13F-HR/A filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR/A for the quarter ended 2018-09-30, filed 2021-12-21, with 5,427 holding rows worth $197,754,787,000.
- Accession
- 0000948046-21-000195
- Filer
- CIK 948046
- Filed
- 2021-12-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, amendment of type new holdings, 22,632 entries on the cover page, a total value of $197,754,787,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $197,754,787,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRussell Investments Group, Ltd.028-17598
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDWS Investment GmbH028-10155
- included managerDWS INVESTMENT MANAGEMENT AMERICAS, INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Bank (Suisse) SA028-11509
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerDWS Investments UK Ltd028-13988
- included managerDBX Advisors LLC028-18169
- included managerDWS Investments Hong Kong Ltd028-19303
- included managerSAL Oppenheim Jr. & Cie.AG & Co.KGaA028-13922
- included managerDWS Investment S.A.028-19307
- included managerDWS International GmbH028-19304
- included managerQuaystreet Asset Management Ltd028-19625
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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 179 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 235 | $15,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 300 | $15,000 | thousands by filing date | call |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 555 | $15,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 300 | $15,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 300 | $15,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 600 | $15,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 5,200 | $15,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 2,600 | $15,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 61 | $14,000 | thousands by filing date | put |
| PVH CORPORATION COM | 693656100 | Stock | 100 | $14,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 496 | $14,000 | thousands by filing date | put |
| DISCOVER FINL SVCS | 254709108 | COM | 178 | $14,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 300 | $14,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 1,000 | $14,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 1,729 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 335 | $14,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 7,600 | $14,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 170 | $14,000 | thousands by filing date | put |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 800 | $14,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 2,964 | $14,000 | thousands by filing date | |
| MATLIN & PARTNERS ACQUISITIO | 57682V114 | *W EXP 05/28/202 | 18,500 | $14,000 | thousands by filing date | call |
| Costco Wholesale Corporation | 22160K105 | COM | 54 | $13,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 103 | $13,000 | thousands by filing date | call |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 143 | $13,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,900 | $13,000 | thousands by filing date | call |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 231 | $13,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 261 | $13,000 | thousands by filing date | put |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 139 | $13,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 758 | $13,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 385 | $13,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 4,875 | $13,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 1,600 | $13,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,605 | $13,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 700 | $13,000 | thousands by filing date | call |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 689 | $13,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 56 | $12,000 | thousands by filing date | put |
| Texas Instruments Incorporated | 882508104 | COM | 113 | $12,000 | thousands by filing date | call |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 500 | $12,000 | thousands by filing date | call |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,588 | $12,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 288 | $12,000 | thousands by filing date | call |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 373 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 236 | $12,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 172 | $12,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 548 | $12,000 | thousands by filing date | call |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 4,104 | $12,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 674 | $12,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,000 | $12,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 8,500 | $12,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 159 | $11,000 | thousands by filing date | call |
| EXELON CORP COM | 30161N101 | Stock | 241 | $11,000 | thousands by filing date | call |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 183 | $11,000 | thousands by filing date | put |
| NUTANIX INC CL A | 67059N108 | Stock | 250 | $11,000 | thousands by filing date | call |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 350 | $11,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 48 | $11,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 517 | $11,000 | thousands by filing date | call |
| LOOP INDS INC | 543518104 | COM | 1,128 | $11,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 1,200 | $11,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 3,067 | $11,000 | thousands by filing date | put |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 400 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 300 | $11,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 453 | $11,000 | thousands by filing date | call |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 539 | $11,000 | thousands by filing date | call |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 280 | $11,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 4,242 | $11,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 4,831 | $11,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,265 | $11,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 242 | $11,000 | thousands by filing date | call |
| LIPOCINE INC NEW | 53630X104 | CMN | 7,900 | $11,000 | thousands by filing date | |
| LEVEL BRANDS INC | 52730Q209 | COM NEW | 2,984 | $11,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 2,100 | $11,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 129 | $10,000 | thousands by filing date | call |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 92 | $10,000 | thousands by filing date | call |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 400 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 193 | $10,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 550 | $10,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 1,500 | $10,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 215 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 237 | $10,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,376 | $10,000 | thousands by filing date | call |
