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 |
|---|---|---|---|---|---|---|
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 2,345 | $13,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 6,360 | $13,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 4,600 | $13,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 12,276 | $13,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 5,536 | $13,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 23,411 | $13,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 23,118 | $13,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,729 | $13,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 5,939 | $13,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 4,485 | $13,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 565 | $13,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,111 | $13,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 13,000 | $13,000 | thousands by filing date | principal |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 6,987 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051309 | XTRAK MSCI BRAZL | 1,346 | $13,000 | thousands by filing date | |
| Southcoast Financial Corporation | 84129R100 | Common Stock | 1,000 | $13,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 5,430 | $13,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 2,153 | $13,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 25,277 | $13,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 2,000 | $13,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 2,806 | $13,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 21,864 | $13,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 3,781 | $13,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 826 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 573 | $13,000 | thousands by filing date | |
| FINANCIAL SERVICES SELECT SECTOR SPDR FUND | 81369Y878 | ETF | 449 | $13,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 1,626 | $13,000 | thousands by filing date | |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 1,305 | $13,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 500 | $12,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 633 | $12,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 4,000 | $12,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,949 | $12,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 1,303 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 576 | $12,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 324 | $12,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 3,984 | $12,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,390 | $12,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 369 | $12,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 372 | $12,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,784 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 200 | $12,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 4,043 | $12,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 517 | $12,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1,953 | $12,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 1,000 | $12,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 441 | $12,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 9,000 | $12,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 4,100 | $12,000 | thousands by filing date | put |
| GROUPON INC | 399473107 | COMMON STOCK | 3,000 | $12,000 | thousands by filing date | call |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,897 | $12,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 2,300 | $12,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 3,286 | $12,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 1,700 | $12,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 179 | $12,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 2,705 | $12,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,505 | $12,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 4,395 | $12,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 474 | $12,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 5,748 | $12,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,497 | $12,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,094 | $12,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,192 | $12,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,463 | $12,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 450 | $12,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 1,478 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 3,011 | $12,000 | thousands by filing date | |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 845 | $12,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 38,356 | $12,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 3,671 | $12,000 | thousands by filing date | |
| KINGTONE WIRELESSINFO SOL HL | 496880204 | SPONSORED ADR NE | 5,321 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E655 | ANDEAN 40 ETF | 1,684 | $12,000 | thousands by filing date | |
| ACER THERAPEUTICS INC COM | 68372T301 | Stock | 5,212 | $12,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,937 | $12,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 2,902 | $12,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 600 | $12,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 499 | $12,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 8,308 | $12,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 2,778 | $12,000 | thousands by filing date | |
| CROSSROADS CAP INC COM | 227656105 | COM | 4,424 | $12,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 2,920 | $12,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 1,309 | $12,000 | thousands by filing date | |
| STELLAR BIOTECHNOLOGIES INC NO PAR | 85855A203 | Common Stock | 2,390 | $12,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L102 | COM | 1,200 | $12,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 1,365 | $12,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 766 | $12,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 5,257 | $12,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 1,299 | $12,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 3,890 | $12,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 471 | $11,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 1,637 | $11,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 1,518 | $11,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 3,110 | $11,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,661 | $11,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 1,126 | $11,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 800 | $11,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 400 | $11,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 2,044 | $11,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,062 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X526 | ULT FTSE EUROPE | 285 | $11,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 23,823 | $11,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 1,235 | $11,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 1,000 | $11,000 | thousands by filing date | put |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 446 | $11,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 800 | $11,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 319 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 342 | $11,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 600 | $11,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 500 | $11,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 5,786 | $11,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 4,006 | $11,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| STEMCELLS INC | 85857R204 | COM NEW | 41,326 | $11,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 6,135 | $11,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 11,644 | $11,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 728 | $11,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,300 | $11,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 1,363 | $11,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,200 | $11,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 1,818 | $11,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H459 | PS CMDT LG ETN | 1,497 | $11,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 847 | $11,000 | thousands by filing date | |
