13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-12, with 7,683 holding rows worth $149,331,661,000.
- Accession
- 0000950123-16-016908
- Filer
- CIK 1610520
- Filed
- 2016-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A combination report, 13,855 entries on the cover page, a total value of $149,331,661,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $149,331,721,000 with VALUE read as thousands by filing date, 13F file number 028-16612. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- included managerUBS Financial Services Inc. 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG New York Branch 028-07344
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 |
|---|---|---|---|---|---|---|
| CIFC CORP | 12547R105 | COM | 7,118 | $51,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 2,564 | $51,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 13,458 | $51,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 5,804 | $51,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 7,430 | $51,000 | thousands by filing date | |
| Birner Dental Management | 091283200 | COM NEW | 5,633 | $51,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 3,156 | $51,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 5,125 | $51,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 1,740 | $50,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,100 | $50,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 1,500 | $50,000 | thousands by filing date | call |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,673 | $50,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,888 | $50,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,850 | $50,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 26,740 | $50,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 670 | $50,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 12,864 | $50,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 35,035 | $50,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 5,800 | $50,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,727 | $50,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 502 | $50,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 3,258 | $50,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 5,662 | $50,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 8,759 | $50,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 2,300 | $49,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 7,815 | $49,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,292 | $49,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 1,276 | $49,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 213 | $49,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 6,824 | $49,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 1,911 | $49,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 24,722 | $49,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 7,240 | $49,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 2,755 | $49,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 1,482 | $49,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 1,228 | $49,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 700 | $48,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 448 | $48,000 | thousands by filing date | call |
| AAON INC | 000360206 | COM PAR $0.004 | 1,716 | $48,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 18,105 | $48,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 11,041 | $48,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 2,273 | $48,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 2,041 | $48,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 10,500 | $48,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 95,142 | $48,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P114 | FUND | 1,956 | $48,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 5,138 | $48,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 11,500 | $48,000 | thousands by filing date | call |
| RUCKUS WIRELESS INC | 781220108 | COM | 4,865 | $48,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,900 | $48,000 | thousands by filing date | put |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 2,752 | $48,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 400 | $47,000 | thousands by filing date | put |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 8,000 | $47,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 2,671 | $47,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 3,054 | $47,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 959 | $47,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 2,711 | $47,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 1,471 | $47,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 2,559 | $47,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 122,279 | $47,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 7,072 | $47,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 2,000 | $47,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 6,155 | $47,000 | thousands by filing date | |
| PROSHARES TR II | 74347W387 | UL DJUBSNATG NEW | 240 | $47,000 | thousands by filing date | |
| INTERNET GOLD-GOLDEN LINES | M56595107 | COM | 3,419 | $47,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 2,199 | $46,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 1,449 | $46,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 3,543 | $46,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 5,393 | $46,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 1,616 | $46,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 1,989 | $46,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,915 | $46,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 3,103 | $46,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 4,500 | $46,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 1,695 | $46,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 2,066 | $46,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 53,000 | $46,000 | thousands by filing date | principal |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 2,857 | $46,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F184 | FUND | 1,070 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y819 | TOTAL MKT BEAR | 2,461 | $46,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 1,268 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74348A327 | ULTSHT SMLCP600 | 1,351 | $46,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,476 | $46,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 992 | $45,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 1,600 | $45,000 | thousands by filing date | put |
| PARTY CITY HOLDCO INC | 702149105 | COM | 3,000 | $45,000 | thousands by filing date | put |
| ORTHOFIX INTL N V | N6748L102 | COM | 1,104 | $45,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 2,806 | $45,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 3,571 | $45,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 937 | $45,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 3,358 | $45,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 1,022 | $45,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 915 | $45,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,246 | $44,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 21,581 | $44,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 2,292 | $44,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 14,654 | $44,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,865 | $44,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,385 | $44,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 22,200 | $44,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 4,204 | $44,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L485 | US TRES FLATT | 703 | $44,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 1,526 | $44,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 4,526 | $44,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 1,315 | $43,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 2,305 | $43,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 3,732 | $43,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 951 | $43,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 3,422 | $43,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 3,424 | $43,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 817 | $43,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 8,814 | $43,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,100 | $43,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 1,145 | $43,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,411 | $43,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 3,797 | $43,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 2,456 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 2,025 | $43,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 3,600 | $43,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 10,861 | $43,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 1,593 | $43,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 9,694 | $43,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 1,767 | $43,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 3,000 | $42,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 1,098 | $42,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 9,202 | $42,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 2,618 | $42,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 2,149 | $42,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,930 | $42,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 7,173 | $42,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 9,089 | $42,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 1,009 | $42,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 3,305 | $42,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R403 | EMKT HIYLD BD | 1,816 | $42,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 1,034 | $42,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 7,920 | $42,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 6,600 | $42,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX SH | 06740L592 | ETP | 1,107 | $42,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 1,287 | $42,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 4,700 | $42,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 4,560 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 993 | $42,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,207 | $42,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,958 | $42,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 6,753 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 953 | $41,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 8,819 | $41,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 1,931 | $41,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 7,336 | $41,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,921 | $41,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 2,163 | $41,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 1,604 | $41,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 830 | $41,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 13,013 | $41,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 2,068 | $41,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 18,674 | $41,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 2,888 | $41,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 2,571 | $41,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 8,279 | $41,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 1,678 | $41,000 | thousands by filing date | |
| PROSHARES TR | 74347X476 | SHT KBW REGBNK | 1,586 | $41,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 1,280 | $41,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 4,946 | $41,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,795 | $41,000 | thousands by filing date | |
| VIRTUALSCOPICS INC | 928269208 | COM NEW | 10,016 | $41,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 1,596 | $40,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,000 | $40,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,452 | $40,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 2,601 | $40,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,797 | $40,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 1,850 | $40,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 15,500 | $40,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,745 | $40,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 40,000 | $40,000 | thousands by filing date | principal |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,815 | $40,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 4,022 | $40,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 2,623 | $40,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 643 | $40,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 379 | $39,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 2,538 | $39,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 5,930 | $39,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 8,000 | $39,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 7,962 | $39,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,387 | $39,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,328 | $39,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 4,845 | $39,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 500 | $39,000 | thousands by filing date | call |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 2,810 | $39,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 1,775 | $39,000 | thousands by filing date | |
| DIVERSICARE HEALTHCARE SVCS | 255104101 | COM | 4,592 | $39,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 1,831 | $39,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 8,350 | $39,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 817 | $39,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 540 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 603 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 599 | $39,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W200 | ENH US SCP ETF | 1,265 | $39,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 42 | $39,000 | thousands by filing date | |
| CALAMOS ETF TR | 12811T100 | FOCUS GROWTH | 3,861 | $39,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 1,853 | $38,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 1,062 | $38,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 1,387 | $38,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 2,244 | $38,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 1,832 | $38,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 398 | $38,000 | thousands by filing date | |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 1,029 | $38,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 4,769 | $38,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 500 | $38,000 | thousands by filing date | call |
| INVENSENSE INC | 46123D205 | COM | 4,500 | $38,000 | thousands by filing date | put |
| MOCON INC | 607494101 | COM | 2,771 | $38,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 6,850 | $38,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 2,039 | $38,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 1,508 | $38,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M872 | COM | 973 | $38,000 | thousands by filing date | |
| COASTWAY BANCORP INC | 190632109 | COM | 3,031 | $38,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 3,149 | $37,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 3,436 | $37,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 7,300 | $37,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 1,565 | $37,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 901 | $37,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 956 | $37,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 1,825 | $37,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 15,000 | $37,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 4,000 | $37,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 1,853 | $37,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 1,500 | $37,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 34,442 | $37,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 1,773 | $37,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 5,679 | $37,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 6,193 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 1,299 | $37,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 728 | $37,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 18,251 | $37,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 3,830 | $37,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,289 | $37,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 1,374 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY FTSE | 25490k836 | COM | 1,501 | $37,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 1,791 | $37,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 1,479 | $37,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X186 | EURO STOXX 50 | 1,132 | $37,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 1,462 | $36,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 1,000 | $36,000 | thousands by filing date | put |
| SPOK HLDGS INC COM | 84863T106 | Stock | 2,051 | $36,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 2,373 | $36,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 4,580 | $36,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 3,665 | $36,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 3,244 | $36,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 4,900 | $36,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 2,092 | $36,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,037 | $36,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 2,060 | $36,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 2,950 | $36,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 2,505 | $36,000 | thousands by filing date | |
| GIGOPTIX INC | 37517y103 | COM | 13,376 | $36,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 4,084 | $36,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,348 | $36,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 12,477 | $36,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 6,217 | $36,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,761 | $36,000 | thousands by filing date | |
| WELLTOWER INC COM | 95040Q104 | REIT | 500 | $35,000 | thousands by filing date | put |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 1,499 | $35,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,000 | $35,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 3,565 | $35,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 1,293 | $35,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,788 | $35,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,605 | $35,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 6,500 | $35,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,296 | $35,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 69,043 | $35,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892507 | CV 8% CUM PFD-D | 1,382 | $35,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 4,376 | $35,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 17,865 | $35,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,500 | $35,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 5,110 | $35,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,193 | $35,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,458 | $35,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641661 | S&P500 GLD ETN | 622 | $35,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 15,000 | $35,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P866 | FUND | 434 | $35,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 2,650 | $35,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 1,419 | $35,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 6,008 | $34,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,000 | $34,000 | thousands by filing date | put |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 1,412 | $34,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 712 | $34,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 6,364 | $34,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 876 | $34,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 3,000 | $34,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 14,506 | $34,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 21,134 | $34,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 3,759 | $34,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 56,517 | $34,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 14,800 | $34,000 | thousands by filing date | put |
| DEMANDWARE INC | 24802Y105 | COM | 871 | $34,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 847 | $34,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 1,172 | $34,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 1,796 | $34,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 818 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347X229 | ULTRSH MSCI PAC | 1,511 | $34,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 5,155 | $34,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 1,000 | $34,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 7,136 | $34,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 1,903 | $34,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y355 | DLY DEV MKT BEAR | 1,072 | $34,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 3,967 | $34,000 | thousands by filing date | |
| SPDR MSCI SOUTH KOREA STRATEGICFACTORS ETF | 78463X277 | ETF | 1,320 | $34,000 | thousands by filing date | |
| KLR ENERGY ACQUISITION CORP | 49877M207 | UNIT 12/31/2020 | 3,372 | $34,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 2,474 | $33,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 603 | $33,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 2,752 | $33,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,500 | $33,000 | thousands by filing date | put |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 882 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 1,253 | $33,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,158 | $33,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 4,615 | $33,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 893 | $33,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 1,869 | $33,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 16,887 | $33,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 2,835 | $33,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 500 | $33,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 1,793 | $33,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 233 | $33,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 1,403 | $33,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 1,749 | $33,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 2,185 | $33,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 3,291 | $33,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX II | 06741K486 | ETP | 860 | $33,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 2,328 | $33,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 815 | $33,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,252 | $33,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 1,344 | $33,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 17,236 | $33,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 400 | $32,000 | thousands by filing date | call |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 200 | $32,000 | thousands by filing date | call |
| AGILYSYS INC | 00847J105 | COM | 3,063 | $32,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,768 | $32,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,335 | $32,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 2,517 | $32,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 1,852 | $32,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 2,189 | $32,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 4,178 | $32,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 1,268 | $32,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 4,077 | $32,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,915 | $32,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 319,182 | $32,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 5,234 | $32,000 | thousands by filing date | |
| PROSHARES ULT MSCI PAC X-JPN | 74347X534 | CMN | 1,103 | $32,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505400 | FORENSIC ACCTG | 1,007 | $32,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 8,369 | $32,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 9,673 | $32,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 2,037 | $32,000 | thousands by filing date | |
| AVALANCHE BIOT | 05337G107 | Common Stock | 6,134 | $32,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUISITION | 42588J209 | UNIT 99/99/9999 | 3,255 | $32,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 700 | $31,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,143 | $31,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 1,584 | $31,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 10,624 | $31,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 818 | $31,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 1,435 | $31,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 738 | $31,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 1,544 | $31,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 13,771 | $31,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 3,296 | $31,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 85,000 | $31,000 | thousands by filing date | put |
| BROADCOM LTD | Y09827109 | SHS | 200 | $31,000 | thousands by filing date | put |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 25,000 | $31,000 | thousands by filing date | principal |
| CENTERSTATE BK CORP | 15201P109 | COM | 2,100 | $31,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 524 | $31,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 17,212 | $31,000 | thousands by filing date | |
| ADVISORY BOARD CO/THE | 00762W107 | Domestic Common | 946 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 305 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W235 | GLD MNRS BEAR 3X | 9,749 | $31,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 19,425 | $31,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 6,257 | $31,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 1,658 | $31,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 840 | $31,000 | thousands by filing date | |
| MORGAN STANLEY | 617480272 | LNG EURO ETN20 | 1,646 | $31,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 984 | $31,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 2,119 | $31,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 32,400 | $31,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 279 | $31,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 12,721 | $31,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 300 | $30,000 | thousands by filing date | put |
| GLAUKOS CORP COM | 377322102 | Stock | 1,750 | $30,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 1,623 | $30,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 2,150 | $30,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 2,900 | $30,000 | thousands by filing date | call |
| IMMUNOMEDICS INC | 452907108 | COM | 12,089 | $30,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 812 | $30,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 2,569 | $30,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 5,712 | $30,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,110 | $30,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,500 | $30,000 | thousands by filing date | put |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 2,176 | $30,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 12,286 | $30,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 1,068 | $30,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 9,350 | $30,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 6,538 | $30,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 1,576 | $30,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 2,047 | $30,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 6,700 | $30,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 39,127 | $30,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 6,058 | $30,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 1,933 | $30,000 | thousands by filing date | |
| WOLVERINE BANCORP INC | 977880103 | COM | 1,189 | $30,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 769 | $30,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 1,152 | $30,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 539 | $30,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 4,191 | $30,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 2,241 | $30,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 3,500 | $30,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 1,383 | $30,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 500 | $29,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 3,500 | $29,000 | thousands by filing date | put |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 575 | $29,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,481 | $29,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 1,606 | $29,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 989 | $29,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,497 | $29,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 3,120 | $29,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 482 | $29,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 1,845 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 977 | $29,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,015 | $29,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 2,003 | $29,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 4,253 | $29,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,487 | $29,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 21,300 | $29,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 1,001 | $29,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 1,437 | $29,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 2,017 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 2,374 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 905 | $29,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 1,350 | $29,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 965 | $29,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 11,641 | $29,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 1,378 | $28,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 922 | $28,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 1,034 | $28,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 1,150 | $28,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 1,075 | $28,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 1,453 | $28,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,112 | $28,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 1,875 | $28,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 1,915 | $28,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 2,148 | $28,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,845 | $28,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 7,809 | $28,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 2,319 | $28,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 1,160 | $28,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 2,213 | $28,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,586 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X344 | ULTRASHT 3-7YR | 1,064 | $28,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 1,218 | $28,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 997 | $28,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 737 | $28,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 979 | $28,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W407 | PWRSHR 3X GERM | 478 | $28,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 40,838 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 1,203 | $28,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 23,500 | $28,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142100 | COM | 19,833 | $28,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D104 | COM SHS | 2,777 | $28,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J104 | SHS | 2,742 | $28,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 1,962 | $27,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 1,369 | $27,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 894 | $27,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 580 | $27,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 782 | $27,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,648 | $27,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,250 | $27,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 1,354 | $27,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 1,668 | $27,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 1,153 | $27,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 800 | $27,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 1,906 | $27,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,400 | $27,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 913 | $27,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 3,323 | $27,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 2,895 | $27,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 5,940 | $27,000 | thousands by filing date | call |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 4,584 | $27,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 1,690 | $27,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 19,044 | $27,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 1,252 | $27,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,173 | $27,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,658 | $27,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 2,000 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 922 | $27,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 729 | $27,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 1,658 | $27,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 4,218 | $27,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 1,000 | $27,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,316 | $27,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 2,982 | $27,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 6,575 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y608 | GURU ACTS ETF | 2,107 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W489 | JP TECH MEDIA | 1,150 | $27,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 887 | $26,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 2,300 | $26,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-016908 | this filing | 2016-05-12 | acceptance time not in the bulk data set |