| AQUA METALS INC | 03837J101 | COM | 4,000 | $10,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 1,229 | $10,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 5,826 | $10,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 3,536 | $10,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 1,896 | $10,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,740 | $10,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 651 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 1,761 | $10,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K166 | DAILY EUROPEAN | 300 | $10,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 1,300 | $10,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 112 | $9,000 | thousands by filing date | call |
| INCYTE CORP COM | 45337C102 | Stock | 137 | $9,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 613 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 257 | $9,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 187 | $9,000 | thousands by filing date | put |
| ARCONIC INC | 03965L100 | COM | 420 | $9,000 | thousands by filing date | put |
| CENTURY ALUM CO | 156431108 | COM | 779 | $9,000 | thousands by filing date | call |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 3,193 | $9,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,087 | $9,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 397 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 202 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 300 | $9,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,094 | $9,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,000 | $9,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,800 | $9,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 400 | $9,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 9,263 | $9,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 730 | $9,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 347 | $8,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 181 | $8,000 | thousands by filing date | call |
| S&P Global,Inc. | 78409V104 | COM | 40 | $8,000 | thousands by filing date | call |
| VANGUARD STAR FDS | 921909768 | COM | 145 | $8,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 100 | $8,000 | thousands by filing date | put |
| INVESCO LTD SHS | G491BT108 | Stock | 340 | $8,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 146 | $8,000 | thousands by filing date | call |
| FRONTDOOR INC COM | 35905A109 | Stock | 195 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 57 | $8,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 112 | $8,000 | thousands by filing date | put |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 36,983 | $8,000 | thousands by filing date | principal |
| UNDER ARMOUR INC | 904311107 | CL A | 355 | $8,000 | thousands by filing date | put |
| BUNGE LTD | G16962105 | COM | 114 | $8,000 | thousands by filing date | call |
| MYLAN NV | N59465109 | SHS EURO | 219 | $8,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 780 | $8,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 80 | $8,000 | thousands by filing date | call |
| BT GROUP-ADR | 05577E101 | ADR | 552 | $8,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 898 | $8,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 1,091 | $8,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 599 | $8,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 3,080 | $8,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,615 | $8,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,126 | $8,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,025 | $8,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 452 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 277 | $8,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 40,543 | $8,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 1,000 | $8,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 4,000 | $8,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,458 | $8,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 96 | $7,000 | thousands by filing date | call |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 150 | $7,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 200 | $7,000 | thousands by filing date | call |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 192 | $7,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 81 | $7,000 | thousands by filing date | put |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 253 | $7,000 | thousands by filing date | put |
| YUM BRANDS INC COM | 988498101 | Stock | 80 | $7,000 | thousands by filing date | put |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 23 | $7,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 530 | $7,000 | thousands by filing date | call |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 300 | $7,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 185 | $7,000 | thousands by filing date | call |
| ALLERGAN PLC | G0177J108 | SHS | 37 | $7,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 13,761 | $7,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 274 | $7,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 9,400 | $7,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 4,400 | $7,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 200 | $7,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 1,000 | $7,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 3,056 | $7,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 1,973 | $7,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 2,300 | $7,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 1,995 | $7,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 454 | $7,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 62 | $6,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 174 | $6,000 | thousands by filing date | put |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 209 | $6,000 | thousands by filing date | call |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 295 | $6,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 853 | $6,000 | thousands by filing date | put |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,400 | $6,000 | thousands by filing date | call |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 267 | $6,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 100 | $6,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 100 | $6,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 3,800 | $6,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 871 | $6,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 600 | $6,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 538 | $6,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,605 | $6,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 111 | $5,000 | thousands by filing date | call |
| Eli Lilly and Company | 532457108 | COM | 47 | $5,000 | thousands by filing date | call |
| KKR & CO INC | 48251W104 | COM | 200 | $5,000 | thousands by filing date | call |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 22 | $5,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 60 | $5,000 | thousands by filing date | put |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,000 | $5,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 600 | $5,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 36 | $5,000 | thousands by filing date | call |
| EVERPURE INC CL A | 74624M102 | Stock | 200 | $5,000 | thousands by filing date | call |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 170 | $5,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 925 | $5,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 200 | $5,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 215 | $5,000 | thousands by filing date | call |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 100 | $5,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 927 | $5,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 866 | $5,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 101 | $5,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 100 | $5,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 600 | $5,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 2,600 | $5,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 1,050 | $5,000 | thousands by filing date | call |
| ISHARES TR | 46429B135 | INT PFD STK FD | 300 | $5,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 4,302 | $5,000 | thousands by filing date | |
| Hometown Bankshares Corp | 43787n108 | com | 350 | $5,000 | thousands by filing date | |
| INSPIREMD INC | 45779A861 | COM PAR | 24,700 | $5,000 | thousands by filing date | |
| IT TECH PACKAGING INC | 46527C100 | COM NEW | 6,200 | $5,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 1,800 | $5,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 24 | $4,000 | thousands by filing date | call |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 786 | $4,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 29 | $4,000 | thousands by filing date | put |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 65 | $4,000 | thousands by filing date | put |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 480 | $4,000 | thousands by filing date | call |
| INVESCO BULLETSHARES 2019 HIGH | 46138J403 | BULSHS 2019 HY | 161 | $4,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 730 | $4,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 173 | $4,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 8,000 | $4,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 70 | $4,000 | thousands by filing date | call |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 114 | $4,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 50 | $4,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 14,490 | $4,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 820 | $4,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 41 | $3,000 | thousands by filing date | call |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 71 | $3,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 31 | $3,000 | thousands by filing date | put |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 135 | $3,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 147 | $3,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 87 | $3,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 100 | $3,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 300 | $3,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 150 | $3,000 | thousands by filing date | call |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 500 | $3,000 | thousands by filing date | call |
| MICROBOT MED INC | 59503A204 | COM NEW | 348 | $3,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,448 | $3,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 100 | $3,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 612 | $3,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 997 | $3,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 10,992 | $3,000 | thousands by filing date | principal |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 500 | $3,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 400 | $3,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 223 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 142 | $3,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 2,100 | $3,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,049 | $3,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 378 | $3,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 337 | $3,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 1,037 | $3,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 14 | $2,000 | thousands by filing date | call |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 15 | $2,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 13 | $2,000 | thousands by filing date | call |
| QORVO INC COM | 74736K101 | Stock | 33 | $2,000 | thousands by filing date | call |
| 3M CO COM | 88579Y101 | Stock | 10 | $2,000 | thousands by filing date | put |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 471 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V258 | S&P500 PUR VAL | 32 | $2,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 100 | $2,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 20 | $2,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 86 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 538 | $2,000 | thousands by filing date | call |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 110 | $2,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 50 | $2,000 | thousands by filing date | call |
| AZUL S A | 05501U106 | OPT | 100 | $2,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 582 | $2,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,416 | $2,000 | thousands by filing date | put |
| NEONODE INC | 64051M402 | COM NEW | 6,202 | $2,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 1,800 | $2,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 1,502 | $2,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 1,499 | $2,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 4,094 | $2,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 810 | $2,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 300 | $2,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 2,300 | $2,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 130 | $2,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 1,500 | $2,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G207 | HORIZONS DAX GER | 68 | $2,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 220 | $2,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 5 | $1,000 | thousands by filing date | call |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 2 | $1,000 | thousands by filing date | call |
| DILLARDS INC CL A | 254067101 | Stock | 17 | $1,000 | thousands by filing date | put |
| RAMBUS INC DEL COM | 750917106 | Stock | 50 | $1,000 | thousands by filing date | call |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 8 | $1,000 | thousands by filing date | call |
| MCKESSON CORP COM | 58155Q103 | Stock | 10 | $1,000 | thousands by filing date | call |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 600 | $1,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 701 | $1,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 105 | $1,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 11 | $1,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 32 | $1,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 37 | $1,000 | thousands by filing date | call |