| COMERICA INC-CW18 | 200340115 | WTS | 827 | $11,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 3,464 | $11,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 2,454 | $11,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 32,683 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 1,978 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 150 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X484 | ULT KBW REGBNK | 149 | $11,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 3,832 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 409 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 439 | $11,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 11,575 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W309 | ENH INTL SMCAP | 462 | $11,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 2,830 | $11,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 1,368 | $11,000 | thousands by filing date | |
| SYNLOGIC | 60470J103 | Stock | 2,535 | $11,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 475 | $11,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 7,677 | $11,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 2,437 | $11,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 6,158 | $11,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 5,047 | $11,000 | thousands by filing date | |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 4,087 | $11,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 634 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 452 | $11,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 1,098 | $11,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U200 | UNIT 01/01/2023X | 1,100 | $11,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T100 | EXCH TRAD SPVXSP | 895 | $11,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N203 | Cmn | 15,214 | $11,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X293 | MSCI MEXCO STRGC | 460 | $11,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R400 | COM | 5,339 | $11,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 100 | $10,000 | thousands by filing date | call |
| VTI | 922908769 | COM | 100 | $10,000 | thousands by filing date | put |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 1,015 | $10,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 2,008 | $10,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 722 | $10,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 1,116 | $10,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 3,474 | $10,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 1,000 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 197 | $10,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 2,096 | $10,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 393 | $10,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,081 | $10,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 4,510 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 401 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 864 | $10,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 1,514 | $10,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 8,742 | $10,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 4,000 | $10,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 7,113 | $10,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,300 | $10,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 844 | $10,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 859 | $10,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 1,300 | $10,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 448 | $10,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 500 | $10,000 | thousands by filing date | put |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 7,000 | $10,000 | thousands by filing date | principal |
| CELADON GROUP INC | 150838100 | COM | 949 | $10,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 7,984 | $10,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 2,861 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 289 | $10,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 970 | $10,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 370 | $10,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 517 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 1,000 | $10,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 127 | $10,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 4,164 | $10,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 2,461 | $10,000 | thousands by filing date | |
| TURKISH INVESTMENT FUND | 900145103 | CMN | 1,052 | $10,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,933 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 912 | $10,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 3,328 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H453 | FUND | 358 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 60 | $10,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P122 | IPTH S&P GSCI | 514 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 794 | $10,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 1,534 | $10,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 10,403 | $10,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $10,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 293 | $10,000 | thousands by filing date | |
| METALDYNE PERFORMANCE GROUP | 59116R107 | COM | 580 | $10,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 864 | $10,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 408 | $10,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,169 | $9,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 798 | $9,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 386 | $9,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 505 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 250 | $9,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 500 | $9,000 | thousands by filing date | call |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 937 | $9,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 2,672 | $9,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 377 | $9,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 2,119 | $9,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 733 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 404 | $9,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 600 | $9,000 | thousands by filing date | put |
| NANOMETRICS | 630077105 | COM | 570 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 458 | $9,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 4,992 | $9,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 1,667 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 13,603 | $9,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 9,357 | $9,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 511 | $9,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 900 | $9,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,339 | $9,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 555 | $9,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 13,630 | $9,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 12,700 | $9,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 240,068 | $9,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 1,200 | $9,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 1,700 | $9,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 24,475 | $9,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 2,180 | $9,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 955 | $9,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 1,166 | $9,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 2,425 | $9,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 53,165 | $9,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 562 | $9,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 32,113 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 381 | $9,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 12,035 | $9,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 4,000 | $9,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 228 | $9,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 6,206 | $9,000 | thousands by filing date | |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 1,474 | $9,000 | thousands by filing date | |
| TRUETT-HURST INC THST | 897871109 | COMMON | 5,732 | $9,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 11,104 | $9,000 | thousands by filing date | |
