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 |
|---|---|---|---|---|---|---|
| CREDIT SUISSE AG NASSAU BRH | 22539T100 | EXCH TRAD SPVXSP | 1,378 | $16,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 2,223 | $15,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 800 | $15,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 500 | $15,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 582 | $15,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 3,710 | $15,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 6,649 | $15,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,379 | $15,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 420 | $15,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 555 | $15,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 2,378 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 740 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 606 | $15,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 964 | $15,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,399 | $15,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 3,349 | $15,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 812 | $15,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 574 | $15,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 13,000 | $15,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 15,000 | $15,000 | thousands by filing date | principal |
| PIXELWORKS INC | 72581M305 | COM NEW | 8,009 | $15,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,894 | $15,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 832 | $15,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 27,000 | $15,000 | thousands by filing date | principal |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 587 | $15,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 663 | $15,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 8,605 | $15,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 3,340 | $15,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 2,630 | $15,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 1,462 | $15,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 3,350 | $15,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 1,160 | $15,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 680 | $15,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 7,013 | $15,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 2,368 | $15,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 13,000 | $15,000 | thousands by filing date | principal |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 904 | $15,000 | thousands by filing date | |
| EMPIRE RES INC DEL | 29206E100 | COM | 4,308 | $15,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 1,603 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P148 | IPT COFFEE ETN | 994 | $15,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P338 | FUND | 423 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 501 | $15,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 11,094 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 704 | $15,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 255 | $15,000 | thousands by filing date | |
| SEARS HLDGS CORP | 812350155 | *W EXP 12/15/201 | 3,718 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 738 | $15,000 | thousands by filing date | |
| NOVA LIFESTYLE INC | 66979P102 | COM | 36,372 | $15,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 21,952 | $15,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 9,600 | $15,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J100 | COM | 1,500 | $15,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 1,430 | $15,000 | thousands by filing date | |
| JM GLOBAL HLDG CO | 46590H200 | UNIT 99/99/9999 | 1,518 | $15,000 | thousands by filing date | |
| Carbylan Therapeutics Inc. | 141384107 | COM | 22,150 | $15,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 37,601 | $15,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G607 | RESTAURANT ETF | 616 | $15,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J104 | SHS | 1,596 | $15,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V202 | UNIT 07/18/2016 | 1,805 | $15,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 1,200 | $14,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 610 | $14,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 415 | $14,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 3,334 | $14,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 999 | $14,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 6,797 | $14,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,401 | $14,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 1,300 | $14,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 4,797 | $14,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 3,082 | $14,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,984 | $14,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 8,164 | $14,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 2,689 | $14,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 3,826 | $14,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 3,382 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 786 | $14,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 800 | $14,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 10,600 | $14,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 6,619 | $14,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 5,442 | $14,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 14,925 | $14,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 35,122 | $14,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 2,000 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 534 | $14,000 | thousands by filing date | |
| GAMING PARTNERS INTERNATIONAL CORP | 36467A107 | COMMON | 1,528 | $14,000 | thousands by filing date | |
| CLAYMORE CEF GS ETF | 362273104 | ETF | 917 | $14,000 | thousands by filing date | |
| AMERICAN ELECTRIC TECHNOLOGIES | 025576109 | COMM | 5,264 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 132 | $14,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 524 | $14,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 1,132 | $14,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 3,000 | $14,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 12,034 | $14,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 1,018 | $14,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 2,328 | $14,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B826 | AUST SM CP ETF | 919 | $14,000 | thousands by filing date | |
| HEAT BIOLOGICS INC | 42237K102 | COM | 20,101 | $14,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 547 | $14,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 600 | $14,000 | thousands by filing date | |
| WISDOMTREE DYNAMIC LONG/SHORT | 97717x313 | INDX FD | 521 | $14,000 | thousands by filing date | |
| BAY BANCORP INC | 07203T106 | COM | 2,824 | $14,000 | thousands by filing date | |
| DEUTSCHE X-TRACKERS DOW JONES HEDGED INTERNATIONAL REAL ESTATE ETF | 233051689 | ETF | 583 | $14,000 | thousands by filing date | |
| UCP INC - CL A | 90265Y106 | Common Stock | 1,699 | $14,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F395 | TREAS HEDGED HIG | 639 | $14,000 | thousands by filing date | |
| CNOVA ORD | N20947102 | COM | 2,782 | $14,000 | thousands by filing date | |
| LABSTYLE INNOVATIONS CORP $5.0 | 50544T302 | COM | 2,802 | $14,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y644 | Cmn | 607 | $14,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 1,398 | $14,000 | thousands by filing date | |
| ETFS TR | 26923J404 | DIV FCT DEV EU | 600 | $14,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| GEOPARK LTD USD SHS | G38327105 | Stock | 4,000 | $13,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 884 | $13,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 500 | $13,000 | thousands by filing date | call |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 1,978 | $13,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 532 | $13,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,354 | $13,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 2,403 | $13,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 1,934 | $13,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,627 | $13,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $13,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,499 | $13,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 3,485 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 308 | $13,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,236 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 500 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 274 | $13,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,727 | $13,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 5,000 | $13,000 | thousands by filing date | principal |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 1,018 | $13,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 8,653 | $13,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 5,509 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P806 | RIVRFRNT DYN EUR | 268 | $13,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 7,800 | $13,000 | thousands by filing date | call |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 5,385 | $13,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 475 | $13,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 730 | $13,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 1,771 | $13,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 1,500 | $13,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 1,939 | $13,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 7,045 | $13,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 4,150 | $13,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,304 | $13,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 1,652 | $13,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 3,266 | $13,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 8,022 | $13,000 | thousands by filing date | |
| NOVOGEN LIMITED | 67010F202 | SPON ADR 1:25 SH | 6,827 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R115 | PSHS CONSUMR GD | 715 | $13,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 1,675 | $13,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 2,935 | $13,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,718 | $13,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,637 | $13,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 993 | $13,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 510 | $13,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,200 | $13,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 522 | $13,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 506 | $13,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 8,187 | $13,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 898 | $13,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 2,801 | $13,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 260 | $13,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 557 | $13,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 186 | $13,000 | thousands by filing date | |
| Neothetics Inc | 64066G101 | COM | 13,300 | $13,000 | thousands by filing date | |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 1,285 | $13,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V103 | COM | 1,400 | $13,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 573 | $12,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 200 | $12,000 | thousands by filing date | put |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 183 | $12,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 1,079 | $12,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 736 | $12,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 287 | $12,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 10,634 | $12,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 727 | $12,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 700 | $12,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,583 | $12,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,555 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 518 | $12,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 426 | $12,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,854 | $12,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,116 | $12,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 1,143 | $12,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,000 | $12,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,795 | $12,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 700 | $12,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 2,498 | $12,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 550 | $12,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 1,565 | $12,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 1,483 | $12,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 6,661 | $12,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 1,998 | $12,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 500 | $12,000 | thousands by filing date | put |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 7,000 | $12,000 | thousands by filing date | principal |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,384 | $12,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 33,374 | $12,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K866 | PS CR OIL LG ETN | 2,615 | $12,000 | thousands by filing date | |
| E FUTURE INFORMATION TECH IN | G29438101 | SHS | 2,247 | $12,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 3,201 | $12,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 222 | $12,000 | thousands by filing date | |
| CERULEAN PHARMA INC | 15708Q105 | COM | 5,887 | $12,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 614 | $12,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 4,225 | $12,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 109 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 181 | $12,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 532 | $12,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B101 | COM | 2,996 | $12,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 6,160 | $12,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 2,865 | $12,000 | thousands by filing date | |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 20,000 | $12,000 | thousands by filing date | principal |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 19,416 | $12,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 1,470 | $12,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R207 | PFD CONV SER A | 183 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P312 | IPTH ENRGY ETN | 679 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K729 | Cmn | 1,787 | $12,000 | thousands by filing date | |
| CYNAPSUS THERAPEUTICS INC | 23257Y859 | COM PAR NO PAR | 700 | $12,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 1,156 | $11,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 869 | $11,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 3,100 | $11,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 467 | $11,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 580 | $11,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 839 | $11,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 1,055 | $11,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 800 | $11,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 1,406 | $11,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,030 | $11,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 20,000 | $11,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,699 | $11,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,449 | $11,000 | thousands by filing date | |
| LOXO ONCOLOGY INC | 548862101 | COM | 485 | $11,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 23,392 | $11,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 5,509 | $11,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | call |
| ICAD INC | 44934S206 | COM NEW | 2,170 | $11,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 3,521 | $11,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 442 | $11,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 687 | $11,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 3,603 | $11,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,987 | $11,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 6,043 | $11,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 16,706 | $11,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 1,407 | $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 |
| Tremor Video | 89484Q100 | Common Stock | 5,998 | $11,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,471 | $11,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 4,433 | $11,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 1,304 | $11,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 53,917 | $11,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 131 | $11,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 5,000 | $11,000 | thousands by filing date | principal |
