13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 7,322 holding rows worth $569,252,234,000.
- Accession
- 0001567619-19-004235
- Filer
- CIK 70858
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 21,516 entries on the cover page, a total value of $569,252,234,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $569,252,234,000 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 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 |
|---|---|---|---|---|---|---|
| MELINTA THERAPEUTICS INC | 58549G100 | COM | 24,198 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 595 | $19,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 15,903 | $19,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 5,431 | $18,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,130 | $18,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $18,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 10,000 | $18,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 41,157 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 765 | $18,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C773 | ESG REV ETF | 650 | $18,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,200 | $18,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 4,614 | $18,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 727 | $18,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 28,600 | $17,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 5,900 | $17,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 2,131 | $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 |
| XBIOTECH INC | 98400H102 | COM | 3,301 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 780 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F122 | MRNGSTR GBL WIDE | 672 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 356 | $17,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 628 | $17,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,000 | $17,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 9,022 | $17,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 42,363 | $17,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 15,941 | $17,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 4,313 | $17,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,192 | $17,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 6,847 | $17,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 24,099 | $17,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 23,650 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X255 | EUROPE MULTIFCTR | 651 | $17,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 4,080 | $16,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 931 | $16,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 2,028 | $16,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 1,847 | $16,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 13,510 | $16,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 13,409 | $16,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,022 | $16,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 8,531 | $16,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 3,027 | $16,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 1,389 | $16,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,656 | $16,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 400 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 908 | $16,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 16,000 | $16,000 | thousands by filing date | principal |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 648 | $16,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 21,000 | $16,000 | thousands by filing date | principal |
| AON PLC | G0408V102 | SHS CL A | 100 | $15,000 | thousands by filing date | call |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 6,519 | $15,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 4,400 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 673 | $15,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 516 | $15,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 10,000 | $15,000 | thousands by filing date | call |
| CTI BIOPHARMA CORP | 12648L601 | COM | 20,967 | $15,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 16,843 | $15,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 70,500 | $15,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 1,702 | $15,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,085 | $15,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,037 | $15,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 20,000 | $15,000 | thousands by filing date | principal |
| ZYMEWORKS INC | 98985W102 | COM | 1,000 | $15,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 36,835 | $15,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 15,000 | $15,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 14,000 | $15,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 12,223 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 412 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 303 | $14,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 6,127 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 493 | $14,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 771 | $14,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,600 | $14,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 49,188 | $14,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 6,336 | $14,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 5,007 | $14,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 315 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,500 | $14,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,400 | $14,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 14,000 | $14,000 | thousands by filing date | principal |
| SHARPSPRING INC | 820054104 | COM | 1,100 | $14,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 2,407 | $14,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 100 | $13,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 1,064 | $13,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,686 | $13,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,864 | $13,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 434 | $13,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 926 | $13,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 733 | $13,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 6,009 | $13,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 19,000 | $13,000 | thousands by filing date | principal |
| PROFIRE ENERGY INC | 74316X101 | COM | 9,384 | $13,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 19,000 | $13,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 10,637 | $13,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 4,000 | $13,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 4,000 | $12,000 | thousands by filing date | call |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,054 | $12,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,259 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 500 | $12,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,672 | $12,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 5,000 | $12,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,819 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 416 | $12,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 5,000 | $12,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 11,000 | $12,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 8,500 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $12,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 11,501 | $12,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 13,340 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 20,000 | $12,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 15,000 | $12,000 | thousands by filing date | principal |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 6,476 | $12,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 2,606 | $12,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 750 | $11,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 977 | $11,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 1,000 | $11,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 075896100 | COM | 1,000 | $11,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 450 | $11,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 14,621 | $11,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 9,006 | $11,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 6,000 | $11,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 15,949 | $11,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 7,220 | $11,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $11,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 140 | $11,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 11,000 | $11,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 12,000 | $11,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 4,000 | $11,000 | thousands by filing date | principal |
| CONTRAFECT CORP | 212326102 | COM | 7,050 | $11,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 1,104 | $11,000 | thousands by filing date | |
| INVESCO CURNCYSHS SNGPORE DL | 46138Y103 | SINGAPORE DLR | 157 | $11,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,589 | $10,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 404 | $10,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 2,000 | $10,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 125 | $10,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 900 | $10,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,714 | $10,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 7,000 | $10,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,766 | $10,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 659 | $10,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 891 | $10,000 | thousands by filing date | |