| FIRST SOUTH BANCORP INC VA | 33646W100 | COM | 1,142 | $9,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 763 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 516 | $9,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,819 | $9,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 6,222 | $9,000 | thousands by filing date | |
| IDREAMSKY TECHNOLOGY LIMITED | 45173K101 | SPONSORED ADS | 678 | $9,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 2,541 | $9,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,400 | $9,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 1,006 | $9,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 375 | $9,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 3,721 | $9,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 355 | $9,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 1,318 | $9,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 1,030 | $9,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 6,275 | $9,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 839 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q678 | S&P500 MOMETUM | 344 | $9,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,168 | $9,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588105 | SHS | 900 | $9,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 4,852 | $9,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 17,735 | $9,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 4,000 | $9,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 726 | $9,000 | thousands by filing date | |
| ACCUSHARES COMMODITIES TR I | 00439V789 | ACCUSHARES SPOT | 1,153 | $9,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 1,106 | $8,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 200 | $8,000 | thousands by filing date | put |
| WEIS MKTS INC COM | 948849104 | Stock | 186 | $8,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 574 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 394 | $8,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 552 | $8,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,008 | $8,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 1,100 | $8,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 1,371 | $8,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 1,346 | $8,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,794 | $8,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,598 | $8,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 7,799 | $8,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,280 | $8,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,284 | $8,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 746 | $8,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 168 | $8,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 4,751 | $8,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,944 | $8,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 3,861 | $8,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 2,124 | $8,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 700 | $8,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 100 | $8,000 | thousands by filing date | put |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 22,808 | $8,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 200 | $8,000 | thousands by filing date | put |
| SILVER WHEATON CORP | 828336107 | COM | 500 | $8,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 31,688 | $8,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 3,000 | $8,000 | thousands by filing date | principal |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,750 | $8,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 1,151 | $8,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 3,121 | $8,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 610 | $8,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 3,155 | $8,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 3,535 | $8,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 1,647 | $8,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 2,196 | $8,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 25,851 | $8,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,595 | $8,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 1,258 | $8,000 | thousands by filing date | |
| QKL STORES INC | 74732Y303 | COM PAR $0.001 | 14,031 | $8,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 2,063 | $8,000 | thousands by filing date | |
| KU6 MEDIA CO LTD | 48274B103 | SPONSORED ADR | 8,729 | $8,000 | thousands by filing date | |
| CSX CORP | 126408GA5 | US DOMESTIC | 3,000 | $8,000 | thousands by filing date | principal |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 3,586 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 252 | $8,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 2,735 | $8,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 2,826 | $8,000 | thousands by filing date | |
| MARA HLDGS INC | 56585W203 | COM | 3,949 | $8,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 706 | $8,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 550 | $8,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 829 | $8,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 667 | $8,000 | thousands by filing date | |
| WINS FIN HLDGS INC | G97223104 | ORD SHS | 735 | $8,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 543 | $8,000 | thousands by filing date | |
| MYOS RENS TECHNOLOGY INC | 62857P108 | COM | 4,904 | $8,000 | thousands by filing date | |
| TILL CAP LTD COM RST VTG SHS | G8875E107 | Stock | 2,778 | $8,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 9,573 | $8,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 8,577 | $8,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E104 | Cmn | 11,567 | $8,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668502 | COM PAR | 4,666 | $8,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 100 | $7,000 | thousands by filing date | put |
| TRINITY INDS INC | 896522109 | COM | 400 | $7,000 | thousands by filing date | call |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,335 | $7,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 1,000 | $7,000 | thousands by filing date | put |
| BANCORP INC DEL | 05969A105 | COM | 1,251 | $7,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 198 | $7,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 500 | $7,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 200 | $7,000 | thousands by filing date | put |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $7,000 | thousands by filing date | call |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 2,011 | $7,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 448 | $7,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 257 | $7,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 358 | $7,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 13,128 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 156 | $7,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,221 | $7,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 1,742 | $7,000 | thousands by filing date | |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 3,806 | $7,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,030 | $7,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 670 | $7,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 590 | $7,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 908 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 7,253 | $7,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 35,256 | $7,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,106 | $7,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,545 | $7,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 500 | $7,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 5,126 | $7,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 460 | $7,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 1,162 | $7,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,000 | $7,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 3,675 | $7,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 3,493 | $7,000 | thousands by filing date | |
