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 |
|---|---|---|---|---|---|---|
| EURASIAN MINERALS INC | 29843R100 | COM | 8,896 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H321 | ETN DJUBSALUMI38 | 473 | $7,000 | thousands by filing date | |
| China Yida Holdings Co | 16945D303 | COM PAR $0.0001 | 2,409 | $7,000 | thousands by filing date | |
| AOXING PHARMACEUTICAL CO INC | 03740A106 | COM | 10,070 | $7,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 1,986 | $7,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 2,222 | $7,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 2,833 | $7,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 2,269 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 244 | $7,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 1,800 | $7,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 10,484 | $7,000 | thousands by filing date | |
| FORWARD PHARMA A/S | 34986J105 | SPONSORED ADR | 365 | $7,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 441 | $7,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 4,023 | $7,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 3,833 | $7,000 | thousands by filing date | |
| ECO STIM ENERGY SOLUTIONS IN | 27888D101 | COM | 2,515 | $7,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 1,283 | $7,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 2,229 | $7,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 300 | $7,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 2,053 | $7,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 266 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K513 | DLY CYB SEC BULL | 266 | $7,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N302 | CL A NEW | 1,788 | $7,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 533 | $7,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740209 | UNIT 10/20/2021 | 710 | $7,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,000 | $6,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 592 | $6,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 1,040 | $6,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 110 | $6,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 199 | $6,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 200 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 223 | $6,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 621 | $6,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 200 | $6,000 | thousands by filing date | put |
| MEXCO ENERGY CORP | 592770101 | COM | 2,456 | $6,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,172 | $6,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 391 | $6,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 100 | $6,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 733 | $6,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 1,426 | $6,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,565 | $6,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,420 | $6,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,160 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 555 | $6,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 297 | $6,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 397 | $6,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 568 | $6,000 | thousands by filing date | |
| MGT CAP INVTS INC COM NEW | 55302P202 | Equities | 1,594 | $6,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 900 | $6,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 3,445 | $6,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 594 | $6,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 9,612 | $6,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,463 | $6,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 3,309 | $6,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 1,600 | $6,000 | thousands by filing date | |
| ISHARES DOW JONES UBS ROLL S | 45032K102 | SHS BEN INT | 172 | $6,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 3,717 | $6,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 11,000 | $6,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 1,620 | $6,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 700 | $6,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 15,000 | $6,000 | thousands by filing date | principal |
| SIGMATRON INTL INC | 82661L101 | COM | 939 | $6,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 4,308 | $6,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 3,000 | $6,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 20,575 | $6,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 429 | $6,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 500 | $6,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 4,387 | $6,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 25,138 | $6,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 3,703 | $6,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 300 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K825 | MTLS LNG ETN38 | 709 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 2,011 | $6,000 | thousands by filing date | |
| CURRENCYSHARES SINGAPORE DLR | 23130K100 | SHS | 76 | $6,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 2,400 | $6,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 3,612 | $6,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 1,776 | $6,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 5,462 | $6,000 | thousands by filing date | |
| WASHINGTON FED INC | 938824117 | *W EXP 11/14/201 | 900 | $6,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 3,231 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 284 | $6,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 1,368 | $6,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 2,761 | $6,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406608 | SHS VAR VTG | 1,242 | $6,000 | thousands by filing date | |
| TANTECH HLDGS LTD | G8675X107 | COM | 1,410 | $6,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 2,065 | $6,000 | thousands by filing date | |
| ACRE RLTY INVS INCORPORATED REIT | 00489F106 | REIT | 3,814 | $6,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,500 | $6,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 3,286 | $6,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 9,153 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y509 | Cmn | 250 | $6,000 | thousands by filing date | |
| CRYOPORT INC | 229050125 | W EXP 07/29/202 | 8,330 | $6,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 1,050 | $6,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131202 | COM NEW | 1,978 | $6,000 | thousands by filing date | |
| SAMSON OIL&GAS LTD ADR SPONSORED | 796043206 | ADR | 7,928 | $6,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 637 | $6,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 403 | $6,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 6,048 | $6,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247107 | COM | 600 | $6,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M205 | STOCK UNIT | 601 | $6,000 | thousands by filing date | |
