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 |
|---|---|---|---|---|---|---|
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,500 | $28,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,038 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y165 | DAILY 500 2X ETF | 753 | $28,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 1,253 | $28,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 33,885 | $28,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N840 | VCSHS INTL VOLTY | 809 | $28,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 14,309 | $28,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 2,000 | $28,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 40,242 | $28,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,990 | $28,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 2,203 | $28,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 2,986 | $28,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 1,205 | $28,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 1,542 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 435 | $28,000 | thousands by filing date | |
| IPATH PURE BETA GRAINS | 06740P270 | CMN | 868 | $28,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 935 | $28,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 11,012 | $28,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 854 | $28,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 2,464 | $28,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 1,070 | $28,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M183 | GUGENHIM 2023 | 1,056 | $28,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 1,505 | $28,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 2,548 | $28,000 | thousands by filing date | |
| VANECK VECTORS SOLAR ENERGY ETF | 92189F874 | ETF | 721 | $28,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 3,500 | $27,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 700 | $27,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 700 | $27,000 | thousands by filing date | call |
| ANGIODYNAMICS INC | 03475V101 | COM | 1,559 | $27,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,062 | $27,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 1,037 | $27,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 973 | $27,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 2,596 | $27,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 494 | $27,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 459 | $27,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,055 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 329 | $27,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,439 | $27,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 15,178 | $27,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 2,449 | $27,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,695 | $27,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 3,745 | $27,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 1,136 | $27,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 82,824 | $27,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 2,815 | $27,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 4,726 | $27,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 979 | $27,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 2,105 | $27,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 4,914 | $27,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 1,745 | $27,000 | thousands by filing date | |
| BARCLAYS BK PLC IPTH NAT GAS | 06740P239 | COM | 1,552 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 723 | $27,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 6,083 | $27,000 | thousands by filing date | |
| DIFFERENTIAL BRANDS GROUP IN | 25374L108 | COM | 4,764 | $27,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 1,800 | $27,000 | thousands by filing date | |
| StemCells, Inc. | 85857R303 | COM | 19,854 | $27,000 | thousands by filing date | |
| SESEN BIO, INC. | 286221106 | COM | 9,745 | $27,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612109 | SHS | 3,842 | $27,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 32,197 | $27,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 1,228 | $27,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 500 | $26,000 | thousands by filing date | put |
| GEOPARK LTD USD SHS | G38327105 | Stock | 7,935 | $26,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 1,394 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 485 | $26,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 810 | $26,000 | thousands by filing date | call |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 1,500 | $26,000 | thousands by filing date | put |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,680 | $26,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,057 | $26,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 1,097 | $26,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 2,589 | $26,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 1,993 | $26,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 9,645 | $26,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 3,179 | $26,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 3,287 | $26,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 572 | $26,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 1,797 | $26,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 1,917 | $26,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 3,460 | $26,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 6,373 | $26,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 659 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 1,038 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W463 | JAPAN HDG FINL | 1,355 | $26,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E689 | MSCI PAKISTAN | 1,659 | $26,000 | thousands by filing date | |
| Cenveo Inc (NV) | 15670S402 | CS | 3,685 | $26,000 | thousands by filing date | |
| ELEVATION ETF TR | 28622M209 | DHANDHO JUNOON | 1,060 | $26,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,260 | $25,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 300 | $25,000 | thousands by filing date | put |
| CLOROX CO DEL | 189054109 | COM | 200 | $25,000 | thousands by filing date | put |
| AC IMMUNE SA | H00263105 | SHS | 1,537 | $25,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 500 | $25,000 | thousands by filing date | put |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,338 | $25,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,200 | $25,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 4,807 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 799 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 587 | $25,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 1,538 | $25,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,939 | $25,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,072 | $25,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 669 | $25,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,795 | $25,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 2,300 | $25,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 7,160 | $25,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 952 | $25,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 4,919 | $25,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 1,163 | $25,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 2,548 | $25,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 9,775 | $25,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 1,500 | $25,000 | thousands by filing date | put |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 4,602 | $25,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 2,400 | $25,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,345 | $25,000 | thousands by filing date | |
| SUSSEX BANCORP | 869245100 | COMMON | 1,514 | $25,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 1,150 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E846 | GLB X BRAZ CON | 1,883 | $25,000 | thousands by filing date | |
| PROSHARES SHORT BASIC MAT | 74347X559 | COM | 1,038 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H533 | PS AGRI LG ETN | 2,140 | $25,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 1,187 | $25,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,512 | $25,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 1,261 | $25,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 998 | $25,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 1,037 | $25,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 4,088 | $25,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 1,394 | $25,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 1,600 | $25,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 7,153 | $25,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 797 | $25,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 2,629 | $25,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 1,549 | $25,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 2,639 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 1,739 | $25,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,250 | $25,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 4,629 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74348A368 | ULTRASHORT INDL | 848 | $25,000 | thousands by filing date | |
| PERSHING GOLD CORP | 715302204 | COM NEW | 5,566 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B472 | RUSEL 1000 LOW | 935 | $25,000 | thousands by filing date | |
| USCF ETF TR | 90290T106 | STK SPLT IDX FD | 1,666 | $25,000 | thousands by filing date | |
| DIMENSION THERAPEUTICS INC | 25433V105 | COM | 3,109 | $25,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y644 | Cmn | 1,074 | $25,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 300 | $24,000 | thousands by filing date | put |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 3,263 | $24,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 650 | $24,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 1,684 | $24,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 486 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 300 | $24,000 | thousands by filing date | put |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 1,417 | $24,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,195 | $24,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 1,285 | $24,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 1,252 | $24,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 5,000 | $24,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 3,006 | $24,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,185 | $24,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 259 | $24,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 3,140 | $24,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 1,661 | $24,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 2,836 | $24,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 896 | $24,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 1,254 | $24,000 | thousands by filing date | |
| VINA CONCHA Y TORO S A | 927191106 | SPONSORED ADR | 679 | $24,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 3,489 | $24,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 612 | $24,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 6,193 | $24,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 4,100 | $24,000 | thousands by filing date | put |
| ICAD INC | 44934S206 | COM NEW | 4,645 | $24,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,313 | $24,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 2,368 | $24,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 3,254 | $24,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 881 | $24,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 5,798 | $24,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 1,206 | $24,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 1,217 | $24,000 | thousands by filing date | |
| PROSHARES SHORT OIL GAS | 74347R222 | COM | 957 | $24,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 1,029 | $24,000 | thousands by filing date | |
| Poage Bankshares, Inc. | 730206109 | Common Stock | 1,269 | $24,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 3,305 | $24,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 2,050 | $24,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 4,115 | $24,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 6,313 | $24,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 7,322 | $24,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 2,416 | $24,000 | thousands by filing date | |
| BIOSTAR PHARMACEUTICALS INC | 090678301 | COM PAR | 6,496 | $24,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V305 | COM PAR | 12,954 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B458 | ULTRA OIL & GAS | 784 | $24,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,069 | $23,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 3,631 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 434 | $23,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 856 | $23,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 2,895 | $23,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 1,570 | $23,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 4,000 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 883 | $23,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,793 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 952 | $23,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 1,108 | $23,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 3,210 | $23,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 8,350 | $23,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 6,266 | $23,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 17,000 | $23,000 | thousands by filing date | principal |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 537 | $23,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 28,028 | $23,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 1,856 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 1,848 | $23,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 655 | $23,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D205 | COM | 2,700 | $23,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297504 | ELEMENT USETN22 | 1,416 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 750 | $23,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 1,152 | $23,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,870 | $23,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 4,700 | $23,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 5,190 | $23,000 | thousands by filing date | |
| FIFTH STR ASSET MGMT INC | 31679P109 | CL A COM | 4,250 | $23,000 | thousands by filing date | |
| M III ACQUISITION CORP | 55378T203 | UNIT 99/99/9999T | 2,300 | $23,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 9,819 | $23,000 | thousands by filing date | |
| AROWANA INC | G05011138 | UNIT 99/99/9999 | 2,200 | $23,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 1,391 | $22,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 367 | $22,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 543 | $22,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 2,030 | $22,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 500 | $22,000 | thousands by filing date | call |
| LHC GROUP | 50187A107 | COM | 599 | $22,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 2,173 | $22,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 589 | $22,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 2,886 | $22,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 856 | $22,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 2,059 | $22,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 13,200 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 375 | $22,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 2,830 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 1,671 | $22,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 11,609 | $22,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 968 | $22,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 6,000 | $22,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 6,043 | $22,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 52,139 | $22,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 3,216 | $22,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 1,135 | $22,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 775 | $22,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 8,000 | $22,000 | thousands by filing date | principal |
| ACTUANT CORP | 00508X203 | CL A NEW | 951 | $22,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 12,168 | $22,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 1,119 | $22,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 3,471 | $22,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 2,340 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X518 | ULT MSCIMEX CAPP | 1,000 | $22,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 1,090 | $22,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 1,814 | $22,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 4,099 | $22,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 25,000 | $22,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90270L859 | ETRAC MP2X LEV | 976 | $22,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 500 | $21,000 | thousands by filing date | put |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 200 | $21,000 | thousands by filing date | put |