| U M H PROPERTIES INC | 903002202 | CV RED PFD-A | 277 | $7,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 700 | $7,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 3,696 | $7,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 11,400 | $7,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,200 | $7,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 4,900 | $7,000 | thousands by filing date | call |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,160 | $7,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 1,753 | $7,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 840 | $7,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 14,529 | $7,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 3,373 | $7,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 3,415 | $7,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 766 | $7,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 6,652 | $7,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 3,865 | $7,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 440 | $7,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 5,085 | $7,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 3,154 | $7,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 700 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 479 | $7,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 4,751 | $7,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P171 | IPTH ALUMN ETN | 325 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 580 | $7,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 10,000 | $7,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 1,568 | $7,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 1,444 | $7,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 783 | $7,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 700 | $7,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 400 | $7,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 2,272 | $7,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 2,086 | $7,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 5,381 | $7,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 313 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 450 | $7,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 300 | $7,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 12,000 | $7,000 | thousands by filing date | principal |
| WPCS INTL INC COM PAR $.0001 N | 92931L401 | Stock | 4,676 | $7,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 1,000 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X820 | Cmn | 1,592 | $7,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740209 | UNIT 10/20/2021 | 710 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K364 | DAILY NAT GAS 3X | 337 | $7,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R886 | BLUESTAR TA | 283 | $7,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 311 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 100 | $6,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 300 | $6,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 500 | $6,000 | thousands by filing date | put |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 2,019 | $6,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,941 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 253 | $6,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 232 | $6,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 402 | $6,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 993 | $6,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,592 | $6,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,103 | $6,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 299 | $6,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 200 | $6,000 | thousands by filing date | call |
| RADIANT LOGISTICS INC | 75025X100 | COM | 1,700 | $6,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 1,263 | $6,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 418 | $6,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 129 | $6,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 100 | $6,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 1,720 | $6,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 300 | $6,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 3,810 | $6,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,616 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 260 | $6,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,850 | $6,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 974 | $6,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 2,300 | $6,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,244 | $6,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 2,786 | $6,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 6,557 | $6,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 11,000 | $6,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 1,710 | $6,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 513 | $6,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 14,055 | $6,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 586 | $6,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 26,350 | $6,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,452 | $6,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 5,142 | $6,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 394 | $6,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 17,123 | $6,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 6,406 | $6,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 5,522 | $6,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 4,506 | $6,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 4,352 | $6,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,055 | $6,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,194 | $6,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 2,813 | $6,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 784 | $6,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 300 | $6,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 103 | $6,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 1,000 | $6,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 399 | $6,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 102 | $6,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 900 | $6,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 4,039 | $6,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 7,580 | $6,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 903 | $6,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 6,322 | $6,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 180 | $6,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 959 | $6,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 3,724 | $6,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 1,500 | $6,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 800 | $6,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 17,672 | $6,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 2,289 | $6,000 | thousands by filing date | |
| STEADYMED LTD | M84920103 | SHS | 2,381 | $6,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 10,380 | $6,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 2,301 | $6,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 549333300 | Stock | 1,964 | $6,000 | thousands by filing date | |
| NANOSPHERE INC COM NEW | 63009F204 | Stock | 7,595 | $6,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 100 | $6,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 4,103 | $6,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 3,628 | $6,000 | thousands by filing date | |
| CERECOR INC | 15671L125 | *W EXP 04/20/201 | 5,880 | $6,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 3,063 | $6,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 2,926 | $6,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 22,559 | $6,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 1,184 | $5,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 1,000 | $5,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 300 | $5,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 318 | $5,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 133 | $5,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 892 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 402 | $5,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 328 | $5,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 1,565 | $5,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 59 | $5,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 332 | $5,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 400 | $5,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 463 | $5,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 2,376 | $5,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 589 | $5,000 | 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 |