| Lpath Inc | 548910405 | Equities | 2,922 | $6,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 11,504 | $6,000 | thousands by filing date | |
| VESTIN RLTY MTG II INC | 92549X300 | COM PAR | 2,410 | $6,000 | thousands by filing date | |
| ETFS TR | 26923J305 | Cmn | 218 | $6,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 180 | $5,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 3,643 | $5,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 1,000 | $5,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 500 | $5,000 | thousands by filing date | put |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 3,085 | $5,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 2,000 | $5,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 1,136 | $5,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 218 | $5,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 100 | $5,000 | thousands by filing date | put |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 318 | $5,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 1,900 | $5,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 100 | $5,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 227 | $5,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 415 | $5,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 861 | $5,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 617 | $5,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 2,000 | $5,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 2,625 | $5,000 | thousands by filing date | |
| BOS BETTER ONLINE SOLUTIONS | M20115180 | SHS NEW NIS 80 | 1,783 | $5,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 1,500 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 187 | $5,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 745 | $5,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 2,125 | $5,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,344 | $5,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 167 | $5,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,171 | $5,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 688 | $5,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 100 | $5,000 | thousands by filing date | put |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 3,036 | $5,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 1,720 | $5,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 124 | $5,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,700 | $5,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 7,135 | $5,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 19,439 | $5,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 175 | $5,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 3,700 | $5,000 | thousands by filing date | call |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 9,011 | $5,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 2,149 | $5,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 518 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 10,000 | $5,000 | thousands by filing date | principal |
| Castle Brands Inc | 148435100 | COM | 7,201 | $5,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 862 | $5,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 39,275 | $5,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 5,028 | $5,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 2,815 | $5,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 7,890 | $5,000 | thousands by filing date | |
| GOLDEN ENTERPRISES | 381010107 | COM | 737 | $5,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 598 | $5,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 1,057 | $5,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 6,410 | $5,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 5,776 | $5,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 3,000 | $5,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 862 | $5,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 29,228 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B761 | FND INV GR CP | 189 | $5,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 531 | $5,000 | thousands by filing date | |
| VOLTARI CORP NEW | 92870X309 | COM | 1,597 | $5,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 62,725 | $5,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 3,000 | $5,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 229 | $5,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 673 | $5,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 952 | $5,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 191 | $5,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 308 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 386 | $5,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 900 | $5,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 10,484 | $5,000 | thousands by filing date | |
| ARMCO METALS HLDGS XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/20 | 042182204 | COM | 27,095 | $5,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 636 | $5,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 10,742 | $5,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104209 | Common Stock | 4,278 | $5,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 1,927 | $5,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 451 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X149 | FNDMTL US SHRT | 100 | $5,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 46 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 1,393 | $5,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 700 | $5,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 1,500 | $5,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 2,714 | $5,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760137 | SHS NEW | 2,295 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X289 | JAPAN MULTIFCTOR | 213 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 199 | $5,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 374 | $5,000 | thousands by filing date | |
| EnerJex Resources Inc | 292758406 | COM | 16,179 | $5,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 14,247 | $5,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC SHS NEW 2014 | Y2187A127 | Stock | 11,716 | $5,000 | thousands by filing date | |
| FINANCIAL SERVICES SELECT SECTOR SPDR FUND | 81369Y878 | ETF | 184 | $5,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M105 | COM | 1,500 | $5,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 500 | $5,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 4,975 | $5,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 1,345 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X495 | US DOMESTIC ECNM | 197 | $5,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W113 | SPONSRD ADR NEW | 4,648 | $5,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 500 | $5,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 7,745 | $5,000 | thousands by filing date | |
| AR CAPITAL ACQUISITION CORP | 00191R109 | COM | 498 | $5,000 | thousands by filing date | |
