13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 7,747 holding rows worth $167,743,054,000.
- Accession
- 0000950123-16-022420
- Filer
- CIK 1610520
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 12,798 entries on the cover page, a total value of $167,743,054,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $167,743,111,000 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 |
|---|---|---|---|---|---|---|
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 22,000 | $99,000 | thousands by filing date | principal |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 7,069 | $99,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 3,315 | $98,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 990 | $98,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 3,517 | $98,000 | thousands by filing date | |
| ACTIONS SEMICONDUCTOR CO LTD | 00507E107 | ADR | 46,952 | $98,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 586 | $98,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 9,919 | $98,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,300 | $97,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 3,000 | $97,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 444 | $97,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 2,000 | $97,000 | thousands by filing date | put |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,100 | $97,000 | thousands by filing date | call |
| US ECOLOGY INC COM | 91732J102 | COM | 2,171 | $97,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 69,887 | $97,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 289 | $97,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 15,600 | $97,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 4,395 | $97,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL ROTN | 00400R866 | CEF | 3,980 | $97,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 7,000 | $96,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,981 | $96,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,640 | $96,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 3,801 | $96,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 2,127 | $96,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 4,234 | $96,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 13,886 | $95,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 4,167 | $95,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 90,926 | $95,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 2,944 | $95,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 2,762 | $94,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 1,411 | $94,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 5,693 | $94,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 7,235 | $94,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 3,621 | $94,000 | thousands by filing date | |
| COSTCO COMPANIES INC | 22160QAC6 | NOTE 8/1 | 27,000 | $94,000 | thousands by filing date | principal |
| NUVEEN NY | 670706100 | COM | 5,899 | $94,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,936 | $94,000 | thousands by filing date | |
| VITAE PHARMACEUTICALS INC | 92847N103 | COM | 4,533 | $94,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 3,136 | $93,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 3,731 | $93,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 6,064 | $93,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 14,997 | $93,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 5,717 | $93,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 3,149 | $92,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 7,700 | $91,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 4,535 | $91,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 8,212 | $91,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 3,769 | $91,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 4,487 | $91,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 3,711 | $90,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 12,528 | $90,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 8,311 | $90,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 4,859 | $90,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 2,448 | $89,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 15,925 | $89,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 8,534 | $89,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 4,741 | $89,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 4,991 | $89,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 2,720 | $88,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 1,276 | $88,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 2,343 | $88,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 7,807 | $88,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 1,099 | $88,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 2,897 | $88,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 7,118 | $88,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 10,800 | $88,000 | thousands by filing date | call |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 2,710 | $88,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 1,573 | $88,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 4,674 | $88,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 1,654 | $88,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 4,800 | $87,000 | thousands by filing date | put |
| AAR CORP | 000361105 | COM | 2,753 | $87,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 3,657 | $87,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 3,508 | $87,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 2,722 | $87,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 15,078 | $87,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 9,822 | $87,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 1,359 | $87,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 12,288 | $87,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 2,000 | $86,000 | thousands by filing date | call |
| ISHARES TR | 464287101 | S&P 100 ETF | 900 | $86,000 | thousands by filing date | put |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 3,415 | $86,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 26,173 | $86,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODUCTS INC | 16938C106 | COMM STK | 687 | $86,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D548 | VS 3XINV CRUDE | 1,280 | $86,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 2,714 | $86,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 12,269 | $85,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 8,599 | $85,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,315 | $85,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 18,000 | $85,000 | thousands by filing date | |
| BLDRS EUROPE 100 ADR INDEX | 09348R409 | COM | 4,365 | $85,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 33,558 | $85,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 6,053 | $84,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,866 | $84,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 3,384 | $84,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 6,193 | $84,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 2,205 | $84,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 6,509 | $84,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 6,734 | $84,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P130 | IPTH PURE COCA | 2,043 | $84,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 20,708 | $84,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,262 | $84,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 13,524 | $84,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 3,101 | $83,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 3,000 | $83,000 | thousands by filing date | call |
