13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 7,368 holding rows worth $641,804,831,000.
- Accession
- 0001567619-18-006115
- Filer
- CIK 70858
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 21,365 entries on the cover page, a total value of $641,804,831,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $641,804,831,000 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 |
|---|---|---|---|---|---|---|
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 650 | $21,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 4,510 | $21,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,888 | $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 | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 7,077 | $20,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 17,874 | $20,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $20,000 | thousands by filing date | |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 500 | $20,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 1,995 | $20,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 3,498 | $20,000 | thousands by filing date | |
| CDTI ADVANCED MATLS INC | 12514V204 | COM NEW | 10,303 | $20,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 1,900 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 973 | $20,000 | thousands by filing date | |
| SPDR SER TR | 78468R119 | S&P TECH H | 259 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 6,725 | $20,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 8,301 | $19,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 2,228 | $19,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,411 | $19,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 3,034 | $19,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,966 | $19,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 3,150 | $19,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 18,250 | $19,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,955 | $19,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,855 | $19,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 1,929 | $19,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 20,000 | $19,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 20,000 | $19,000 | thousands by filing date | principal |
| DITECH HLDG CORP | 25501G105 | COM | 4,453 | $19,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 20,000 | $19,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 21,000 | $19,000 | thousands by filing date | principal |
| LOOP INDS INC | 543518104 | COM | 1,791 | $18,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 770 | $18,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 887 | $18,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,831 | $18,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,196 | $18,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 6,554 | $18,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 2,500 | $18,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,043 | $17,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 542 | $17,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 2,000 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $17,000 | thousands by filing date | principal |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,133 | $17,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,217 | $17,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $17,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,440 | $17,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 9,662 | $17,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 9,542 | $17,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,069 | $17,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,080 | $17,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 5,042 | $17,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 964 | $17,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 796 | $17,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,554 | $17,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,761 | $17,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 582 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 330 | $17,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 200 | $16,000 | thousands by filing date | call |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 3,533 | $16,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,000 | $16,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 415 | $16,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 685 | $16,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,002 | $16,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $16,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,000 | $16,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 20,000 | $16,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 10,000 | $16,000 | thousands by filing date | principal |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,122 | $15,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 661 | $15,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,157 | $15,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,684 | $15,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 893 | $15,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,098 | $15,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 33,530 | $15,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 876 | $15,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,100 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E453 | PURBTA MSCI SM | 500 | $15,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 3,611 | $15,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 150 | $15,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 4,000 | $14,000 | thousands by filing date | call |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,167 | $14,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,471 | $14,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 193 | $14,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,000 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 200 | $14,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 13,391 | $14,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 5,822 | $14,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 6,318 | $14,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 3,482 | $14,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 743 | $14,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 1,225 | $14,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 4,033 | $14,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 4,868 | $14,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 1,000 | $14,000 | thousands by filing date | principal |
| LOVESAC COMPANY | 54738L109 | COM | 508 | $13,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 864 | $13,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,811 | $13,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 5,280 | $13,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,037 | $13,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 18,603 | $13,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $13,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 315 | $13,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $13,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,100 | $13,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,349 | $13,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 4,155 | $13,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 2,373 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G102 | LADRD FD US EQT | 415 | $13,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 6,044 | $13,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 139,335 | $13,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 100 | $13,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 2,730 | $13,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 2,447 | $13,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,314 | $13,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 18,595 | $13,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 10,000 | $13,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,054 | $12,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 1,089 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 239 | $12,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 2,000 | $12,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,189 | $12,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,435 | $12,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 1,144 | $12,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 4,740 | $12,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,853 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 460 | $12,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 404 | $12,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,048 | $12,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 961 | $12,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 733 | $12,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 500 | $12,000 | thousands by filing date | put |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,965 | $12,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 866 | $12,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,965 | $12,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 1,618 | $12,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 5,000 | $12,000 | thousands by filing date | call |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 12,000 | $12,000 | thousands by filing date | principal |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 734 | $12,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 436 | $12,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 38,503 | $12,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 295 | $12,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 3,770 | $12,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,308 | $12,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 4,000 | $12,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 384 | $12,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 12,467 | $12,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 1,000 | $11,000 | thousands by filing date | call |
| SOUND FINL BANCORP INC | 83607A100 | COM | 273 | $11,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,997 | $11,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 3,943 | $11,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 4,082 | $11,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 260 | $11,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,599 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 404 | $11,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,204 | $11,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 3,874 | $11,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 5,796 | $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 |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,101 | $11,000 | thousands by filing date | |