| GORES HLDGS INC | 382866200 | UNIT 99/99/9999 | 500 | $5,000 | thousands by filing date | |
| TRIMTABS ETF TR | 89628W203 | FREE CSH FLOW | 224 | $5,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 13,300 | $5,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 100 | $4,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 289 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 3,119 | $4,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 111 | $4,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 611 | $4,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 3,252 | $4,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 1,500 | $4,000 | thousands by filing date | put |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 700 | $4,000 | thousands by filing date | call |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 77 | $4,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 114 | $4,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,422 | $4,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 892 | $4,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 436 | $4,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 4,284 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L761 | CR SCD US BD | 69 | $4,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 941 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 178 | $4,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 445 | $4,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 804 | $4,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 210 | $4,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,202 | $4,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 896 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 300 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 208 | $4,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 1,791 | $4,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 2,015 | $4,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 3,271 | $4,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 208 | $4,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 4,293 | $4,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 1,915 | $4,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,924 | $4,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 2,720 | $4,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 200 | $4,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 366 | $4,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 1,705 | $4,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 200 | $4,000 | thousands by filing date | call |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 3,116 | $4,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 89 | $4,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 791 | $4,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 1,421 | $4,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,898 | $4,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 2,600 | $4,000 | thousands by filing date | put |
| ROSETTA STONE INC | 777780107 | COM | 493 | $4,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 3,157 | $4,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 246 | $4,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 2,139 | $4,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 326 | $4,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 778 | $4,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 500 | $4,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 6,700 | $4,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 200 | $4,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 2,830 | $4,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 154 | $4,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 500 | $4,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 16,000 | $4,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 4,000 | $4,000 | thousands by filing date | principal |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 3,400 | $4,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H475 | PS CMDT DL ETN | 1,317 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 65 | $4,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 2,060 | $4,000 | thousands by filing date | |
| Xenith Bankshares, Inc. | 98410X105 | Common Stock | 471 | $4,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 243 | $4,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 6,272 | $4,000 | thousands by filing date | |
| DIGITAL PWR CORP | 253862106 | COM | 9,476 | $4,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 266 | $4,000 | thousands by filing date | |
| BLACKROCK MD MUNICIPAL BOND | 09249L105 | COM | 248 | $4,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 3,253 | $4,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H102 | COM | 7,195 | $4,000 | thousands by filing date | |
| OPTIBASE LTD | M7524R116 | SHS NEW NIS0.13 | 520 | $4,000 | thousands by filing date | |
| CHINA AUTO LOGISTICS INC | 16936J202 | COM NEW | 2,247 | $4,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639209 | UNIT 12/06/20166 | 152 | $4,000 | thousands by filing date | |
| KINGOLD JEWELRY INC | 49579A204 | COM NEW | 2,257 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H164 | ETN GLB CARB38 | 796 | $4,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 1,882 | $4,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 11,375 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 922 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K216 | DAILY S&P BEAR | 200 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 97 | $4,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 377 | $4,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 4,000 | $4,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y103 | SCIEN BETA | 146 | $4,000 | thousands by filing date | |
| CHINA RECYCLING ENERGY CORP | 168913200 | COM NEW | 1,937 | $4,000 | thousands by filing date | |
| NXT ID INC | 67091J123 | *W EXP 02/09/201 | 24,697 | $4,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 4,000 | $4,000 | thousands by filing date | principal |
| REALITY | 75605A603 | SHS ETF TR DIVCON DIV ETF | 200 | $4,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 1,485 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A875 | DMND HILL VAL | 185 | $4,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L100 | COM | 6,131 | $4,000 | thousands by filing date | |
| EPIRUS Biopharmaceuticals Inc | 29428P107 | Common Stock | 8,783 | $4,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 723 | $4,000 | thousands by filing date | |
| GLBR 2.25 06/18 | 302693AB2 | Bond 30/360P2 U | 12,000 | $4,000 | thousands by filing date | principal |
| NXT ID INC COM | 67091J107 | Stock | 12,623 | $4,000 | thousands by filing date | |
| DXI ENERGY INC COM | 23286A104 | Stock | 33,443 | $4,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 386 | $4,000 | thousands by filing date | |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 400 | $4,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789100 | UNIT 12/17/2021T | 410 | $4,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 236 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y636 | MKT ADPTV ETF | 183 | $4,000 | thousands by filing date | |
