $8,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 665 | $8,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 450 | $8,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 8,000 | $8,000 | thousands by filing date | principal |
| SENOMYX INC | 81724Q107 | COM | 6,600 | $8,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 10,572 | $8,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 34,603 | $8,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 227 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 180 | $8,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 600 | $8,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 9,000 | $8,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 3,175 | $8,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 380 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $8,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 2,476 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 222 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 361 | $8,000 | thousands by filing date | |
| TINTRI INC | 88770Q105 | COM | 34,472 | $8,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 10,000 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,450 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 360 | $7,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 800 | $7,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,600 | $7,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,016 | $7,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 700 | $7,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 2,068 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $7,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 762 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 152 | $7,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 553 | $7,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 3,024 | $7,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,450 | $7,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 2,500 | $7,000 | thousands by filing date | call |
| SONIC FDRY INC | 83545R207 | COM NEW | 2,970 | $7,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $7,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,000 | $7,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $7,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 15,817 | $7,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 5,734 | $7,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 5,500 | $7,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 2,106 | $7,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR CONSUMER DISCRETIONARY ETF | 46435G623 | ETF | 201 | $7,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 300 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 250 | $6,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 707 | $6,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 303 | $6,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 404 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $6,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,683 | $6,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 6,000 | $6,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $6,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 500 | $6,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 556 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 87 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q536 | DYNA CORE IN ETF | 238 | $6,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,245 | $6,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 1,967 | $6,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 2,000 | $6,000 | thousands by filing date | principal |
| Misonix Inc | 604871103 | COM | 500 | $6,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 500 | $6,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 2,826 | $6,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,500 | $6,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $6,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 4,440 | $6,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 3,923 | $6,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 3,000 | $6,000 | thousands by filing date | principal |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 327 | $6,000 | thousands by filing date | |
| MABVAX THERAPEUTICS | 55414P702 | Equities | 6,664 | $6,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 79 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 730 | $6,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 359 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 23,312 | $5,000 | thousands by filing date | principal |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 118 | $5,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 11,000 | $5,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 277 | $5,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 2,572 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,200 | $5,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,403 | $5,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 10,000 | $5,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 966 | $5,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 763 | $5,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 1,624 | $5,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 313 | $5,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 6,625 | $5,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 433 | $5,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 146,520 | $5,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $5,000 | thousands by filing date | principal |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 713 | $5,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 22,370 | $5,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 5,000 | $5,000 | thousands by filing date | principal |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 1,164 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,375 | $5,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 2,000 | $5,000 | thousands by filing date | principal |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 394 | $5,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,911 | $5,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 5,000 | $5,000 | thousands by filing date | principal |
| COMMAND CENTER INC | 200497204 | COM NEW | 832 | $5,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,006 | $5,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,000 | $5,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 509 | $5,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 10,127 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 186 | $5,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,275 | $5,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 2,661 | $5,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 833 | $5,000 | thousands by filing date | |
| Egalet Corporation | 28226BAB0 | Note 5.50% 4/1/20 | 15,000 | $5,000 | thousands by filing date | principal |
| RITEAID CORP | 767754104 | COM | 2,500 | $4,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 115 | $4,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 766 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 288 | $4,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,335 | $4,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 501 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 226 | $4,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 408 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 2,462 | $4,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,800 | $4,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $4,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 5,000 | $4,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 450 | $4,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,000 | $4,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 3,414 | $4,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,899 | $4,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,791 | $4,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $4,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,800 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 157 | $4,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 400 | $4,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 192 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W163 | ULTRA VIX SHORT | 300 | $4,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 4,000 | $4,000 | thousands by filing date | principal |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 540 | $4,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 1,108 | $4,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 331 | $4,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 743 | $4,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R118 | UNIT 01/01/2025 | 370 | $4,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $4,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 496 | $4,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 3,000 | $4,000 | thousands by filing date | principal |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 230 | $3,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 61 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 146 | $3,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 325 | $3,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 109 | $3,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 100 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,565 | $3,000 | thousands by filing date | principal |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 250 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 95 | $3,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 3,437 | $3,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 1,900 | $3,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 146 | $3,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 394 | $3,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,542 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 658 | $3,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 8,603 | $3,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,000 | $3,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 2,100 | $3,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 1,600 | $3,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 9,861 | $3,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 1,242 | $3,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 114 | $3,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,700 | $3,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 355 | $3,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 951 | $3,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 972 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 211 | $3,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SIGMA LABS INC | 826598302 | COM PAR | 3,000 | $3,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 2,275 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $3,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 3,000 | $3,000 | thousands by filing date | principal |
| ISHARES TR | 46435G854 | MSCI ACWI ETF | 108 | $3,000 | thousands by filing date | |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 2,000 | $3,000 | thousands by filing date | principal |
| ESSENTIAL PPTYS RLTY TR INC COM | 29670E107 | REIT | 130 | $2,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 100 | $2,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 694 | $2,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 237 | $2,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 41 | $2,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 592 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 125 | $2,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 250 | $2,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,000 | $2,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 94 | $2,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 127 | $2,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 248 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 43 | $2,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 194 | $2,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 143 | $2,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 804 | $2,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 84 | $2,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,181 | $2,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 625 | $2,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 2,546 | $2,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,061 | $2,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 100 | $2,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 509 | $2,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 200 | $2,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 200 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $2,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 1,000 | $2,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,000 | $2,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,050 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 3,500 | $2,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 195 | $2,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 410 | $2,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 4,923 | $2,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 306 | $2,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 1,000 | $2,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 647 | $2,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 1,014 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,218 | $2,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 325 | $2,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 653 | $2,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 79 | $2,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 157 | $2,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 770 | $2,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 751 | $2,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 1,700 | $2,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 4,000 | $2,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108706 | Cmn | 100 | $2,000 | thousands by filing date | |
| PRECISION THERAPEUTICS INC | 74033P100 | COM | 1,696 | $2,000 | thousands by filing date | |
| NOVUME SOLUTIONS INC | 67012D106 | COM | 1,498 | $2,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 4,296 | $2,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 76 | $1,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 147 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 619 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 694 | $1,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 304 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 20 | $1,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 94 | $1,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 1,200 | $1,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 223 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 104 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 1,500 | $1,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 119 | $1,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 29 | $1,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 50 | $1,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 299 | $1,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 141 | $1,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 280 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 32 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 29 | $1,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 139 | $1,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 291 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 50 | $1,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 290 | $1,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 5 | $1,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 1,300 | $1,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 500 | $1,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 325 | $1,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,400 | $1,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 217 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 34 | $1,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 590 | $1,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 200 | $1,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 310 | $1,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 118 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 250 | $1,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 16 | $1,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 1,065 | $1,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 200 | $1,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 200 | $1,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 448 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 404 | $1,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 257 | $1,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 100 | $1,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 187 | $1,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 200 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 342 | $1,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 50 | $1,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 600 | $1,000 | thousands by filing date | |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 5,295 | $1,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 625 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-18-001119 | this filing | 2018-08-14 | acceptance time not in the bulk data set |