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 |
|---|---|---|---|---|---|---|
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 3,598 | $2,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH X | 22539T399 | COM | 55 | $2,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| VICAL INC | 925602203 | COM NEW | 500 | $2,000 | thousands by filing date | |
| SKY SOLAR HLDGS LTD | 83084J103 | SPONSORED ADR | 526 | $2,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 9,343 | $2,000 | thousands by filing date | |
| LEGG MASON ETF INVESTMENT TR | 52468L109 | DEV EX US ETF | 80 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X420 | GLBL HGD SMLCP | 98 | $2,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053307 | SPONS ADR NEW | 1,936 | $2,000 | thousands by filing date | |
| URSTADT BIDDLE PPTYS INC | 917286809 | PFD-G CV 6.75 | 79 | $2,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 2,000 | $2,000 | thousands by filing date | principal |
| ISHARES EDGE MSCI MIN VOL EAFE CURRENCY HEDGED ETF | 46435G714 | ETF | 79 | $2,000 | thousands by filing date | |
| CNX COAL RES LP COM UNIT RP LP | 12592V100 | Stock | 197 | $2,000 | thousands by filing date | |
| SYSOREX GLOBAL COM NEW | 87184N203 | Stock | 3,534 | $2,000 | thousands by filing date | |
| CEPHEID | 15670RAC1 | DBCV 1.250% 2/0 | 2,000 | $2,000 | thousands by filing date | principal |
| AMEDICA CORP COM PAR | 023435209 | Stock | 1,203 | $2,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 1,617 | $2,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 1,040 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 84 | $2,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 154 | $2,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 89 | $2,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 8,106 | $2,000 | thousands by filing date | |
| INVENTERGY GLOBAL INC | 46123X409 | COM NEW ADDED | 1,630 | $2,000 | thousands by filing date | |
| YUMA ENERGY INC | 98872E108 | COM | 5,391 | $2,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 179 | $2,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 1,113 | $2,000 | thousands by filing date | |
| WOWO LTD | 98212L101 | SPONSORED ADR | 504 | $2,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P288 | IPTH SOFTS ETN | 87 | $2,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M129 | *W EXP 08/01/201 | 161,527 | $2,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 40 | $1,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 628 | $1,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 32 | $1,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 160 | $1,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 100 | $1,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 45 | $1,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 400 | $1,000 | thousands by filing date | put |
| DUCOMMUN INC DEL | 264147109 | COM | 75 | $1,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 494 | $1,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $1,000 | thousands by filing date | put |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 100 | $1,000 | thousands by filing date | put |
| ARDELYX INC | 039697107 | COM | 100 | $1,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 56 | $1,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 58 | $1,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 20 | $1,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 100 | $1,000 | thousands by filing date | call |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 32 | $1,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 176 | $1,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 87 | $1,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 88 | $1,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 106 | $1,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 10 | $1,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 333 | $1,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 662 | $1,000 | thousands by filing date | |
| Equitable Financial Corp. | 29448T105 | NON 13F SECURITY | 89 | $1,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y300 | PRNCPL VLU ETF | 24 | $1,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 812 | $1,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 1,003 | $1,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 677 | $1,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 282 | $1,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 21 | $1,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 20 | $1,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 292 | $1,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 304 | $1,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 2,669 | $1,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 166 | $1,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 1,200 | $1,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 100 | $1,000 | thousands by filing date | call |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 1,000 | $1,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 215 | $1,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 1,043 | $1,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,600 | $1,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 1,073 | $1,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,008 | $1,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 3,317 | $1,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 600 | $1,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 1,600 | $1,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 1,448 | $1,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 312 | $1,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 572 | $1,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 500 | $1,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 1,500 | $1,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 1,018 | $1,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 450 | $1,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 400 | $1,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 115 | $1,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 1,000 | $1,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 568 | $1,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 57 | $1,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| COSI INC | 22122P200 | COM | 1,125 | $1,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 250 | $1,000 | thousands by filing date | |