| DEHAIER MEDICAL SYSTEMS LIMI | G27010100 | SHS | 2,913 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X178 | MSCI INTL REAL | 100 | $4,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 100 | $3,000 | thousands by filing date | put |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 510 | $3,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 281 | $3,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 3,000 | $3,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 62 | $3,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 400 | $3,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 100 | $3,000 | thousands by filing date | put |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 576 | $3,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 100 | $3,000 | thousands by filing date | call |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 1,273 | $3,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 1,622 | $3,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 1,170 | $3,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 257 | $3,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 1,252 | $3,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,000 | $3,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 679 | $3,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 574 | $3,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 406 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 220 | $3,000 | thousands by filing date | |
| EURO TECH HOLDINGS CO LTD | G32030127 | SHS NEW | 1,315 | $3,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 1,029 | $3,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 170 | $3,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 328 | $3,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 2,157 | $3,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 773 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 200 | $3,000 | thousands by filing date | call |
| ESSA BANCORP INC COM | 29667D104 | Stock | 194 | $3,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 600 | $3,000 | thousands by filing date | put |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 1,660 | $3,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 2,846 | $3,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 122 | $3,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 2,500 | $3,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AG6 | DBCV 6.750%10/1 | 1,000 | $3,000 | thousands by filing date | principal |
| Transition Therapeutics, Inc. | 893716209 | COM | 1,956 | $3,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 2,307 | $3,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 1,042 | $3,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 5,533 | $3,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 200 | $3,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 860 | $3,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 300 | $3,000 | thousands by filing date | call |
| INTELSAT S A | L5140P101 | COM | 1,141 | $3,000 | thousands by filing date | |
| DAKOTA PLAINS | 234255107 | COMMON STOCK | 31,326 | $3,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 4,312 | $3,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 12,227 | $3,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 800 | $3,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 2,093 | $3,000 | thousands by filing date | |
| MERUS LABS INTL INC NEW | 59047R101 | COM | 2,380 | $3,000 | thousands by filing date | |
| MRV COMMUNICATIONS INC | 553477407 | COMMON | 254 | $3,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 110 | $3,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 518 | $3,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 927 | $3,000 | thousands by filing date | |
| Leading Brands Inc. | 52170U207 | COM | 1,760 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 73 | $3,000 | thousands by filing date | |
| BLONDER TONGUE LABS INC | 093698108 | COM | 6,663 | $3,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 4,000 | $3,000 | thousands by filing date | principal |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 1,606 | $3,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 848 | $3,000 | thousands by filing date | |
| CHINA HGS REAL ESTATE INC | 16948W100 | COM | 1,505 | $3,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 5,050 | $3,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 2,523 | $3,000 | thousands by filing date | |
| ERBA DIAGNOSTICS | 29490B101 | COM | 4,339 | $3,000 | thousands by filing date | |
| THE9 LTD | 88337K104 | ADR | 1,601 | $3,000 | thousands by filing date | |
| CHINA METRO-RURAL HLDGS LTD | G3163G104 | SHS | 3,446 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L519 | FUND | 101 | $3,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 22,694 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 92 | $3,000 | thousands by filing date | |
| NF ENERGY SAVING CORP | 629099300 | COM PAR $0.001 | 3,403 | $3,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 3,952 | $3,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 895 | $3,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 1,700 | $3,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,100 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B305 | LNG SHT TRACK | 158 | $3,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592309 | SHS NEW | 1,508 | $3,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 3,360 | $3,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 5,813 | $3,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 450 | $3,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 153 | $3,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 600 | $3,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 587 | $3,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 629410606 | COM | 300 | $3,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 159 | $3,000 | thousands by filing date | |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 247 | $3,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 1,420 | $3,000 | thousands by filing date | |
| JRJR33 INCORPORATED | 46645Q106 | Common Stock | 3,709 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 80 | $3,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 3,000 | $3,000 | thousands by filing date | principal |
| DETERMINE INC | 250660107 | COM | 2,020 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 3,000 | $3,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 2,628 | $3,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 1,018 | $3,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 495 | $3,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC COM | 591018882 | Stock | 3,947 | $3,000 | thousands by filing date | |
| FUNCTIONX INC NEW COM NEW | 36077T108 | Stock | 12,188 | $3,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 232 | $3,000 | thousands by filing date | |