| SONIC FDRY INC | 83545R207 | COM NEW | 6,727 | $11,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 3,717 | $11,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 8,871 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 10,000 | $11,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 5,052 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 338 | $11,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $11,000 | thousands by filing date | principal |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 948 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H782 | BNCHMRK RS ETF | 400 | $11,000 | thousands by filing date | |
| INVESCO CURNCYSHS SNGPORE DL | 46138Y103 | SINGAPORE DLR | 157 | $11,000 | thousands by filing date | |
| GABELLI CONV&INCOM SECS FD I | 36240B125 | RIGHT 10/17/2018 | 126,338 | $11,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 841 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 658 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 105 | $10,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 3,020 | $10,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 977 | $10,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 3,589 | $10,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 824 | $10,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 7,535 | $10,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 3,673 | $10,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 4,904 | $10,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 4,950 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| SENOMYX INC | 81724Q107 | COM | 6,600 | $10,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $10,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 1,503 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 449 | $10,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 12,700 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 9,000 | $10,000 | thousands by filing date | principal |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $10,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 1,293 | $10,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,948 | $10,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $10,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 492 | $9,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 2,241 | $9,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 150 | $9,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 11,000 | $9,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 931 | $9,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 257 | $9,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 250 | $9,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 1,361 | $9,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 779 | $9,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,465 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 300 | $9,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 1,395 | $9,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 724 | $9,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,281 | $9,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 243 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $9,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 3,924 | $9,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 1,503 | $9,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 6,366 | $9,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,305 | $9,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 608 | $9,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 14,128 | $9,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,094 | $9,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 591 | $8,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $8,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 319 | $8,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,136 | $8,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,182 | $8,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 562 | $8,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 1,270 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,578 | $8,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 3,615 | $8,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 139,720 | $8,000 | thousands by filing date | principal |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,565 | $8,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 5,309 | $8,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 7,049 | $8,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 34,603 | $8,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 790 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $8,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 482 | $8,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 5,919 | $8,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 5,400 | $8,000 | thousands by filing date | call |
| JAGUAR HEALTH INC | 47010C300 | COM NEW | 9,657 | $8,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 2,848 | $8,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 3,044 | $8,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 1,099 | $8,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 36,864 | $8,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 8,000 | $8,000 | thousands by filing date | principal |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $8,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138G854 | ZACKS INTL MLT | 500 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051556 | XTRCK GERMNY EQT | 346 | $8,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 500 | $7,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $7,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,633 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 100 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $7,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 1,223 | $7,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 556 | $7,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 785 | $7,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 14,483 | $7,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 3,573 | $7,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 266 | $7,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 955 | $7,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 830 | $7,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 450 | $7,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,290 | $7,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,642 | $7,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 252 | $7,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 316 | $7,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 546 | $7,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 198 | $7,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 7,854 | $7,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,015 | $7,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 796 | $7,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 1,741 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $7,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 443 | $7,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 6,330 | $7,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 161 | $6,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 366 | $6,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 7,348 | $6,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 2,232 | $6,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,760 | $6,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 6,000 | $6,000 | thousands by filing date | principal |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 646 | $6,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 185 | $6,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 3,768 | $6,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,448 | $6,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,818 | $6,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 382 | $6,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,705 | $6,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 160 | $6,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 467 | $6,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 306 | $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 |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 3,437 | $6,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 2,151 | $6,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 792 | $6,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 432 | $6,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 2,812 | $6,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 3,560 | $6,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,861 | $6,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 169,857 | $6,000 | thousands by filing date | principal |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 705 | $6,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,189 | $6,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 1,377 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 443 | $6,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 3,000 | $6,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 299 | $6,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 1,239 | $6,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 7,687 | $6,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 2,177 | $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 |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 3,085 | $6,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 336 | $5,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 300 | $5,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 665 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 90 | $5,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 1,388 | $5,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 705 | $5,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $5,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 250 | $5,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 3,000 | $5,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 939 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 100 | $5,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 267 | $5,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 418 | $5,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 54 | $5,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 263 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,200 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $5,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 105 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 102 | $5,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 151 | $5,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 191 | $5,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 245 | $5,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 854 | $5,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 51 | $5,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 2,009 | $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 |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 5,011 | $5,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,911 | $5,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,144 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $5,000 | thousands by filing date | principal |