| LANTHEUS HLDGS INC | 516544103 | COM | 2,506 | $21,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 2,185 | $21,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 4,026 | $21,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 1,251 | $21,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 403 | $21,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 5,937 | $21,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,312 | $21,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 748 | $21,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 442 | $21,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 8,797 | $21,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 2,788 | $21,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 839 | $21,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,529 | $21,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 577 | $21,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 5,827 | $21,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 28,364 | $21,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 15,151 | $21,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 25,331 | $21,000 | thousands by filing date | |
| XPLORE TECHNOLOGIES CORP | 983950700 | COM PAR $0.001 | 8,993 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X883 | GLB RL RETURN | 499 | $21,000 | thousands by filing date | |
| IPATH PURE BETA NICKEL | 06740P213 | CMN | 1,161 | $21,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 4,479 | $21,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 1,726 | $21,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 620 | $21,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 184 | $21,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 23,000 | $21,000 | thousands by filing date | principal |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 880 | $21,000 | thousands by filing date | |
| HENNESSY CAPITAL ACQUISITION | 42588J209 | UNIT 99/99/9999 | 2,154 | $21,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 500 | $20,000 | thousands by filing date | call |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 600 | $20,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 869 | $20,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 860 | $20,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 535 | $20,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,333 | $20,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 3,000 | $20,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 780 | $20,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,253 | $20,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 700 | $20,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 2,520 | $20,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 3,366 | $20,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 1,582 | $20,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 28,773 | $20,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 2,430 | $20,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 1,201 | $20,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 1,078 | $20,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 2,315 | $20,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 2,467 | $20,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 5,005 | $20,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 930 | $20,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 2,413 | $20,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 1,796 | $20,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,720 | $20,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 1,888 | $20,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,677 | $20,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D878 | EXCH NT LKD 20 | 738 | $20,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 3,288 | $20,000 | thousands by filing date | |
| QuantShares ETF | 351680202 | Qshrs US Mkt Neutral Val | 829 | $20,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 917 | $20,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 1,508 | $20,000 | thousands by filing date | |
| ISHARES TR | 46435G664 | ADAPTV EUR ETF | 875 | $20,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 5,163 | $20,000 | thousands by filing date | |
| WISDOMTREE U.S. EXPORT AND MULTINATIONAL FUND | 97717X453 | ETF | 759 | $20,000 | thousands by filing date | |
| CONYERS | 212894208 | UNIT9 | 1,900 | $20,000 | thousands by filing date | |
| AROWANA INC | G05011104 | SHS | 2,000 | $20,000 | thousands by filing date | |
| ETFS TR | 26923J206 | ZACKS SM CP US | 1,009 | $20,000 | thousands by filing date | |
| CHINA LENDING CORP | G21612117 | *W EXP 03/30/202 | 101,057 | $20,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 5,500 | $19,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 300 | $19,000 | thousands by filing date | put |
| INVESCO LTD SHS | G491BT108 | Stock | 600 | $19,000 | thousands by filing date | put |
| FRESHPET INC COM | 358039105 | Stock | 2,238 | $19,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 300 | $19,000 | thousands by filing date | put |
| ADECOAGRO S A | L00849106 | COM | 1,700 | $19,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 386 | $19,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 1,000 | $19,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 317 | $19,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 1,545 | $19,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 1,124 | $19,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 733 | $19,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 1,798 | $19,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,878 | $19,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,600 | $19,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 3,554 | $19,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 2,721 | $19,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,495 | $19,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 7,025 | $19,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937303 | INTNTL IPO ETF | 997 | $19,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,676 | $19,000 | thousands by filing date | |
| KELLY SVCS INC | 488152307 | CL B | 1,045 | $19,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 2,308 | $19,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 1,156 | $19,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 5,111 | $19,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 1,714 | $19,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 925 | $19,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,633 | $19,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 1,387 | $19,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 3,260 | $19,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 1,195 | $19,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 4,070 | $19,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 565 | $19,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 6,000 | $19,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 3,750 | $19,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 2,544 | $19,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,251,377 | $19,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 2,100 | $19,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 1,487 | $19,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 1,818 | $19,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 2,027 | $19,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 3,062 | $19,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 1,655 | $19,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F184 | FUND | 465 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74348A582 | ULTRAPRO FINLS | 263 | $19,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 783 | $19,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 1,661 | $19,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 7,608 | $19,000 | thousands by filing date | |
| FRONTEO INC | 35905J100 | SPONSORED ADR | 1,283 | $19,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 2,499 | $19,000 | thousands by filing date | |
| ENDESA AMERS SA | 29261D104 | SPON ADR ADDED | 1,362 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051796 | XTRACK MSCI MEX | 871 | $19,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J118 | *W EXP 07/28/202 | 48,210 | $19,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 600 | $18,000 | thousands by filing date | call |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 1,000 | $18,000 | thousands by filing date | call |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 873 | $18,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 500 | $18,000 | thousands by filing date | put |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 2,291 | $18,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 918 | $18,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 1,066 | $18,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 919 | $18,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 15,763 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 614 | $18,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,067 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 701 | $18,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 730 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 378 | $18,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 1,208 | $18,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 800 | $18,000 | thousands by filing date | call |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 606 | $18,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 8,891 | $18,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 2,209 | $18,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 4,800 | $18,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 6,336 | $18,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 1,471 | $18,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 6,013 | $18,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 2,207 | $18,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,746 | $18,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 1,348 | $18,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 2,500 | $18,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 206 | $18,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,475 | $18,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 1,072 | $18,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 5,481 | $18,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 2,895 | $18,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P643 | TRES 5YR BEAR | 763 | $18,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,403 | $18,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,113 | $18,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297199 | MLCX BIO ETN23 | 2,433 | $18,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 3,392 | $18,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 1,453 | $18,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 2,467 | $18,000 | thousands by filing date | |
| IMMUNE PHARMACEUTICALS INC | 45254C101 | COM | 63,449 | $18,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G104 | SPONS ADR | 2,347 | $18,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 5,314 | $18,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 4,472 | $18,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 1,632 | $18,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 1,710 | $18,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 299 | $18,000 | thousands by filing date | |
| ISHARES EDGE MSCI MULTIFACTOR FINANCIALS ETF | 46435G581 | ETF | 700 | $18,000 | thousands by filing date | |
| STELLAR ACQUISITION III INC | Y8172W123 | UNIT 03/22/2022 | 1,798 | $18,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K513 | DLY CYB SEC BULL | 488 | $18,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 4,170 | $18,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 1,524 | $17,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 306 | $17,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 1,413 | $17,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,000 | $17,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 1,215 | $17,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 4,813 | $17,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 688 | $17,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 263 | $17,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,295 | $17,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 878 | $17,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 3,906 | $17,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 2,927 | $17,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 375 | $17,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 466 | $17,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 2,179 | $17,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 4,049 | $17,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 614 | $17,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 732 | $17,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 27,000 | $17,000 | thousands by filing date | principal |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,003 | $17,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 4,395 | $17,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 6,113 | $17,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 3,488 | $17,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 27,743 | $17,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 883 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 489 | $17,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 44,179 | $17,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 16,173 | $17,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 6,959 | $17,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 8,546 | $17,000 | thousands by filing date | |
| ETRACS CMCI INDUST MTLS TR | 902641752 | ETP | 1,277 | $17,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 4,014 | $17,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 3,787 | $17,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 3,140 | $17,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 1,861 | $17,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 1,000 | $17,000 | thousands by filing date | |
| POWERSHARES S&P 500 ENHANCED VALUE PORTFOLIO | 73936Q694 | ETF | 649 | $17,000 | thousands by filing date | |
| DRYSHIPS INC COM NEW | Y2109Q200 | Stock | 38,344 | $17,000 | thousands by filing date | |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 1,625 | $17,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 2,119 | $17,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 126,146 | $17,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F858 | Cmn | 783 | $17,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 200 | $16,000 | thousands by filing date | put |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,447 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 788 | $16,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 841 | $16,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 2,765 | $16,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,849 | $16,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 1,535 | $16,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 2,095 | $16,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 3,856 | $16,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 3,692 | $16,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,687 | $16,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 722 | $16,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 2,813 | $16,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 13,949 | $16,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 849 | $16,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465201 | COM | 741 | $16,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 13,467 | $16,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 1,334 | $16,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 336 | $16,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 3,000 | $16,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 2,181 | $16,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 1,083 | $16,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 362 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 1,300 | $16,000 | thousands by filing date | |
| ABERDEEN INDONESIA FUND INC(IF) | 00305P106 | COM | 2,462 | $16,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 3,144 | $16,000 | thousands by filing date | |
| VICON INDS INC | 925811101 | COM | 23,018 | $16,000 | thousands by filing date | |
| IPATH INVERSE S&P 500 VIX II | 06741K486 | ETP | 860 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P866 | FUND | 434 | $16,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 1,268 | $16,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K858 | PS MTL DDL ETN | 1,096 | $16,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 9,326 | $16,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 2,333 | $16,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 673 | $16,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 1,174 | $16,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 1,936 | $16,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 2,142 | $16,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 3,564 | $16,000 | 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 |