| GAMESTOP CORP | 36467W109 | CL A | 95 | $1,000 | thousands by filing date | call |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 100 | $1,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 11 | $1,000 | thousands by filing date | call |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 100 | $1,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 84 | $1,000 | thousands by filing date | call |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 111 | $1,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 164 | $1,000 | thousands by filing date | call |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 100 | $1,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 92 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 12 | $1,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 239 | $1,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 100 | $1,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 169 | $1,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 200 | $1,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 100 | $1,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 190 | $1,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 2,110 | $1,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 400 | $1,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 200 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 18 | $1,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 21 | $1,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 440 | $1,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 500 | $1,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 100 | $1,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,905 | $1,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 52 | $1,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 300 | $1,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 2,300 | $1,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 300 | $1,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 130 | $1,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 800 | $1,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 200 | $1,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 464 | $1,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 310 | $1,000 | thousands by filing date | |
| YANGTZE RIV PORT AND LGSTC L | 98475Y105 | COM | 100 | $1,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 100 | $1,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 400 | $1,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 1,625 | $1,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 5,727 | $1,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC | 85855A302 | COM | 500 | $1,000 | thousands by filing date | |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 100 | $1,000 | thousands by filing date | |
| NEMAURA MED INC | 640442109 | COM | 300 | $1,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 450 | $1,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W302 | COM PAR | 1,050 | $1,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Global Healthcare ETF | 464287325 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTIMMUNE INC | 02155H200 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROVISION INC DEL | 594960304 | COM NEW | 187 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 18 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESEARCH FRONTIERS INC | 760911107 | COM | 106 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 222 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVALON HLDGS CORP | 05343P109 | CL A | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Zedge Inc | 98923T104 | COM | 271 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMSTOCK HLDG COS INC | 205684202 | CL A NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANECK LONG/FLAT TREND ETF | 92189F148 | LONG/FLAT TREND | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 100 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDCORP INC NEW | 380956409 | COM | 40 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 78 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWER REIT | 73933H101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OFFICE DEPOT INC | 676220106 | COM | 72 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 1 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 213 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUM CORP | 747906501 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 7,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 164 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 76 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MITEL NETWORKS CORP | 60671Q104 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOWPOINT INC | 379887201 | CMN | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERMILLION INC | 92407M206 | COM NEW | 239 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SORL Auto Parts Inc | 78461U101 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADWAY FINL CORP DEL | 111444105 | COM | 185 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HORIZON GLOBAL CORP | 44052W104 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 58 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABILITY INC | G8789K124 | SHS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVINGER INC | 053734208 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOCEPT INC | 09072V402 | COM PAR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESONANT INC | 76118L102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASTROTECH CORP | 046484200 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STAFFING 360 SOLUTIONS INC | 852387307 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUROTROPE INC | 64129T207 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERCONDUCTOR TECHNOLOGIES | 867931602 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XENETIC BIOSCIENCES INC | 984015206 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CDTI ADVANCED MATLS INC | 12514V204 | COM NEW | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBUS MARITIME LIMITED NEW | Y27265308 | SHS NEW | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SELLAS LIFE SCIENCES GROUP I | 81642T100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AUTOWEB INC | 05335B100 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REVEN HSG REIT INC | 761378207 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIVEO CORP CDA | 17878Y108 | COM | 194 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DITECH HLDG CORP | 25501G105 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DITECH HLDG CORP | 25501G113 | *W EXP 02/09/202 | 455 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DITECH HLDG CORP | 25501G113 | *W EXP 02/09/202 | 14 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DITECH HLDG CORP | 25501G121 | *W EXP 02/09/202 | 361 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DITECH HLDG CORP | 25501G121 | *W EXP 02/09/202 | 11 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ALLIANCE MMA INC | 018626101 | COM | 1,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| IPASS INC | 46261V306 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JMU LTD | 46647L204 | SPONSORED ADS | 406 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIGMA LABS INC | 826598302 | COM PAR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 301 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE HORIZON GROUP INC | 68235H304 | COM PAR | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HESS CORP | 42809H404 | DEP PDF SR A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGNEGAS CORP | 55939L400 | COM PAR | 2,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO CURNCYSHS CHINESE RE | 46138X105 | CHINESE RENMIN | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SG BLOCKS INC | 78418A307 | COM PAR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YUMA ENERGY INC NEW | 98872F105 | COM | 495 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-18-000123 | superseded | 2018-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000948046-21-000195 | this filing | 2021-12-21 | acceptance time not in the bulk data set |