| LA Z BOY INC | 505336107 | COM | 3,409 | $83,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 18,044 | $83,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,958 | $83,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 3,735 | $83,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 3,500 | $83,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 1,399 | $83,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 1,223 | $83,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 4,136 | $83,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 25,981 | $82,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 2,000 | $82,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 8,294 | $82,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 11,234 | $82,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 6,083 | $82,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 2,335 | $82,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 8,874 | $82,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 5,588 | $82,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 5,125 | $82,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 1,271 | $82,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 2,806 | $82,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 8,699 | $82,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 1,864 | $81,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 2,563 | $81,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 2,467 | $81,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 6,161 | $81,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 11,483 | $81,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 1,912 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 2,847 | $81,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G509 | TAC MAN US COR | 3,666 | $81,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 3,149 | $80,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 2,455 | $80,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 8,648 | $80,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 4,166 | $80,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 18,879 | $80,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 1,843 | $80,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 11,500 | $79,000 | thousands by filing date | call |
| SUNRUN INC | 86771W105 | COM | 12,497 | $79,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 9,343 | $79,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 3,520 | $79,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 47,354 | $79,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 3,539 | $79,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 66,000 | $79,000 | thousands by filing date | principal |
| CAPELLA EDUCATION CO | 139594105 | COM | 1,370 | $79,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 33,950 | $79,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 2,232 | $79,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 8,481 | $79,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 1,182 | $78,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 2,083 | $78,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,110 | $78,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 3,580 | $78,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 4,729 | $78,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 9,226 | $78,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 4,512 | $78,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D100 | ETN STOXX EUR 50 | 843 | $78,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 6,472 | $77,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 3,881 | $77,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 17,182 | $77,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 10,706 | $77,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 7,171 | $77,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 4,591 | $77,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 1,381 | $77,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 28,170 | $77,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 7,500 | $77,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 2,900 | $77,000 | thousands by filing date | |
| CENTRUE FINL CORP NEW | 15643B205 | COM NEW | 4,114 | $77,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 2,500 | $76,000 | thousands by filing date | put |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 7,832 | $76,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 9,173 | $76,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 2,554 | $76,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 7,159 | $76,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,855 | $76,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 11,073 | $76,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 12,905 | $76,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 2,606 | $76,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 6,181 | $76,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 800 | $76,000 | thousands by filing date | put |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 13,486 | $76,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 8,700 | $76,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 5,614 | $76,000 | thousands by filing date | |
| PROSHARES ULTRAPRO NASDAQ BIOTECHNOLOGY ETF | 74347B474 | ETF | 2,622 | $76,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T597 | VELOCITY SHS EXC | 3,454 | $76,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A883 | VAL MKT LEG ET | 3,072 | $76,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 582 | $75,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 6,285 | $75,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 15,705 | $75,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 9,343 | $75,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 2,401 | $75,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 855 | $75,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 7,359 | $75,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 3,375 | $75,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 3,572 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74347R370 | PSHS SH MSCI EAF | 2,381 | $75,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 4,388 | $75,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 7,667 | $75,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 3,082 | $75,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 2,909 | $75,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 3,023 | $75,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 11,415 | $74,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 3,750 | $74,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 4,000 | $74,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 2,369 | $74,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 28,650 | $74,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 5,000 | $74,000 | thousands by filing date | put |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 9,927 | $74,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,601 | $74,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 2,461 | $73,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 4,071 | $73,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L493 | 10 YR TREAS BULL | 888 | $73,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 8,052 | $73,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 600 | $72,000 | thousands by filing date | put |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 3,640 | $72,000 | thousands by filing date | |
| PROSHARES TR | 74348A673 | ULT MSCIBZL CAPP | 3,600 | $72,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 1,918 | $72,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 42,328 | $72,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17321F201 | CTRAKS ETN MILLR | 4,381 | $72,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 2,622 | $71,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 1,315 | $71,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 7,438 | $71,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 2,655 | $71,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 20,466 | $71,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 6,495 | $71,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 4,000 | $71,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 707 | $71,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 13,271 | $71,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 3,195 | $71,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 6,802 | $71,000 | thousands by filing date | |
| PROSHARES TR | 74347R768 | ULTRA CONSU STAP | 1,832 | $71,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 4,627 | $71,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 9,964 | $71,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 27,630 | $71,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H139 | W EXP 11/14/2018 | 2,342 | $71,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 2,808 | $71,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 2,475 | $71,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 3,139 | $71,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 43,300 | $71,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 1,895 | $70,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 1,643 | $70,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 4,389 | $70,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 1,320 | $70,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,711 | $70,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 3,777 | $70,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 5,027 | $70,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 4,100 | $70,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 3,102 | $70,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 3,524 | $70,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P403 | RUSS2000 3X LG | 444 | $70,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L852 | COM | 1,972 | $70,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 2,753 | $70,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 1,543 | $70,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 4,166 | $70,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 1,870 | $69,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 2,108 | $69,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 16,100 | $69,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N208 | Cmn | 12,098 | $69,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 1,351 | $68,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 3,457 | $68,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 3,739 | $68,000 | thousands by filing date | |
| DIREXION DAILY | 25459Y306 | TL BD MKT BEAR | 2,197 | $68,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 1,101 | $68,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 12,426 | $68,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 3,400 | $68,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 3,307 | $68,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 4,355 | $68,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 6,519 | $67,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 1,100 | $67,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 9,490 | $67,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 8,425 | $67,000 | thousands by filing date | |
| WATSCO INC | 942622101 | CL B CONV | 476 | $67,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 3,143 | $67,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 2,828 | $67,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,511 | $67,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,840 | $67,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 4,001 | $67,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 1,498 | $67,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 21,179 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 889 | $67,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 2,354 | $67,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 6,265 | $67,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74348A350 | ETF | 2,208 | $67,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 525 | $67,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 3,687 | $67,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 1,400 | $66,000 | thousands by filing date | put |
| COMMVAULT SYS INC COM | 204166102 | Stock | 1,237 | $66,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 3,418 | $66,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 2,999 | $66,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 2,455 | $66,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 2,681 | $66,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 12,100 | $66,000 | thousands by filing date | call |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 6,623 | $66,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 2,050 | $66,000 | thousands by filing date | |
| ESSENDANT INC | 296689102 | COM | 3,224 | $66,000 | thousands by filing date | |
| IZEA INC | 46603N301 | COM | 11,231 | $66,000 | thousands by filing date | |
| iShares Currency Hedged MSCI Germany ETF | 97717W638 | COM | 2,741 | $66,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 6,390 | $65,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 3,350 | $65,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 2,644 | $65,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 7,075 | $65,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 64,000 | $65,000 | thousands by filing date | principal |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 7,095 | $65,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,032 | $65,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 5,911 | $65,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 20,445 | $65,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 2,952 | $65,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 3,205 | $64,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,875 | $64,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,313 | $64,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 2,131 | $64,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 3,971 | $64,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 3,160 | $64,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 5,372 | $64,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 3,955 | $64,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 1,588 | $64,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 1,911 | $64,000 | thousands by filing date | |
| CNO FINL GROUP INC | 12621E103 | COM | 4,164 | $63,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 3,866 | $63,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,683 | $63,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 3,423 | $63,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 4,319 | $63,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 9,315 | $63,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 11,489 | $63,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 3,773 | $63,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 17,133 | $63,000 | thousands by filing date | |
| MORGAN STANLEY | 617480280 | SHRT EUR ETN20 | 1,134 | $63,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 2,693 | $63,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 2,838 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 3,221 | $63,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 3,680 | $62,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 2,508 | $62,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 2,941 | $62,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,668 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 3,100 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,884 | $62,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 2,824 | $62,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 20,947 | $62,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 1,684 | $62,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 8,961 | $62,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 4,783 | $62,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 1,000 | $61,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 1,519 | $61,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 3,414 | $61,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 4,646 | $61,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 3,013 | $61,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 5,114 | $61,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 9,158 | $61,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 3,079 | $61,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 3,086 | $61,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 9,529 | $61,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,966 | $61,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 3,488 | $61,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 2,248 | $61,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 2,056 | $60,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,816 | $60,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,225 | $60,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 1,123 | $60,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 6,024 | $60,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 1,291 | $60,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 26,370 | $60,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 15,148 | $60,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 3,524 | $60,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 4,008 | $60,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 3,532 | $60,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 1,840 | $60,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR QTY 2000 | 00400R403 | CEF | 2,882 | $60,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 4,195 | $60,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 3,150 | $59,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 2,749 | $59,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 2,788 | $59,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 2,702 | $59,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 19,228 | $59,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 8,240 | $59,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 1,508 | $59,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 2,452 | $59,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 5,530 | $59,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 2,397 | $59,000 | thousands by filing date | |
