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 |
|---|---|---|---|---|---|---|
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 694 | $1,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 1,497 | $1,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 1,311 | $1,000 | thousands by filing date | |
| TIANYIN PHARMACEUTICAL CO IN | 88630M104 | COM | 5,132 | $1,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 1,742 | $1,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 1,259 | $1,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 883 | $1,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 50 | $1,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 13 | $1,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 980 | $1,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 122 | $1,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 4,344 | $1,000 | thousands by filing date | |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 2,356 | $1,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 1,902 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 380 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 100 | $1,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 195 | $1,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 128 | $1,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 147 | $1,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 330 | $1,000 | thousands by filing date | |
| Adobe Systems Inc | 98979H103 | COM | 278 | $1,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 1,000 | $1,000 | thousands by filing date | put |
| FINTECH ACQUISITION CORP | 31809H100 | COM | 83 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y400 | Cmn | 60 | $1,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 200 | $1,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 204 | $1,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 2,200 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 716 | $1,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 5,000 | $1,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y115 | *W EXP 12/24/201 | 1,310 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 7,131 | $1,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 104 | $1,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 1,059 | $1,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM | 759757107 | Stock | 1,335 | $1,000 | thousands by filing date | |
| NXT ID INC COM | 67091J107 | Stock | 1,000 | $1,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 123 | $1,000 | thousands by filing date | |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 6,155 | $1,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 3,142 | $1,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 2,000 | $1,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E112 | SHS | 200 | $1,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 805 | $1,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 3,350 | $1,000 | thousands by filing date | |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 2,950 | $1,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195124 | COM | 100 | $1,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588121 | *W EXP 10/20/202 | 5,700 | $1,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326110 | *W EXP 01/31/201 | 2,458 | $1,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 1,053 | $1,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 243 | $1,000 | thousands by filing date | |
| HERCULES OFFSHORE INC. | 427093307 | COM | 432 | $1,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 1,582 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X529 | INTL HDG SMLCP | 45 | $1,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 2,000 | $1,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 129 | $1,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 751 | $1,000 | thousands by filing date | |
| FREESEAS INC | Y26496219 | Cmn | 96,406 | $1,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 1,301 | $1,000 | thousands by filing date | |
| MOKO SOCIAL MEDIA LTD | 608458204 | Depository Receipt | 4,618 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A507 | Cmn | 1,275 | $1,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 3,040 | $1,000 | thousands by filing date | |
| MOL GLOBAL INC | 60845Q105 | Depository Receipt | 2,335 | $1,000 | thousands by filing date | |
| PARAGON SHIPPING INC | Y6728Q145 | CL A NEW | 2,371 | $1,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M129 | *W EXP 08/01/201 | 20,800 | $1,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q128 | *W EXP 12/01/201 | 6,351 | $1,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 1,900 | $1,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A408 | *W EXP 03/26/201 | 12,881 | $1,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 56 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINGSTOP INC COM | 974155103 | Stock | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| A10 NETWORKS INC | 002121101 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIEBERT FINL CORP | 826176109 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 290 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CSP INC | 126389105 | CMN | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACURA PHARMACEUTICALS INC COM | 00509L802 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 89 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Lineage, Inc. | 536020100 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 221 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODEL N INC | 607525102 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 380 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNEDISON INC | 86732Y109 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 69 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEONODE INC | 64051M402 | COM NEW | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 11,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IPASS INC | 46261V108 | COM | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 1,350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 223 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALIMERA SCIENCES INC | 016259103 | COM | 188 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PUREFUNDS ISE JUNIOR SILV | 30304R308 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 447 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 2,124 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CGG SPONS ADR | 12531Q105 | ADR | 401 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VOLTARI CORP NEW | 92870X309 | COM | 84 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNSHINE HEART INC | 86782u106 | COM | 456 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORDIA BANCORP INC | 218513109 | COM | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 186 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 5,478 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 303 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEDEVCO CORP | 70532Y204 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HORIZON GLOBAL CORP | 44052W104 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM RES INC | 916901705 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRAGONWAVE INC | 26144M400 | COM NEW | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PFENEX INC | 717071104 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 76 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI SA-ADR | 670851401 | Com | 478 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOMBARD MED INC | G55598109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 12,298 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Prism Technologies Group Inc | 74273Y100 | US Small Cap | 1,359 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DETERMINE INC | 250660107 | COM | 118 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VINCE HLDG CORP | 92719W108 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EnerJex Resources Inc | 292758406 | COM | 1,535 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 118 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DXI ENERGY INC COM | 23286A104 | Stock | 986 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 228 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOUBLE EAGLE ACQUISITION COR | G28195116 | *W EXP 09/16/202 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FQF TR | 351680814 | O SHS ASIA PAC | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 675 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 224 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25490K497 | DLY CYB SEC BEAR | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 240 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPNIA INC | 14066L113 | *W EXP 11/12/201 | 877 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 4,065 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HONGLI CLEAN ENERGY TECHNOLO | 438586109 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACE HLDGS CORP | G6865N111 | W EXP 99/99/999 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DRAFTDAY FANTASY SPORTS INC | 261427108 | Cmn | 1,419 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL EMPLOYMENT ENTERPRIS | 369730304 | Cmn | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELBIT IMAGING LTD | M37605116 | Cmn | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AROWANA INC | G05011120 | RIGHT 01/01/2017 | 900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROVECTUS BIOPHARMACEUTICALS | 74373P116 | *W EXP 06/19/202 | 425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNWIRED PLANET INC NEW | 91531F202 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DT ASIA INVTS LTD | G2615J138 | *W EXP 03/29/202 | 10,899 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 695 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 347 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACCUSHARES COMMODITIES TR I | 00439V797 | ACCUSHARES SPOT | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |