13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-12, with 7,801 holding rows worth $159,204,080,000.
- Accession
- 0000950123-16-019736
- Filer
- CIK 1610520
- Filed
- 2016-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A combination report, 14,247 entries on the cover page, a total value of $159,204,080,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $159,204,042,000 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 |
|---|---|---|---|---|---|---|
| CASCADE BANCORP | 147154207 | COM | 9,418 | $52,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 9,637 | $51,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 3,123 | $51,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 1,285 | $51,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,949 | $51,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 2,161 | $51,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 2,544 | $51,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 5,084 | $51,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 4,118 | $51,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 1,753 | $51,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 7,500 | $51,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 18,305 | $51,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 2,666 | $51,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,676 | $51,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 9,531 | $51,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 12,059 | $51,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 2,575 | $50,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 10,649 | $50,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 2,222 | $50,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 3,463 | $50,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,154 | $50,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 7,770 | $50,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 1,835 | $50,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,915 | $50,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 1,647 | $50,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 2,727 | $50,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,846 | $50,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 6,631 | $50,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 2,167 | $50,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 41,244 | $50,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 3,384 | $50,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 2,123 | $50,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 3,088 | $49,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,214 | $49,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 1,500 | $49,000 | thousands by filing date | call |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 973 | $49,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 6,465 | $49,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 89,457 | $49,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 6,641 | $49,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 617 | $49,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 1,878 | $49,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 3,000 | $49,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 42,488 | $49,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 2,205 | $49,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 2,356 | $49,000 | thousands by filing date | |
| IDI INC | 44938L108 | COM | 10,255 | $49,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 2,295 | $48,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 7,790 | $48,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 1,600 | $48,000 | thousands by filing date | put |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 2,998 | $48,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,906 | $48,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 2,604 | $48,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 1,582 | $48,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 16,902 | $48,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 10,500 | $48,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,434 | $48,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,986 | $48,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 4,391 | $48,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 8,873 | $48,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 797 | $48,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 5,916 | $48,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 2,844 | $48,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 3,151 | $48,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 4,318 | $48,000 | thousands by filing date | |
| SGOCO GROUP LTD | G80751129 | SHS NEW | 11,952 | $48,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 5,242 | $47,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 2,214 | $47,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 7,001 | $47,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 1,760 | $47,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 1,459 | $47,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 4,000 | $47,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 2,521 | $47,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 2,838 | $47,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 1,682 | $47,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 2,406 | $47,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 3,413 | $47,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 3,186 | $46,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 4,232 | $46,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 1,136 | $46,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,217 | $46,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 8,338 | $46,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 2,048 | $46,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 1,525 | $46,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 888 | $46,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 53,000 | $46,000 | thousands by filing date | principal |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 4,129 | $46,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 2,838 | $46,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 1,175 | $46,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 565 | $46,000 | thousands by filing date | |
| CURRENCYSHARES CHINESE RENMI | 23131C107 | CHIN RENMINBI | 628 | $46,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 2,237 | $46,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 1,526 | $46,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 3,830 | $46,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 4,782 | $46,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 781 | $46,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 56,182 | $46,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 4,529 | $45,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 8,550 | $45,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 452 | $45,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 2,500 | $45,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 10,915 | $45,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 8,938 | $45,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 74,864 | $45,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 12,639 | $45,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 3,273 | $45,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 1,090 | $45,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P163 | IPTH SUGAR ETN | 1,406 | $45,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,925 | $44,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 1,589 | $44,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 663 | $44,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 3,200 | $44,000 | thousands by filing date | call |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 5,434 | $44,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 3,337 | $44,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,896 | $44,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 18,524 | $44,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 68,073 | $44,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 53,657 | $44,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 3,967 | $44,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 8,175 | $44,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 2,827 | $44,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 1,066 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 673 | $44,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 882 | $44,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,736 | $44,000 | thousands by filing date | |
| Emergent Capital | 29102N105 | Com | 13,235 | $44,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 4,425 | $44,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505822 | CROWDINVEST WISD | 1,765 | $44,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 6,745 | $43,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 2,862 | $43,000 | thousands by filing date | |
| SOUND FINL BANCORP INC | 83607A100 | COM | 1,805 | $43,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 7,057 | $43,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 2,025 | $43,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 5,926 | $43,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 18,997 | $43,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 5,117 | $43,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 4,093 | $43,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 6,631 | $43,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 2,065 | $43,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 2,440 | $43,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 10,000 | $43,000 | thousands by filing date | |
| SPDR MSCI SOUTH KOREA STRATEGICFACTORS ETF | 78463X277 | ETF | 1,700 | $43,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 5,033 | $42,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 1,704 | $42,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 1,228 | $42,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 5,723 | $42,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 9,094 | $42,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,339 | $42,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 2,244 | $42,000 | thousands by filing date | |
| DSW INC-CLASS A | 23334L102 | CL A | 2,000 | $42,000 | thousands by filing date | put |
| NORBORD INC | 65548P403 | COM NEW | 2,108 | $42,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 2,124 | $42,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 7,592 | $42,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 25,067 | $42,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 1,542 | $42,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 2,520 | $42,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 21,618 | $42,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 4,010 | $42,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 2,902 | $42,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 3,000 | $42,000 | thousands by filing date | put |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 1,726 | $42,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 5,137 | $42,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 9,304 | $42,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 2,480 | $41,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 2,319 | $41,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 798 | $41,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 930 | $41,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,915 | $41,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 2,207 | $41,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 921 | $41,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,538 | $41,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 2,974 | $41,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC | 419596200 | CL A | 2,283 | $41,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 5,252 | $41,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 17,670 | $41,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 1,513 | $41,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 1,820 | $41,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 3,620 | $41,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 5,777 | $41,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 2,484 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 1,750 | $41,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H467 | PS CMDTY SH ETN | 836 | $41,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,636 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K224 | DAILY JR GOLD MI | 4,637 | $41,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 4,465 | $40,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 3,200 | $40,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 1,453 | $40,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 2,621 | $40,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,057 | $40,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 14,700 | $40,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 204 | $40,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 2,000 | $40,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 4,235 | $40,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 500 | $40,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 7,837 | $40,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 1,600 | $40,000 | thousands by filing date | put |
| PROVIDENCE & WORCESTER RR CO | 743737108 | COM | 2,457 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W356 | JAPAN CP GOODS | 2,131 | $40,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 1,885 | $40,000 | thousands by filing date | |
| ETF MANAGER GROUP COMMODITY | 26923H101 | SIT RISING RTE | 1,800 | $40,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 1,709 | $40,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,251 | $40,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W299 | JAPAN INTRT FD | 925 | $40,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 500 | $39,000 | thousands by filing date | put |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 1,155 | $39,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 1,939 | $39,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,538 | $39,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 857 | $39,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 2,141 | $39,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 2,379 | $39,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 3,729 | $39,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 5,780 | $39,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 437 | $39,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 1,236 | $39,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 917 | $39,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 2,084 | $39,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 2,018 | $39,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 3,347 | $39,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,299 | $39,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 1,661 | $39,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 9,731 | $39,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 5,372 | $39,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 4,188 | $39,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P262 | IPTH AGRIC ETN | 1,080 | $39,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 5,885 | $39,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 2,574 | $39,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,343 | $39,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 2,466 | $39,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 2,201 | $39,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 4,137 | $39,000 | thousands by filing date | |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 85,212 | $39,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W489 | JP TECH MEDIA | 1,734 | $39,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 4,300 | $38,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 1,874 | $38,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 53,536 | $38,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 902 | $38,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 1,617 | $38,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,630 | $38,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 2,583 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 388 | $38,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 1,642 | $38,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,189 | $38,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 1,527 | $38,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 1,115 | $38,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 800 | $38,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 1,839 | $38,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 5,556 | $38,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,010 | $38,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 7,427 | $38,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 23,578 | $38,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 2,601 | $38,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 3,517 | $38,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y826 | MEIDELL TCT AD | 1,446 | $38,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 2,815 | $38,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 21,300 | $38,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 1,740 | $38,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 876 | $38,000 | thousands by filing date | |
| GP INVTS ACQUISITION COR | G40357116 | UNIT 99/99/9999 | 3,826 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X461 | JAP QTLY DIV GRO | 1,608 | $38,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 1,499 | $37,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 3,096 | $37,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 3,300 | $37,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 87,351 | $37,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 2,258 | $37,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 28,530 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 1,582 | $37,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M872 | COM | 991 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y859 | MADRONA DOMESTIC | 924 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 856 | $37,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 2,450 | $37,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 2,874 | $37,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 39,693 | $37,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 643 | $36,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 7,517 | $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 | 1,899 | $36,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 14,580 | $36,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 3,000 | $36,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 4,523 | $36,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 3,271 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 1,157 | $36,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,500 | $36,000 | thousands by filing date | put |
| ALPHA PRO TECH LTD | 020772109 | COM | 15,759 | $36,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 8,257 | $36,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,630 | $36,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 6,916 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 1,251 | $36,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 14,085 | $36,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 10,007 | $36,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 1,270 | $36,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 5,665 | $36,000 | thousands by filing date | |
| PROSHARES ULT MSCI PAC X-JPN | 74347X534 | CMN | 1,203 | $36,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y108 | 7-10YR TR BEAR | 1,299 | $36,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 2,814 | $36,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 2,887 | $36,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 1,656 | $36,000 | thousands by filing date | |
| iShares MSCI Russia | 46434G806 | ISHARES MSCI RUSSIA ETF | 2,664 | $36,000 | thousands by filing date | |
| CAMBER ENERGY INC COM | 549333300 | Stock | 9,576 | $36,000 | thousands by filing date | |
| CALAMOS ETF TR | 12811T100 | FOCUS GROWTH | 3,586 | $36,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 2,210 | $35,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 5,608 | $35,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,878 | $35,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,452 | $35,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 1,453 | $35,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 1,844 | $35,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 921 | $35,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 3,135 | $35,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 1,725 | $35,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 1,741 | $35,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 1,304 | $35,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,756 | $35,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 7,200 | $35,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 5,888 | $35,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 32,262 | $35,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 55,760 | $35,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 492 | $35,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 2,720 | $35,000 | thousands by filing date | |
| PROSHARES SHORT MDCP 400 | 74347R800 | ETF | 2,363 | $35,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 805 | $35,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 1,418 | $35,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 1,498 | $35,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W506 | PWRSHR DB GERM | 934 | $35,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X467 | MSCI EM50 ETF | 848 | $35,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,490 | $35,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 11,681 | $35,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 10,302 | $35,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 8,376 | $35,000 | thousands by filing date | |
| JPMORGAN CHINA | 48126T104 | Cl-EndFund Eq 1 | 2,274 | $35,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 3,967 | $35,000 | thousands by filing date | |
| ENDESA AMERS SA | 29261D104 | SPON ADR ADDED | 2,524 | $35,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B613 | CONTRARIAN OPP | 1,451 | $35,000 | thousands by filing date | |
| PROSHARES TR | 74347B458 | ULTRA OIL & GAS | 1,342 | $35,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 400 | $34,000 | thousands by filing date | call |
| UNIQURE NV | N90064101 | SHS | 4,600 | $34,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 848 | $34,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 7,300 | $34,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 1,889 | $34,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 1,243 | $34,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,715 | $34,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 3,916 | $34,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 4,215 | $34,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 3,161 | $34,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 2,315 | $34,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 7,881 | $34,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 508 | $34,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 4,866 | $34,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 1,269 | $34,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 2,717 | $34,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 4,810 | $34,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 15,282 | $34,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 22,200 | $34,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 5,217 | $34,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W407 | PWRSHR 3X GERM | 618 | $34,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 122,082 | $34,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 2,049 | $34,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 6,466 | $34,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 1,643 | $34,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 1,561 | $33,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 3,678 | $33,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 2,140 | $33,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 4,900 | $33,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 18,553 | $33,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 1,104 | $33,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 1,620 | $33,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 2,523 | $33,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,018 | $33,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 2,100 | $33,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 4,643 | $33,000 | thousands by filing date | |
| ISHARES TR EUR CUR HDG ETF | 46435G698 | CEF | 1,300 | $33,000 | thousands by filing date | |
| NANOSPHERE INC COM NEW | 63009F204 | Stock | 19,507 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347B623 | ULTPRO SHT NAS | 1,009 | $33,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P189 | IPT COPPER ETN | 1,361 | $33,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 7,911 | $33,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 1,683 | $32,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 1,341 | $32,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 2,900 | $32,000 | thousands by filing date | call |
| OFG BANCORP | 67103X102 | COM | 3,901 | $32,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 1,380 | $32,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 1,281 | $32,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 2,018 | $32,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 2,859 | $32,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 1,217 | $32,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,491 | $32,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,480 | $32,000 | thousands by filing date | |
| STRATEGY | 86280R100 | EXCHANGE TRADED | 845 | $32,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 889 | $32,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 1,103 | $32,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,000 | $32,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 3,129 | $32,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 1,200 | $32,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 2,413 | $32,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,800 | $32,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 1,052 | $32,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 750 | $32,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 1,248 | $32,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 2,189 | $32,000 | thousands by filing date | |
| STARZ | 85571Q201 | COM | 1,034 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,053 | $32,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 1,051 | $32,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 300 | $31,000 | thousands by filing date | call |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 2,126 | $31,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 3,017 | $31,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 3,110 | $31,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 1,200 | $31,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 3,375 | $31,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 4,451 | $31,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,500 | $31,000 | thousands by filing date | put |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 1,421 | $31,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 8,378 | $31,000 | thousands by filing date | |
| PROSHARES TR | 74347R263 | ULTRA COMMUNICTN | 285 | $31,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,718 | $31,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 752 | $31,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 6,700 | $31,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 3,074 | $31,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 3,244 | $31,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 777 | $31,000 | thousands by filing date | |
| YOU ON DEMAND HOLDINGS INC | 98741R207 | COM | 18,832 | $31,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G878 | IPATH GEMS ASIA8 | 745 | $31,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H483 | PS CMDT DS ETN | 749 | $31,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX II | 06741K486 | ETP | 860 | $31,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 15,900 | $31,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 2,403 | $31,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 2,123 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 1,647 | $31,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 18,718 | $31,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 6,322 | $31,000 | thousands by filing date | |
| PAYMENT DATA SYS INC | 70438S202 | COM NEW | 23,236 | $31,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 1,258 | $31,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F858 | Cmn | 1,428 | $31,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 900 | $30,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 1,640 | $30,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 1,117 | $30,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 818 | $30,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 3,118 | $30,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,250 | $30,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,577 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74348A707 | ULTRA HIGH YLD | 555 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 608 | $30,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 2,115 | $30,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 6,448 | $30,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 5,742 | $30,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 3,845 | $30,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 8,078 | $30,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 8,008 | $30,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 6,850 | $30,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 2,063 | $30,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,169 | $30,000 | thousands by filing date | |
| LAPORTE BANCORP INC MD | 516651106 | COM | 1,850 | $30,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 6,746 | $30,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 2,662 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 895 | $30,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q494 | BUZZ US SMT LDR | 1,297 | $30,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 3,830 | $30,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 43,093 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 1,461 | $30,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 2,201 | $29,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 698 | $29,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 6,541 | $29,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 7,500 | $29,000 | thousands by filing date | call |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 4,125 | $29,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 1,527 | $29,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 781 | $29,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 3,728 | $29,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 121,148 | $29,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 1,530 | $29,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 1,305 | $29,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 3,209 | $29,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 9,099 | $29,000 | thousands by filing date | |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 1,268 | $29,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 6,565 | $29,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 3,121 | $29,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 23,140 | $29,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 961 | $29,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 1,766 | $29,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 3,909 | $29,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 36,052 | $29,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297306 | RG ENRGY ETN22 | 11,131 | $29,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 921 | $29,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 1,450 | $29,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H420 | IPATH AS GLF CUR | 599 | $29,000 | thousands by filing date | |
| IPATH PURE BETA CRUDE OIL | 06740P221 | CMN | 1,710 | $29,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 2,672 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 2,653 | $29,000 | thousands by filing date | |
| BARCLAYS BK PLC IPTH NAT GAS | 06740P239 | COM | 1,552 | $29,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 2,478 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 648 | $29,000 | thousands by filing date | |
| NORSAT INTL INC NEW | 656512209 | COM NEW | 4,353 | $29,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 2,912 | $29,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 1,440 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 2,146 | $29,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K497 | DLY CYB SEC BEAR | 711 | $29,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUISITION | 42588J209 | UNIT 99/99/9999 | 2,854 | $29,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 1,500 | $28,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 3,689 | $28,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,271 | $28,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 1,963 | $28,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 5,475 | $28,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 5,228 | $28,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 1,323 | $28,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 2,219 | $28,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 10,795 | $28,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-019736 | this filing | 2016-08-12 | acceptance time not in the bulk data set |