| STONE ENERGY CORP COM NEW | 861642304 | Stock | 4,982 | $59,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 2,287 | $59,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 3,368 | $58,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,205 | $58,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 500 | $58,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 1,809 | $58,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 1,789 | $58,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 8,161 | $58,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 3,295 | $58,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 2,705 | $58,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 5,728 | $58,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 588 | $58,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 4,096 | $58,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 3,113 | $58,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 6,492 | $58,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 13,812 | $58,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 22,700 | $58,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D654 | 3X INVERS SILV | 2,833 | $58,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B696 | S&P INTDEV HIB | 2,329 | $58,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 43,180 | $58,000 | thousands by filing date | |
| ABERDEEN GTR CHINA FD INC | 003031101 | COM | 6,330 | $58,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,673 | $58,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 4,555 | $57,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 2,965 | $57,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 1,557 | $57,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 3,200 | $57,000 | thousands by filing date | call |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 3,401 | $57,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 2,603 | $57,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 2,868 | $57,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 307 | $57,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 15,991 | $57,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 4,831 | $57,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 1,698 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 6,027 | $57,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 1,360 | $57,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 3,809 | $57,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 9,950 | $57,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 15,355 | $56,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 2,203 | $56,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 3,200 | $56,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 6,560 | $56,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 4,963 | $56,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 3,241 | $56,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 3,835 | $56,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR RNG 2000 | 00400R106 | CEF | 2,584 | $56,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 3,301 | $56,000 | thousands by filing date | |
| PROSHARES TR | 74347B730 | ULSHRT TECH NEW | 1,665 | $56,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 23,935 | $56,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E176 | GURU INTL IDX | 3,998 | $56,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 76,839 | $55,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 1,694 | $55,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 8,000 | $55,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 3,337 | $55,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,760 | $55,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 3,137 | $55,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 2,620 | $55,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,402 | $55,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 4,999 | $55,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 5,435 | $55,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 3,912 | $55,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 1,270 | $55,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 6,696 | $55,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 11,693 | $55,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 2,382 | $55,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 20,000 | $55,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 2,949 | $55,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 20,100 | $55,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 1,101 | $55,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 6,997 | $54,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 1,750 | $54,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 1,040 | $54,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 5,861 | $54,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 7,374 | $54,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 7,154 | $54,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 1,540 | $54,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 4,835 | $54,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 4,355 | $54,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 2,504 | $54,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,571 | $54,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 13,344 | $54,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 1,255 | $54,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 9,444 | $54,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 6,627 | $54,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 6,683 | $54,000 | thousands by filing date | |
| EATON VANCE MASSACH MUN BOND | 27828K108 | CMN | 3,536 | $54,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P197 | IPTH LEAD ETN | 1,524 | $54,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W265 | RUPEE/USD ETN | 1,428 | $54,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 75,000 | $54,000 | thousands by filing date | principal |
| ADEPTUS HEALTH | 006855100 | Common Stock | 1,258 | $54,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 2,356 | $54,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 1,880 | $53,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 2,811 | $53,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 2,330 | $53,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 16,600 | $53,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 1,434 | $53,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 7,928 | $53,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 3,798 | $53,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 7,744 | $53,000 | thousands by filing date | |
| COMMERCE UNION BANCSHARES INC | 200828101 | Common Stock | 2,682 | $53,000 | thousands by filing date | |
| IMS HEALTH HOLDINGS | 44970B109 | COM | 1,701 | $53,000 | thousands by filing date | |
| WISDOMTREE EMERGING MARKETS CONSUMER GROWTH FUND | 97717W539 | ETF | 2,353 | $53,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 5,300 | $53,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 1,734 | $52,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 2,519 | $52,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 10,258 | $52,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 7,215 | $52,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 1,763 | $52,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 6,380 | $52,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 1,339 | $52,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 2,797 | $52,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 5,000 | $52,000 | thousands by filing date | put |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 4,247 | $52,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 963 | $52,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 5,820 | $52,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 8,223 | $52,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 13,430 | $52,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF T | 73935B862 | VAR RAT INV GR | 2,100 | $52,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U803 | VELOCITY VOLATIL | 1,726 | $52,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 4,268 | $51,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 1,925 | $51,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 5,796 | $51,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 1,589 | $51,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-022420 | this filing | 2016-11-14 | acceptance time not in the bulk data set |