| LINCOLN NATL CORP IND | 534187117 | *W EXP 07/10/201 | 200 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 587 | $10,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 491 | $10,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,202 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 416 | $10,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| PACER FDS TR | 69374H782 | BNCHMRK RS ETF | 400 | $10,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 12,767 | $10,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 100 | $9,000 | thousands by filing date | put |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 700 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 105 | $9,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 260 | $9,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,229 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,256 | $9,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 917 | $9,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 800 | $9,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,540 | $9,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 2,585 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 33,000 | $9,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 2,335 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 500 | $9,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 443 | $9,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 9,000 | $9,000 | thousands by filing date | principal |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 169 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,329 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 12,450 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 649 | $8,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 2,133 | $8,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 214 | $8,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 1,328 | $8,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 9,100 | $8,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 769 | $8,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,365 | $8,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 700 | $8,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 3,589 | $8,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 725 | $8,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 4,000 | $8,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 12,144 | $8,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 1,572 | $8,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 36,864 | $8,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 800 | $8,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 8,000 | $8,000 | thousands by filing date | principal |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 100 | $8,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 618 | $8,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 350 | $8,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E503 | CHINA ALL CAP | 277 | $8,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $7,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 2,327 | $7,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 1,118 | $7,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,500 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,016 | $7,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 1,683 | $7,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 4,572 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 150 | $7,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 254 | $7,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 835 | $7,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,431 | $7,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 7,000 | $7,000 | thousands by filing date | principal |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 3,234 | $7,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 3,622 | $7,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,600 | $7,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 5,125 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $7,000 | thousands by filing date | |
| RETO ECO SOLUTIONS INC | G75271109 | COM | 5,405 | $7,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,902 | $7,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,750 | $7,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 243 | $7,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 6,966 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 444 | $7,000 | thousands by filing date | |
| Arsanis Inc | 042873109 | COM | 3,277 | $7,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,283 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G854 | ZACKS INTL MLT | 500 | $7,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,948 | $7,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 726 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 301 | $7,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS LTD | M1492T105 | SHS | 1,448 | $7,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 263 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,880 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 11,000 | $6,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 800 | $6,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 195 | $6,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $6,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 339 | $6,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 711 | $6,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 505 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 357 | $6,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 556 | $6,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 100 | $6,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 12,888 | $6,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 109,932 | $6,000 | thousands by filing date | principal |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,168 | $6,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 6,000 | $6,000 | thousands by filing date | principal |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 955 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 800 | $6,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 3,101 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 1,200 | $6,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 498 | $6,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 3,812 | $6,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 2,178 | $6,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,000 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6,000 | $6,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 238 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 200 | $6,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 8,000 | $6,000 | thousands by filing date | principal |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 20,000 | $6,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 3,519 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 289 | $6,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $6,000 | thousands by filing date | principal |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 382 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 234 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 114 | $5,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 705 | $5,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 564 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 100 | $5,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 300 | $5,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 671 | $5,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 214 | $5,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 412 | $5,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,405 | $5,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 406 | $5,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 13,531 | $5,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,397 | $5,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 1,375 | $5,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 450 | $5,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 436 | $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 |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 47,103 | $5,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,012 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 7,000 | $5,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $5,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $5,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,950 | $5,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,164 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,375 | $5,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 9,743 | $5,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 3,028 | $5,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 1,000 | $5,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 292 | $5,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T107 | COM | 10,298 | $5,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q506 | DIVRSFD RT INT | 199 | $5,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C674 | RUSL 1000 QTLY | 222 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 42 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 115 | $4,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,978 | $4,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 7,548 | $4,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 2,271 | $4,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 624 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 312 | $4,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 5,511 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,071 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $4,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 500 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 409 | $4,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 244 | $4,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 9,090 | $4,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 1,105 | $4,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 51 | $4,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 3,266 | $4,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 253 | $4,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 319 | $4,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 250 | $4,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,000 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 157 | $4,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 52,420 | $4,000 | thousands by filing date | principal |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 4,100 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 250 | $4,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 699 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 125 | $4,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 7,687 | $4,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 2,362 | $4,000 | thousands by filing date | principal |
| SECOO HLDG LTD | 81367P101 | ADR | 465 | $4,000 | thousands by filing date | |