| WAYNE SAVINGS BANCSHARES INC | 94624Q101 | COMMON | 49 | $1,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 795 | $1,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 162 | $1,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 60 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K841 | MTLS DBL ETN38 | 227 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 46 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H541 | PSHS AGRI SHR38 | 23 | $1,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 72 | $1,000 | thousands by filing date | |
| Hamilton Bancorp Inc. | 407015106 | Common Stock | 83 | $1,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 43 | $1,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828106 | SHS | 500 | $1,000 | thousands by filing date | |
| MICRONET $6.25 04/15/ | 595117110 | WARRANT | 7,168 | $1,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 413 | $1,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 12,729 | $1,000 | thousands by filing date | |
| HMG COURTLAND PPTYS INC | 404232100 | COM | 147 | $1,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 274 | $1,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 300 | $1,000 | thousands by filing date | |
| CORDIA BANCORP INC | 218513109 | COM | 142 | $1,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 533 | $1,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 278 | $1,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 1,594 | $1,000 | thousands by filing date | |
| HIGHPOWER INTL INC | 43113X101 | COM | 546 | $1,000 | thousands by filing date | |
| CHINA NATURAL RESOURCES INC | G2110U109 | COM | 956 | $1,000 | thousands by filing date | |
| FUWEI FILMS HLDGS CO LTD | G3704F102 | SHS | 893 | $1,000 | thousands by filing date | |
| First Financial Bancorp Warrants | 320209117 | Warrant | 106 | $1,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 641 | $1,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 1,191 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 38 | $1,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 149 | $1,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 262 | $1,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 703 | $1,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 500 | $1,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 771 | $1,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES INC | 674870407 | COM PAR $ | 370 | $1,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 1,000 | $1,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 1,000 | $1,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 1,000 | $1,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489303 | CL A NEW | 47 | $1,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 225 | $1,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 1,388 | $1,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 2,200 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B870 | CDS SH NA HYCR | 27 | $1,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 12,298 | $1,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 1,000 | $1,000 | thousands by filing date | principal |
| DELTA TECHNOLOGY HLDGS LTD USD | G8477B105 | ORD SHS | 1,047 | $1,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 1,000 | $1,000 | thousands by filing date | principal |
| COTIVITI HLDGS INC | 22164K101 | COM | 40 | $1,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 13 | $1,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831113 | *W EXP 12/18/201 | 5,617 | $1,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,000 | $1,000 | thousands by filing date | principal |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 15 | $1,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 2,000 | $1,000 | thousands by filing date | principal |
| NEFF CORP COM CL A | 640094207 | Stock | 73 | $1,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 458 | $1,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 861 | $1,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 1,062 | $1,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM | 759757107 | Stock | 1,432 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F619 | SPINOFF | 50 | $1,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 757 | $1,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789118 | *W EXP 12/17/202 | 11,984 | $1,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP II | G0441P120 | RIGHT 09/01/2017 | 3,350 | $1,000 | thousands by filing date | |
| RIGHTSIDE GROUP LTD | 76658B100 | COM | 58 | $1,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588121 | *W EXP 10/20/202 | 5,700 | $1,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q304 | COM NEW | 1,065 | $1,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588139 | UNIT 99/99/9999 | 80 | $1,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 929 | $1,000 | thousands by filing date | |
| HONGLI CLEAN ENERGY TECHNOLO | 438586109 | COM | 4,005 | $1,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255153 | *W | 4,400 | $1,000 | thousands by filing date | |
| XTERA COMMUNICATIONS INC | 98415E300 | COM | 940 | $1,000 | thousands by filing date | |
| SKYPEOPLE FRUIT JUICE INC | 83086T307 | COM | 445 | $1,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 2,000 | $1,000 | thousands by filing date | |
| ELEVATION ETF TR | 28622M209 | DHANDHO JUNOON | 39 | $1,000 | thousands by filing date | |
| LIME ENERGY CO COM | 53261U304 | COM | 715 | $1,000 | thousands by filing date | |
| GENCO SHIPPING & TRADING LTD | Y2685T115 | Cmn | 1,080 | $1,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P116 | *W EXP 01/21/202 | 3,151 | $1,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 175 | $1,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P116 | *W EXP 06/19/202 | 5,536 | $1,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 8,300 | $1,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 37 | $1,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 63 | $1,000 | thousands by filing date | |
| SENSUS HEATLHCARE INC | 81728J208 | UNIT 99/99/9999 | 234 | $1,000 | thousands by filing date | |