| GULF RESOURCES INC | 40251W309 | COM | 5,150 | $5,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $5,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 5,000 | $5,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 62,291 | $5,000 | thousands by filing date | principal |
| BROADWAY FINL CORP DEL | 111444105 | COM | 3,631 | $5,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 5,000 | $5,000 | thousands by filing date | principal |
| ASPEN GROUP INC | 04530L203 | COM NEW | 747 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 213 | $5,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 18,815 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,959 | $5,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 1,665 | $5,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 156 | $5,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 1,542 | $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 |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 479 | $5,000 | thousands by filing date | |
| COMMAND CENTER INC | 200497204 | COM NEW | 853 | $5,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 949 | $5,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $5,000 | thousands by filing date | principal |
| XG TECHNOLOGY INC | 98372A705 | COM PAR | 12,545 | $5,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 100 | $4,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 115 | $4,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 111 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,869 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 19,019 | $4,000 | thousands by filing date | principal |
| CRONOS GROUP INC | 22717L101 | COM | 400 | $4,000 | thousands by filing date | put |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,514 | $4,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 1,493 | $4,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 934 | $4,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 2,257 | $4,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 170 | $4,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,686 | $4,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 98 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 231 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 150 | $4,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 657 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 270 | $4,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 342 | $4,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 187 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 1,343 | $4,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,800 | $4,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 2,354 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 125 | $4,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 1,615 | $4,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 954 | $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 |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,322 | $4,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 1,936 | $4,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 253 | $4,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 2,294 | $4,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 2,482 | $4,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 925 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 378 | $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 | 148 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 100 | $4,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 1,059 | $4,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 2,512 | $4,000 | thousands by filing date | |
| AMERI HLDGS INC | 02362F104 | COM | 3,005 | $4,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 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 |
| REMARK HLDGS INC | 75955K102 | COM | 1,260 | $4,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 1,132 | $4,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 4,911 | $4,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,230 | $4,000 | thousands by filing date | principal |
| SECOO HLDG LTD | 81367P101 | ADR | 277 | $4,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 54 | $4,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 2,142 | $4,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 26,559 | $4,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 5,000 | $4,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 3,000 | $4,000 | thousands by filing date | principal |
| PB BANCORP INC | 70454T100 | COM | 298 | $4,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 10,000 | $4,000 | thousands by filing date | |
| TROVAGENE INC COM PAR | 897238408 | Stock | 5,388 | $4,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 4,000 | $4,000 | thousands by filing date | |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 5,000 | $4,000 | thousands by filing date | principal |
| Aceto Corp | 004446AD2 | CONV BOND | 5,000 | $4,000 | thousands by filing date | principal |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 288 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V746 | MIN VOL ASIA JAP | 115 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 153 | $4,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 4,000 | $4,000 | thousands by filing date | principal |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 3,000 | $4,000 | thousands by filing date | principal |
| RITEAID CORP | 767754104 | COM | 2,500 | $3,000 | thousands by filing date | call |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 353 | $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 | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 100 | $3,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,065 | $3,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 367 | $3,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 337 | $3,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 237 | $3,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 800 | $3,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 90 | $3,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 633 | $3,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 500 | $3,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 17,398 | $3,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,564 | $3,000 | thousands by filing date | principal |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,769 | $3,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 934 | $3,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 706 | $3,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 187 | $3,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 700 | $3,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 250 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 99 | $3,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 506 | $3,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 496 | $3,000 | thousands by filing date | |
| COHEN & CO INC NEW | 19249M102 | COM | 259 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 1,901 | $3,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 1,254 | $3,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 1,000 | $3,000 | thousands by filing date | |
| TAITRON COMPONENTS INC | 874028103 | CL A | 1,395 | $3,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 135 | $3,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 750 | $3,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 76 | $3,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 435 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 658 | $3,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 952 | $3,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 345 | $3,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 999 | $3,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,000 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 6,263 | $3,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 679 | $3,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 751 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 241 | $3,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 179 | $3,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 1,163 | $3,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,800 | $3,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 246 | $3,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 1,993 | $3,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 887 | $3,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 3,240 | $3,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 471 | $3,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 924 | $3,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 3,214 | $3,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 1,786 | $3,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 502 | $3,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 858 | $3,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K201 | COM NEW | 1,755 | $3,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 971 | $3,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 592 | $3,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 564 | $3,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 7,301 | $3,000 | thousands by filing date | |
| 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 | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 1,451 | $3,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 813 | $3,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 503 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| EDISON NATION INC | 28103E106 | COM | 340 | $3,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,275 | $3,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 933 | $3,000 | thousands by filing date | |
| PULMATRIX INC | 74584P103 | COM | 8,200 | $3,000 | thousands by filing date | |
| MEDICAL TRANSCRIPTION BLG CO | 58464J105 | COM | 510 | $3,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $3,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 1,650 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-18-006115 | this filing | 2018-11-14 | acceptance time not in the bulk data set |