| National Holdings Corporation | 636375206 | COM NEW | 1,523 | $4,000 | thousands by filing date | |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 5,000 | $4,000 | thousands by filing date | principal |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 4,528 | $4,000 | thousands by filing date | principal |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 300 | $4,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 651 | $4,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAB8 | NOTE 2.250 7/0 | 2,000 | $4,000 | thousands by filing date | principal |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 186 | $3,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 134 | $3,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 242 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 57 | $3,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 200 | $3,000 | thousands by filing date | call |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 206 | $3,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 948 | $3,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 93 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,318 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,564 | $3,000 | thousands by filing date | principal |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 67 | $3,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 150 | $3,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 250 | $3,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 1,747 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $3,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,222 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 3,024 | $3,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $3,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,044 | $3,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 237 | $3,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 642 | $3,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 970 | $3,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,129 | $3,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 3,105 | $3,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 1,880 | $3,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,899 | $3,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 1,050 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,501 | $3,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 2,100 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 2,202 | $3,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,000 | $3,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 230 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 378 | $3,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $3,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 3,924 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,338 | $3,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 19,610 | $3,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 529 | $3,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 4,730 | $3,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,959 | $3,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 8,871 | $3,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 4,000 | $3,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 1,050 | $3,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,052 | $3,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 466 | $3,000 | thousands by filing date | |
| NIGHTSTAR THERAPEUTICS PLC | 65413A101 | ADR | 270 | $3,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 57 | $3,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 713 | $3,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 194 | $3,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 3,000 | $3,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L207 | COM NEW | 5,161 | $3,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 1,000 | $3,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 547 | $3,000 | thousands by filing date | |
| VALERITAS HLDGS INC | 91914N202 | COM NEW | 10,000 | $3,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 3,000 | $3,000 | thousands by filing date | principal |
| SMAAASH ENTERTAINMENT INC | 831550108 | COM | 1,528 | $3,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 2,500 | $2,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 324 | $2,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 3,500 | $2,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 252 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 45 | $2,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 325 | $2,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 249 | $2,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 2,401 | $2,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 107 | $2,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 173 | $2,000 | thousands by filing date | |
| JERASH HLDGS US INC | 47632P101 | CMN | 296 | $2,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 614 | $2,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 147 | $2,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 3,200 | $2,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 115 | $2,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 513 | $2,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 311 | $2,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 100 | $2,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 383 | $2,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,500 | $2,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 522 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 203 | $2,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 300 | $2,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,000 | $2,000 | thousands by filing date | call |
| ID SYSTEMS INC | 449489103 | COM | 420 | $2,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 3,861 | $2,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 96,177 | $2,000 | thousands by filing date | principal |
| GLOBALSCAPE INC | 37940G109 | COM | 348 | $2,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 178 | $2,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 278 | $2,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 337 | $2,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 984 | $2,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 1,000 | $2,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 66 | $2,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 1,059 | $2,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 2,000 | $2,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| STEEL CONNECT INC | 858098106 | CMN | 1,000 | $2,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 148 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 91 | $2,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 143 | $2,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 500 | $2,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 799 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 75 | $2,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 227 | $2,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 3,189 | $2,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 10,000 | $2,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 4,000 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $2,000 | thousands by filing date | principal |
| PULMATRIX INC | 74584P103 | COM | 9,700 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 5,500 | $2,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K506 | COM NEW | 2,375 | $2,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $2,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 1,200 | $1,000 | thousands by filing date | call |
| ENDAVA PLC ADS | 29260V105 | ADR | 44 | $1,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 394 | $1,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 43 | $1,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 519 | $1,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 325 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 324 | $1,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 334 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 258 | $1,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 184 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 95 | $1,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 136 | $1,000 | thousands by filing date | |
| INTERLINK ELECTRS INC | 458751302 | COM NEW | 497 | $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 | 297 | $1,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 205 | $1,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 108 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 32 | $1,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 1,400 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 192 | $1,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 128 | $1,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 213 | $1,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 646 | $1,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 150 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 67 | $1,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 51 | $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 | |
| Cango Inc/KY | 137586103 | ADS | 100 | $1,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 48 | $1,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 762 | $1,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 465 | $1,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 739 | $1,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,400 | $1,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 358 | $1,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 600 | $1,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,181 | $1,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 682 | $1,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 824 | $1,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 255 | $1,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 185 | $1,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 850 | $1,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 402 | $1,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 600 | $1,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 1,000 | $1,000 | thousands by filing date | principal |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 1,000 | $1,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 635 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 500 | $1,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 200 | $1,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 250 | $1,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 10,825 | $1,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 604 | $1,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 200 | $1,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 296 | $1,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 295 | $1,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 1,619 | $1,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 254 | $1,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 449 | $1,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 428 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-004235 | this filing | 2019-02-14 | acceptance time not in the bulk data set |