| Medovex Corp | 58504H101 | COM | 2,302 | $3,000 | thousands by filing date | |
| CHINA ADVANCED CONSTR MATLS | 169365202 | COM NEW | 1,246 | $3,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 266 | $3,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 231 | $3,000 | thousands by filing date | |
| ADVAXIS INC | 007624117 | *W EXP 10/22/201 | 747 | $3,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18385P804 | GUGGENHEIM US | 100 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P320 | IPTH LIVESTK | 62 | $3,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y106 | COM | 2,030 | $3,000 | thousands by filing date | |
| BOULEVARD ACQUISITION | 10157Q110 | *W EXP 09/25/202 | 10,000 | $3,000 | thousands by filing date | |
| COMBIMATRIX CORPORATION | 20009T501 | COM PAR | 1,198 | $3,000 | thousands by filing date | |
| CERECOR INC | 15671L125 | *W EXP 04/20/201 | 5,680 | $3,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 1,522 | $3,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 18,572 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 422 | $2,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 100 | $2,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 200 | $2,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 100 | $2,000 | thousands by filing date | put |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 540 | $2,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 195 | $2,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 85 | $2,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 170 | $2,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 41 | $2,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,601 | $2,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 87 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,000 | $2,000 | thousands by filing date | principal |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 90 | $2,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 411 | $2,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 1,091 | $2,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 767 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 350 | $2,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 1,000 | $2,000 | thousands by filing date | principal |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 406 | $2,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 4,300 | $2,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 100 | $2,000 | thousands by filing date | put |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 100 | $2,000 | thousands by filing date | call |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 72 | $2,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 1,259 | $2,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 200 | $2,000 | thousands by filing date | put |
| SEMLER SCIENTIFIC INC | 81684M104 | COM | 1,290 | $2,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 396 | $2,000 | thousands by filing date | |
| WESTBURY BANCORP INC COM | 95727P106 | COM | 100 | $2,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 200 | $2,000 | thousands by filing date | call |
| DERMIRA INC | 24983L104 | COM | 54 | $2,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 150 | $2,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 300 | $2,000 | thousands by filing date | call |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 74 | $2,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 385 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 2,000 | $2,000 | thousands by filing date | principal |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 900 | $2,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,000 | $2,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 138 | $2,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 1,651 | $2,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,305 | $2,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 455 | $2,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 221 | $2,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 470 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 9,385 | $2,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 2,612 | $2,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 10,633 | $2,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| ASTA FUNDING INC | 046220109 | COM | 183 | $2,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 1,000 | $2,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 3,813 | $2,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 638901306 | PFD | 619 | $2,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,509 | $2,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 2,300 | $2,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 595 | $2,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 1,020 | $2,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 34,135 | $2,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 500 | $2,000 | thousands by filing date | |
| CLEANTECH SOLUTIONS INTL INC | 18451N204 | COM NEW | 1,652 | $2,000 | thousands by filing date | |
| Professional Diversity Network | 74312y103 | COM | 4,336 | $2,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 2,359 | $2,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H566 | PS AGRI DS ETN | 105 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 100 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 82 | $2,000 | thousands by filing date | |
| CHINA INFORMATION TECHNOLOGY | G21174100 | CMN | 1,500 | $2,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 1,140 | $2,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 194 | $2,000 | thousands by filing date | |
| EVER GLORY INTL GRP INC | 299766204 | COM | 925 | $2,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 7,264 | $2,000 | thousands by filing date | |
| TROVAGENE INC | 897238119 | W EXP 99/99/999 | 820 | $2,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 1,139 | $2,000 | thousands by filing date | |
| CHINA BAK BATTERY INC | 16936Y209 | COM | 942 | $2,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M108 | SHS | 1,406 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X179 | ULT MSCIMEX CAPP | 68 | $2,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 251 | $2,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 180 | $2,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 166 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 447,097 | $2,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 3,280 | $2,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 951 | $2,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 1,407 | $2,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 230 | $2,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 715 | $2,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 1,000 | $2,000 | thousands by filing date | put |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CROSSROADS CAP INC COM | 227656105 | COM | 1,171 | $2,000 | 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 |