| AMERICAN INDEPENDENCE CORP | 026760405 | COM | 449 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F119 | ETN DJUBS NCKL37 | 1,000 | $11,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 474 | $11,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 1,698 | $11,000 | thousands by filing date | |
| DS HEALTHCARE GROUP INC | 23336Q109 | COM | 14,452 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P205 | RUSS1000 3X LG | 60 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P874 | EMRG MK 3X LNG | 318 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P122 | IPTH S&P GSCI | 509 | $11,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 150 | $11,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 4,408 | $11,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 2,924 | $11,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 1,800 | $11,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 781 | $11,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 2,346 | $11,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 3,800 | $11,000 | thousands by filing date | |
| Proshares Ultrashort Health ETF | 74348A228 | COM | 244 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 629 | $11,000 | thousands by filing date | |
| OPGEN INC | 68373L109 | COM | 7,325 | $11,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 2,698 | $11,000 | thousands by filing date | |
| FORM HLDGS CORP COM | 34634E102 | Stock | 5,724 | $11,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 1,326 | $11,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 600 | $11,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 1,000 | $11,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 1,890 | $11,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 13,871 | $11,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U200 | UNIT 01/01/2023X | 1,100 | $11,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F650 | INDONESIA SMALL | 1,284 | $11,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 5,091 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 322 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 491 | $10,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 877 | $10,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 345 | $10,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 2,430 | $10,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 1,000 | $10,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 959 | $10,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 7,501 | $10,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 200 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 439 | $10,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 700 | $10,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 11,382 | $10,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 356 | $10,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 6,430 | $10,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 3,000 | $10,000 | thousands by filing date | call |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 6,128 | $10,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 848 | $10,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 10,030 | $10,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,250 | $10,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 1,500 | $10,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 3,689 | $10,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 1,750 | $10,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 800 | $10,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 2,100 | $10,000 | thousands by filing date | call |
| REEDS INC COM | 758338107 | Stock | 3,997 | $10,000 | thousands by filing date | |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 1,512 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A517 | UL PROSHTFIN NEW | 591 | $10,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 491 | $10,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 450 | $10,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 1,863 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B670 | S&P EMRGHIBETA | 621 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 391 | $10,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 2,456 | $10,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 706 | $10,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 4,711 | $10,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 6,245 | $10,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 5,702 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 450 | $10,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 1,594 | $10,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 2,180 | $10,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 1,271 | $10,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 1,105 | $10,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 466 | $10,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP | 31809H209 | UNIT 99/99/9999 | 967 | $10,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 828 | $10,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 1,654 | $10,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 2,629 | $10,000 | thousands by filing date | |
| DEXTERA SURGICAL INC COM | 252366109 | CS | 5,317 | $10,000 | thousands by filing date | |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 1,034 | $10,000 | thousands by filing date | |
| ETFS TR | 26923J107 | ZACKS LG CP US | 467 | $10,000 | thousands by filing date | |
| PROSHARES TR II | 74347W288 | ULT BLMBRG COMM | 278 | $10,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 3,172 | $9,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 634 | $9,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 871 | $9,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,558 | $9,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 5,936 | $9,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 1,462 | $9,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,011 | $9,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 413 | $9,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 814 | $9,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 1,174 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 188 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 327 | $9,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 770 | $9,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 4,000 | $9,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 3,745 | $9,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 7,500 | $9,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 266 | $9,000 | thousands by filing date | |
| BIO GREEN MED SOL 6pcnt PFDCONV | 23254L207 | COMMON STOCK | 1,454 | $9,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 1,000 | $9,000 | thousands by filing date | put |
| JOHNSON CONTROLS INT F | 478366107 | COM | 200 | $9,000 | thousands by filing date | put |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,286 | $9,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 500 | $9,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,753 | $9,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 666 | $9,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739H263 | FUND | 342 | $9,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,069 | $9,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 700 | $9,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 7,281 | $9,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 4,404 | $9,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 2,425 | $9,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 4,018 | $9,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 1,100 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 381 | $9,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 1,666 | $9,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 4,000 | $9,000 | thousands by filing date | principal |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 1,440 | $9,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 820 | $9,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 5,845 | $9,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 520 | $9,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 500 | $9,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 5,049 | $9,000 | thousands by filing date | |
| UNITED STS COMMODITY IDX FDT | 911718203 | COM UTS US AGR | 466 | $9,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L100 | COM | 3,323 | $9,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 500 | $9,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M400 | COM NEW | 2,037 | $9,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 2,479 | $9,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 2,705 | $9,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,477 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 395 | $9,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 6,245 | $9,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 5,147 | $9,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 800 | $9,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,137 | $9,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 3,666 | $9,000 | thousands by filing date | |
| SAJAN INC | 79379T202 | COM NEW | 2,031 | $9,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 4,000 | $9,000 | thousands by filing date | principal |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 2,326 | $9,000 | thousands by filing date | |
| ISHARES INC | 46434G871 | MIN VOLA EM | 382 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B522 | JAP HED LOW VO | 392 | $9,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588105 | SHS | 900 | $9,000 | thousands by filing date | |
| AOXIN TIANLI GROUP INC | G0404E104 | Cmn | 10,555 | $9,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E207 | Pref Stk | 2,348 | $9,000 | thousands by filing date | |
| VENAXIS INC | 92262A206 | COM NEW | 2,557 | $9,000 | thousands by filing date | |
| Janus Velocity Tail Risk Hdgd Lg Cp ETF | 00162Q817 | com | 324 | $9,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 153 | $8,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 234 | $8,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 1,414 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 155 | $8,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 100 | $8,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 500 | $8,000 | thousands by filing date | call |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,633 | $8,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 300 | $8,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 1,411 | $8,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 1,037 | $8,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 659 | $8,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 925 | $8,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,121 | $8,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 500 | $8,000 | thousands by filing date | call |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,100 | $8,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 651 | $8,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 460 | $8,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 276 | $8,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 5,550 | $8,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 34,379 | $8,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 12,585 | $8,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 47,142 | $8,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 1,323 | $8,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 1,737 | $8,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 757 | $8,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 508 | $8,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 1,320 | $8,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 1,000 | $8,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 8,000 | $8,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 3,074 | $8,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 3,406 | $8,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 7,071 | $8,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 2,788 | $8,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 7,846 | $8,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 700 | $8,000 | thousands by filing date | |
| CSX CORP | 126408GA5 | US DOMESTIC | 3,000 | $8,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H453 | FUND | 283 | $8,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 667 | $8,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 604 | $8,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG COMPANY LTD ADR NEW | 98584B202 | COM | 1,880 | $8,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 970 | $8,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 602 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 324 | $8,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 1,400 | $8,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 1,091 | $8,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 283 | $8,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 1,000 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G722 | JPX NIKKEI 400 | 400 | $8,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 2,077 | $8,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 2,362 | $8,000 | thousands by filing date | |
| PROSHARES ULTRASHORT UTILITIES | 74347B722 | FUND | 276 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 400 | $8,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 2,547 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 303 | $8,000 | thousands by filing date | |
| NAKED BRAND GROUP INC COM | 629839200 | COM | 5,546 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 350 | $8,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 3,180 | $8,000 | thousands by filing date | |
| FOGO DE CHAO INC | 344177100 | COM | 625 | $8,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 6,420 | $8,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 691 | $8,000 | thousands by filing date | |
| YULONG ECO MATLS LTD | G98847117 | ORD SHS NEW | 4,811 | $8,000 | thousands by filing date | |
| JAGUAR ANIMAL HEALTH INC | 47008L106 | COM | 4,622 | $8,000 | thousands by filing date | |
| MODSYS INTL LTD | M70378100 | SHS | 5,277 | $8,000 | thousands by filing date | |
| Sierra Oncology, Inc. | 74346L101 | common | 4,141 | $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 |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 4,568 | $7,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 937 | $7,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 460 | $7,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 897 | $7,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 363 | $7,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 2,451 | $7,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 902 | $7,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 454 | $7,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 3,012 | $7,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,720 | $7,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 685 | $7,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 500 | $7,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 300 | $7,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 6,358 | $7,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 341 | $7,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 433 | $7,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 500 | $7,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 4,751 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X156 | US SHT TRM CORP | 150 | $7,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 550 | $7,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 577 | $7,000 | thousands by filing date | |
| ELLOMAY CAPITAL LIMITED | M39927120 | SHS | 881 | $7,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 971 | $7,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 100 | $7,000 | thousands by filing date | call |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 1,953 | $7,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 511 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 17,376 | $7,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 584 | $7,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 651 | $7,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,824 | $7,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 609 | $7,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 1,700 | $7,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 627 | $7,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 1,129 | $7,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,456 | $7,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 3,595 | $7,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 4,900 | $7,000 | thousands by filing date | call |
| ANCHOR | 032838104 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 312 | $7,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,670 | $7,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 840 | $7,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 2,210 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 556 | $7,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,791 | $7,000 | 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 |