| AccuShares Spot CBOE VIX Up Sh | 00441G309 | ETP | 100 | $1,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 65 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| A10 NETWORKS INC | 002121101 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RADWARE LTD | M81873107 | COMMON STOCK | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 242 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOPIN CORP | 500600101 | COMMON STOCK | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADWIND INC | 11161T207 | CMN | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 344 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASIA PACIFIC WIRE & CABLE CO | G0535E106 | ORD | 110 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KOSS CORP | 500692108 | COM | 153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Surmodics Inc | 868873100 | Common Stock | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 76 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUNA INNOVATIONS INC | 550351100 | COM | 221 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 81 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANRO CORP | 066800103 | COM | 800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 161 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIGNET INC | 766582100 | COM | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAST THERAPEUTICS INC | 576314108 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARTE-HANKS INC | 416196103 | COM | 127 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DSP GROUP INC | 23332B106 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANK MUTUAL CORP | 063750103 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 11,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPPORT COM INC | 86858W101 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AUTOBYTEL INC | 05275N205 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STONE ENERGY CORP | 861642AN6 | NOTE | 1,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 84 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIODEL INC | 09064M204 | COM | 353 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 52 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTREE GOLD INC | 29383G100 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 270 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 907 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 96 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Timmins Gold Corp | 88741P103 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRONET ENERTEC TECH | 595117102 | COMMON | 87 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE PA MUN BD FD | 27828W102 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 84 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 6,090 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 299 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATOSSA GENETICS INC | 04962H100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GALECTIN THERAPEUTICS INC | 363225301 | UNIT 99/99/9999 | 303 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 64 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HORIZON GLOBAL CORP | 44052W104 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOCYTE CORP | 68235C107 | COM | 136 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 1,125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM RES INC | 916901705 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 589 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABILITY INC | G8789K108 | SHS | 54 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI CARD GROUP INC | 12634H101 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VIVEVE MED INC | 92852W204 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LOMBARD MED INC | G55598109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZAFGEN INC | 98885E103 | COM | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06740D830 | RTRN DISABILIT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 321 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CIVEO CORP CDA | 17878Y108 | COM | 338 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUALSTAR CORP | 74758R208 | COM NEW | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| StemCells, Inc. | 85857R303 | COM | 467 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Asterias Biothera 16 Wts | 04624N115 | Warrants | 1,184 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LM FDG AMER INC | 502074115 | *W EXP 10/31/202 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y400 | Cmn | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F120 | *W EXP 08/20/201 | 259 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JENSYN ACQUISITION CORP | 47632B128 | RIGHT 99/99/9999 | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WRIGHT MED GROUP N V | N96617126 | RIGHT 03/01/2019 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEUTSCHE X-TRACKERS S&P HEDGED GLOBAL INFRASTRUCTURE ETF | 233051671 | ETF | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUDBAY MINERALS INC | 443628136 | *W EXP 07/20/201 | 593 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 750 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 750 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CSOP ETF TR | 12649L303 | CHINA CSI 300 | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A818 | ALPHACLONE INT | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANDINA ACQUISITION CORP II | G0441P138 | *W EXP 11/23/202 | 700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 3,050 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDOVEX CORP | 58504H119 | *W EXP 12/24/201 | 775 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELTA TECHNOLOGY HLDGS LTD | G8477B113 | *W EXP 12/18/201 | 2,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TROVAGENE INC | 897238200 | UNIT 12/31/2017 | 240 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 404 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVE VENTURES INC | 538142100 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 88 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIPHI BIOSCIENCES ORD SHS | 03211P202 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACE HLDGS CORP | G6865N111 | W EXP 99/99/999 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E COMPASS ACQUISITION CORP | G2920Y119 | RIGHT 02/1 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL EMPLOYMENT ENTERPRIS | 369730304 | Cmn | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELCATH SYS INC | 24661P401 | Cmn | 144 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLORI ENERGY INC | 379606106 | Cmn | 450 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INSPIREMD INC | 45779A507 | Cmn | 1,275 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 602 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TERRAPIN 3 ACQUISITION CORP | 88104P112 | *W EXP 06/27/201 | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBEIMMUNE INC | 37957B100 | COM | 215 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AROWANA INC | G05011120 | RIGHT 01/01/2017 | 900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 1347 CAP CORP | 68245V129 | *W EXP 07/15/202 | 1,234 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERCLOUD SYS INC | 458488111 | *W EXP 08/25/201 | 766 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |